Privacy Impact Assessment - Appeals Management System

OVERVIEW

DOL Appeals Management System (AMS) system is based on a COTS tool called EntelliTrak from MicroPact, Inc. AMS leverages EntelliTrak tool which combines the power of business process management, relational database management, and forms management with the simplicity of point-and-click interface. This PIA has been conducted based on the preliminary assessment of the AMS system. The AMS initiative proposes a simple yet robust IT solution, which captures current operability yet provides upgrading to provide the ability for the docket group and authorized DOL staff to efficiently process appeals and review appeals related data, provide management oversight and reporting to support daily Board operations, and provide increased accessibility and availability of information to customers and other stakeholders, particularly the many customers suffering from disabilities, in the area of appeal-status checking and e-filing.

The BOARDS have developed a single, consolidated, updated computer-based system to replace the three separate legacy systems that have reached or are reaching the limit of their service lives and in some instances, are at 'critical mass'. In support of this objective, the Chairs of the BOARDS have chartered the DOL Appeals Management System Initiative to provide an IT solution to support the consolidated BOARDS' docket utilizing a single tool for its appeal/workflow process administration and reporting requirements, to provide the required security to keep information private and accessible for the appropriate docket staff, legal staff, and/or Judge, and to provide more effective reporting capability for management.

The AMS system has now been fully implemented with the addition of the e-Service and e- File services modules. Subsequent phase releases will address additional functionality needed to provide document management and management reporting enhancements. This assessment enables the three partnering agencies to ensure that it has complied with all relevant privacy policies, regulations, procedures, and guidance, both internal and external to DOL related to PII.

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.

This PIA has been conducted based on the preliminary assessment of the AMS system. AMS will capture PII related information on all parties that has an appeal before the BOARD.      

The implementation of this system will allow participating agencies to better track documents, to capture information more accurately, to monitor and use information more efficiently, and to automate processes which currently accommodate the common/core and utility business process requirements, by incorporating detailed business rules, data, and workflow information.

This assessment enables the three partnering agencies to ensure that it has complied with all relevant privacy policies, regulations, procedures, and guidance, both internal and external to DOL related to PII.

From whom is information to be collected?

The AMS system will collect PII from individuals, websites, databases, records, files or documents. The specific PII fields collected by the AMS system include Name, Address, Mailing Address, Phone numbers, Web URL's, email address, Legal documents like Notices, Briefs, Orders, Service Sheets, Decisions, Motion, etc.

Why is the Information being collected?

Identify the appropriate party accurately that filing the appeal before the Boards

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

The specific PII fields collected by the AMS system include Name, Address, Mailing Address, Phone numbers, Web URL's, email address, Legal documents like Notices, Briefs, Orders, Service Sheets, Decisions, Motions, etc.

How is the PII collected?

PII information is collected from the letters and orders that are received by the Docket office. The appeals process is documented and the decisions are also tracked in the system.

How will the information collected from individuals or derived from the system be checked for accuracy?

Data will be verified by using in built validation and accuracy algorithms as defined by the business owners of the system.

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

Final agency decisions for the Secretary of Labor in cases arising under a wide range of labor laws, primarily involving environmental, transportation and securities whistleblower protection; immigration; child labor; employment discrimination; job training; seasonal and migrant workers, and federal construction and service contracts.

Longshore and Harbor Workers' Compensation Act and the Black Lung Benefits amendments to the Federal Coal Mine Health and Safety Act of 1969.

Federal Employees Compensation Act

What is the purpose or use of the PII collection for the third-party website or application?

DOL appeals tracks the letters, orders and correspondences that are related to an appeal that is before the Board. The PII information is used to track the case or appeal and provide information to the various parties involved in assuring a timely management of appeals.

Will PII become available to the agency through public use of a third-party website or application?

Yes.

Is the PII collection from a 3rd party website or application voluntary?

Yes

Privacy Impact Analysis

Based on this assessment it has been determined that the AMS system will have adequate controls in place to meet minimal compliance with federal privacy requirements and that all risks will be minimized. Once the PIA is completed, the AMS initiative will identify the security-related mitigation actions in the AMS security POA&M. Mitigation actions will then be performed accordingly, with updates made to the POA&M as necessary.

DESCRIBE THE 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

DOL appeals tracks the letters, orders and correspondences that are related to an appeal that is before the Board. The PII information is used to track the case or appeal and provide information to the various parties involved in assuring a timely management of appeals.

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

DOL Appeals will produce reports to track the progress of the appeals (timeliness) to help close the appeals in a timely manner.

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

DOL Appeals will only use existing data and not create new data that is not previously available.

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

N/A. DOL Appeals does not use commercial data

Will the use of PII create or modify a "system of records notification" under the Privacy Act?

Yes

Is the agencies use of PII regarding third-party website or application consistent with all applicable laws, regulations and policies?

Yes

Privacy Impact Analysis

All access to DOL appeals in a production environment must be authorized by the business sponsors and will adhere to all federal guidelines. Appropriate security restrictions on data access are built in the system. Users must be authenticated and assigned to the appropriate role in order to view/browse data. Furthermore, all users will be notified at least annually of the importance of abiding by the AMS Rules of Behavior to protect sensitive data.

RETENTION

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

What is the retention period for the data in the system?

Legal information and hence it will not be deleted.

Is a retention period established to minimize privacy risk? 

Yes

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

Yes

Per M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information; what efforts are being made to eliminate or reduce PII that is collected, stored or maintained by the system if it is no longer required?

Boards have streamlined the collection process and only obtain the needed data for a given appeal. This is done via revised forms and procedures.

Have you implemented the DOL PII Data Extract Guide for the purpose of eliminating or reducing PII?

N/A

How is it determined that PII is no longer required?

The Board retains the case file until it renders a decision on the appeal. The case file is then returned to the appropriate lower, adjudicatory entity (e.g., the OWCP or OALJ). Copies of the appeal decision are retained permanently.

Privacy Impact Analysis

For duration of the information storage, access is granted by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.

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?

General claimant information (name, address, OWCP numbers, decision date, etc…) will be shared with OWCP (internal DOL agency) to avoid duplication data entry of readily available information. Will also share routine Board generated documents in PDF format to OWCP systems (i.e. OIS and IFECS) in an automated fashion.

How is the PII transmitted or disclosed?

Electronically

Does the agency review when the sharing of personal information is no longer required to stop the transfer of sensitive information?

Yes

Privacy Impact Analysis

Based on this assessment it has been determined that the AMS system will have adequate controls in place to meet minimal compliance with federal privacy requirements and that all risks will be mitigated. All identified data that is shared by the AMS system will be documented per agency procedures. Once the PIA is completed, the AMS initiative will identify the security-related mitigation actions in the AMS security POA&M. Mitigation actions will then be performed accordingly, with updates made to the POA&M as necessary.

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?

N/A. No external agency sharing.

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.

N/A. No external agency sharing.

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

N/A. No external agency sharing.

How is the information transmitted or disclosed?

N/A. No external agency sharing.

Is a Memorandum of Understanding (MOU), contract, or any agreement in place with any external organizations with whom information is shared, and does the agreement reflect the scope of the information currently shared? If yes, include who the agreement is with and the duration of the agreement.

N/A. No external agency sharing.

How is the shared information secured by the recipient?

N/A. No external agency sharing.

What type of training is required for users from agencies outside DOL prior to receiving access to the information?

N/A. No external agency sharing.

Privacy Impact Analysis

N/A. Note: The response to this question is based on the preliminary assessment of the system and will be modified appropriately in the later phases of the life cycle.

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?

ALL PII used by the Boards are collected at lower level tribunals (usually district director or OWCP, or OALJ for ARB). Any notice given re the collection and use of PII is given at that level.

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

Yes, at lower level.

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

Once any information is placed in the record it is used by the Boards

Privacy Impact Analysis

All PII notices are given at lower tribunal.

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?

Appellants may request a copy of their record, or come in and inspect their record.

What are the procedures for correcting inaccurate or erroneous information?

Once the case is on appeal, the Boards may process changes of address or phone numbers, but the evidence of record cannot be changed or modified while the case is on appeal.

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

Not applicable before the Boards except for addresses and phone numbers

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

For changes to the record, remand to OALJ, OWCP or district director may be requested

Privacy Impact Analysis

The boards make no changes to the official record in a case. Risks are mitigated by placing the burden on the appellant to request remand and then have them forward the information to the lower tribunal

TECHNICAL ACCESS AND SECURITY

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

Which user group(s) will have access to the system? (For example, program managers, IT specialists, and analysts will have general access to the system and registered users from the public will have limited access.)

DOL Appeals system has restricted access based on the users role(profile). The level of access is also dependent on the business requirement of the user and it will be documented accordingly. Below table defines the specific security access based on user role:

Will Department contractors have access to the system?

Yes

Does the system use "roles" to assign privileges to users of the system? If yes, describe the roles.

See above table for bullet 1.

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

System has role based security in place to address appropriate user access to relevant data.

How are the actual assignments of roles and Rules of Behavior, verified according to established security and auditing procedures? How often training is provided? Provide date of last training.

Rules of Behavior as well as the mandatory departmental security awareness training conducted per DOL guidelines. Systems generated event & audit reports are reviewed

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

Annual Security Awareness training, PII training and rules of behavior compliance.

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

Systems generated event & audit reports are reviewed

Privacy Impact Analysis

The response to this question is based on the preliminary assessment of the system and will be modified appropriately in the later phases of the life cycle.

TECHNOLOGY

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

Was the system built from the ground up or purchased and installed?

Purchased

Describe how data integrity, privacy and security were analyzed as part of the decisions made for your system.

Extensive market research and system demonstrations along with independent security audits were reviewed.

What design choices were made to enhance privacy?

Implement role based security throughout the system

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

DOL Appeals is using a COTS product entellitrak(from MicroPact) and configurations are performed to meet with the business requirements collected from the three Boards. The configuration is being developed and implemented using Joint Application Development (JAD) activities and Rapid Application Development (RAD). Currently DOL Appeals is in maintenance stage.

For systems in development, does the project employ technology which may raise privacy concerns? If so please discuss their implementation?

N/A. No, the project does not employ technology which may 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?

• The BOARDS have completed the PIA for AMS which is currently in operation. The Boards have determined that the safeguards and controls for this moderate system adequately protect the information.
• The BOARDS have determined that it is collecting the minimum necessary information for the proper performance of a documented agency function.