Privacy Impact Assessment Questionnaire
OASAM Title VI/VII FY 2016
- The Title VI/VII Processing System (Title VI/VII System) is owned by the Office of the Assistant Secretary for Administration and Management (OASAM), Civil Rights Center (CRC).
- The Title VI/VII System 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 System is to track the timeliness of closure to Equal Employment Opportunity (EEO) complaints filed. Title VI/VII System 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. Component of the Title VI/VII System captures discrimination complaints from members of the public who are either employed with or receive benefits identified above. Component of the Title VI/VII System captures discrimination complaints from DOL employees and people applying for employment with DOL. Title VI/VII System 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, race, color, religion, national origin, sex, disability, citizenship, reprisal/retaliation, genetic information, status as a parent, political affiliation, wages, harassment, medical information, date of birth, device identifiers, and the reason that precipitated the complaint.
- Title VI/VII System features three different types of users and one role. The classifications are as follows:
- Users are given the permissions to access Title VI/VII System - view records.
- Managers are given the permissions to access Title VI/VII System - view records, update records (Add and Modify)
- Administrators are given Administrative rights such as Add, Modify, and Delete of system data.
- Investigators for Title VI/VII System are DOL employees 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 System provides CRC access via the ECN/DCN Intranet and is hosted on the Departmental Computing Network (DCN).
- Title VI/VII System 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.
Characterizaion 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.
The Title VI/VII System collects information about 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.
What are the sources of the PII in the information system?
The persons/individuals that file the complaints are the source of the PII.
What is the PII being collected, used, disseminated, or maintained?
The PII being collected on applicants that file complaints:
- First and last name
- Date of Birth
- Personal home address, phone number and email address
- Business mailing address, phone number and email address
- Medical information including physician's notes
- Medical record number
- Device identifiers
- National origin
- Political affiliation
- Genetic information
- Status as a parent
The PII being stored for authorized users of the system:
- First and last name
- Date of Birth
- Work email address
How is the PII collected?
PII data (for complainants) is initially collected through paper forms and later entered into the Title VI/VII System by the CRC staff.
How will the information be checked for accuracy?
Automated forms ensure appropriate field accuracy (e.g., numbers cannot 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?
The following legal authorities are applicable for the Title VI component of the Title VI/VII System:
- 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 component of the Title VI/VII System:
- 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
When personal information is gathered and stored there is a level of risk involved, such as identify theft or other fraudulent activities. Since the PII collected within Title VI/VII System is initially captured via paper forms, the information is safeguarded in secured file cabinets or in restricted areas where access to them is limited only to authorized personnel. Electronic files and system access are controlled by means of identification numbers and passwords.
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
- Individual's name and contact information (business and home address, telephone number and email address) is used for identification and means of communicating status updates and other notifications.
- Date of birth, race, color, religion, sex, disability, political affiliation, citizenship, reprisal/retaliation, national origin, genetic information, status as a parent and wages, are used to assist in claims of discrimination.
- Medical information and device identifiers are primarily used for determining eligibility for disability.
What types of tools are used to analyze data and what type of data may be produced?
Title VI/VII System does not use any tools for data analysis; thereby, no other additional data is produced.
Will the system derive new data, or create previously unavailable data, about an individual through aggregation of the collected information?
No, Title VI/VII 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 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 is limited only to authorized personnel. Electronic files and system access are controlled by means of identification numbers and passwords.
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?
Within the Records Schedule for EEO records the CRC retains the records on cases for three years following the complete closure of the case. After that three year period the records are destroyed via approved DOL procedures.
Has the retention schedule been approved by the DOL agency records officer and the National Archives and Records Administration (NARA)?
Title VI/VII System retention schedule has been approved by both the DOL Records Officer and NARA. The records are covered by the General Records Schedules (GRS) 1 items 25, 26, 27 and GRS 20, Item 10 & 11.
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?
Only those files necessary to support the CRC mission are maintained. Risk is mitigated by minimizing, controlling, and auditing access to the repository. Also, CRC adheres to the proper retention schedule as prescribed by NARA and DOL which call for data to be retained for three years.
How is it determined that PII is no longer required?
PII cannot be avoided in the area of EEO. If nothing else the address of the complainant is vital and a necessity for communication. The records are covered by the General Records Schedules (GRS) 1 items 25, 26, 27 and GRS 20, Item 10 & 11.
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. Within the Records Schedule for EEO records, the CRC retains the records on cases for three years following the complete closure of the case. After that three year period the records are destroyed via approved DOL procedures.
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 captured within Title VI component of the Title VI/VII System (see section 1 for information collected) is shared with Office of Federal Contract Compliance Program (OFCCP) when a complainant alleging discrimination due to an issue within a federal contract. PII is also shared with the Employment and Training Administration (ETA) when an applicant alleges discrimination related to an ETA program.
All PII captured within Title VII component of the Title VI/VII System (see section 1 for information collected) is shared with the following nine (9) internal DOL organizations : Bureau of Labor Statistics (BLS) , Office of Workers' Compensation Programs (OWCP), Wage & Hour Division (WHD), Employment & Training Administration (ETA) , Mine Safety & Health Administration (MSHA), Office of the Assistant Secretary for Administration & Management (OASAM), Office of Inspector General (OIG), Occupational Safety & Health Administration (OSHA), Employee Benefits Security Administration (EBSA) and Office of the Solicitor (SOL).
The information is limited only to the Agency EEO Managers and Regional Civil Rights Officers to assist in the applicant's complaint process.
How is the PII transmitted or disclosed?
PII within Title VI component of the Title VI/VII System is transmitted via DOL's internal mail.
PII within Title VII component of the Title VI/VII System is not transmitted as the EEO Managers have direct access to the system.
Privacy Impact Analysis
PII that's 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 to 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 component of the Title VI/VII System, the entire complainants' case file (paper form) is then forwarded via United Parcel Service (UPS) 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 (EEOC), (federal and/or state level) Health and Human Services (HHS), and the Department of Transportation (DOT).
Medical information within Title VII component of the Title VI/VII System is shared with the Public Health Service (PHS). PHS assists 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 component of the Title VI/VII System, as well as in SORN (DOL/OASAM-17) for Title VII component of the Title VI/VII System .
How is the information shared outside the Department and what security measures safeguard its transmission?
Information is transported via United Parcel Service (UPS) carrier for the Title VI/VII System. The PII is in paper form and enclosed in a sealed envelope.
Privacy Impact Analysis
There is privacy risks associated with personal information being handled by a third party. Should the United Parcel Service (UPS) envelope become lost, stolen or tampered with in any way the complaints information is vulnerable to identity y 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.
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?
Yes, notice is provided to individuals 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, applicants do not have to reveal any personal information to CRC, but CRC may close users complaint if they refuse to reveal information needed to fully investigate complaint. 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
The Civil Rights Center (CRC) provides a public website (http://www.dol.gov/oasam/programs/crc/complaint.htm) which explains the complaint process. Potential applicants have prior access to the complaint form where they can view what would be expected of them.
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 complainants 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 CRC staff or other EEO designated staff/users, typically a phone call is placed advising of the situation and the corrective actions needed. An official correspondence on DOL Letterhead is sent to the individual notifying them of the corrected information.
How are individuals notified of the procedures for correcting their information?
An official correspondence on DOL Letterhead is sent to the individual notifying them of the corrected information.
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
No privacy risks have been identified at this time.
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 and processes are in-place to ensure only authorized users have accounts within the Title VI/VII System. Users are required to complete an account access form with the proper approvals. The user must also read and sign the rules of Behavior. Further safeguards are implemented through the authentication process using Active Directory (AD) to guarantee only authorized DOL users have access to the system.
Will Department contractors have access to the system?
Contractors will not have access to Title VI/VII System.
Describe what privacy training is provided to users, either generally or specifically relevant to the program or system?
Users as well as Title VI/VII system administrators must complete the Information Systems Security and Privacy Awareness training prior to receiving access to the system. When access is granted an unauthorized use banner on the Title VI/VII system login page warns the user of legal repercussions for illegal activities. Users must also acknowledge to the ROB before accessing the system.
What auditing measures and technical safeguards are in place to prevent misuse of data?
Physical records are maintained in secured file cabinets or in restricted areas, access to which is limited to authorized personnel. Electronic files are controlled by means of identification numbers and passwords.
Title VI/VII System has implemented Audit Web Service.
Audit Web Service is a utility that can be called within each application for capturing and /recording user's activities when interacting with information system. The captured audit records are stored centrally in a database for later monitoring, filtering, searching and reporting of users activities. Monitoring and reporting capabilities have been provided through an easy-to-use web interface and accessible only to the authorized users. Through web interface users can define their search criteria and monitor only subset of record or chose to get notification and alerts through email on event types that might be critical to each system owner. The reporting capability of the Audit Web Service allows authorized users to extract their desirable set of audit records in form of Excel file for generating further reports.
Privacy Impact Analysis
The primary risks associated with the handling of privacy data include fraud and the unauthorized release of data outside of the controls of Title VI/VII System. OASAM has implemented a required Security Awareness Training program, which includes the proper handling of privacy data. All staff members must complete online training, which includes an exam at the end of the training session. All Title VI/VII System users must also read and sign a Rules of Behavior document that outlines the expectations that Title VI/VII System has for all staff members who handle privacy data. Title VI/VII System has also implemented various auditing functions to track changes to the data. Also, online training has been implemented to ensure the proper handling of privacy data according to job function.
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 System is in the operations and maintenance phase of the Software Development Life Cycle Management Manual (SDLCM).
Does the project employ technology which may raise privacy concerns? If so please discuss their implementation?
No, Title VI/VII System does not employ technology that would raise privacy concerns.
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 System 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.