ML24183A006

Employee Labor Relations (Elr) - Pia

ML24183A006
Person / Time
Issue date:	06/26/2024
From:	Center J NRC/OCIO/CISD
To:
Debnam C
References
Download: ML24183A006 (21)

Text

U.S. Nuclear Regulatory Commission Privacy Impact Assessment Employee and Labor Relations (ELR) System Office of the Chief Human Capital Officer (OCHCO)

Version 1.0 06/26/2024 Template Version 2.0 (08/2023)

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 Document Revision History Date Version PIA Name/Description Author 06/26/2024 1.0 Initial Release Jessica Center

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 Table of Contents 1

Description 1

2 Authorities and Other Requirements 2

3 Characterization of the Information 4

4 Data Security 5

5 Privacy Act Determination 8

6 Records and Information Management-Retention and Disposal 9

7 Paperwork Reduction Act 11 8

Privacy Act Determination 13 9

OMB Clearance Determination 14 10 Records Retention and Disposal Schedule Determination 15 11 Branch Chief Review and Concurrence 16

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 1 The agency is subject to the requirements of the E-Government Act and is committed to identifying and addressing privacy risks whenever it develops or makes changes to its information systems. The questions below help determine any privacy risks related to the E-Government Act or later guidance by the Office of Management and Budget (OMB) and the National Institute of Standards and Technology (NIST).

Name/System/Subsystem/Service Name: Employee and Labor Relations (ELR) System Data Storage Location (i.e., Database Server, SharePoint, Cloud, Other Government Agency, Power Platform)

The ELR system is hosted in a FedRAMP authorized cloud owned/managed by Opexus through a software as a service (SaaS) workforce management suite called, eCASE. Data is stored on Opexus database servers.

Date Submitted for review/approval: June 26, 2024 Note: When completing this PIA do not include any information that would raise security concerns or prevent this document from being made publicly available.

1 Description 1.1 Provide the description of the system/subsystem, technology (i.e., Microsoft Products), program, or other data collections (hereinafter referred to as project).

Explain the reason the project is being created.

The ELR system is a cloud-based Software as a Service (SaaS) hosted by a FedRAMP-authorized third-party vendor (Opexus) to support the NRCs employee and labor management relations program by streamlining processes, improving consistency, and providing tracking/reporting opportunities for improved oversight, transparency and strategic process improvement. Access to the system is limited to NRC employees.

Please mark appropriate response below if your project/system will involve the following:

PowerApps Public Website Dashboard Internal Website SharePoint None Other: ELR is in a FedRAMP authorized cloud 1.2 Does this privacy impact assessment (PIA) support a proposed new project, proposed modification to an existing project, or other situation? Select options that best apply in table below.

Mark appropriate response.

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 2 Status Options

New system/project

Modification to an existing system/project. Moving data to a FedRAMP cloud service.

If modifying or making other updates to an existing system/project, provide the ADAMS ML of the existing PIA and describe the modification.

ML20252A232

Annual Review If making minor edits to an existing system/project, briefly describe the changes below.

<Insert response here >

Other (explain) 1.3 Points of

Contact:

(Do not adjust or change table fields. Annotate N/A if unknown. If multiple individuals need to be added in a certain field, please add lines where necessary.)

Project Manager System Owner/Data Owner/

Steward ISSM Business Project Manager Technical Project Manager Executive Sponsor Name Jessica Center Jessica Center Consuella Debnam N/A N/A N/A Office/Division

/Branch OCHCO/HR OP/PLERB OCHCO/H ROP/PLER B

OCIO/INFO SEC Telephone 301-415-5888 301-415-5888 301-287-0834

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 3 2 Authorities and Other Requirements 2.1 What specific legal authorities and/or agreements permit the collection of information for the project?

Provide all statutory and regulatory authorities for operating the project, including the authority to collect the information; NRC internal policy is not a legal authority. Please mark appropriate response in table below.

Mark with an X on all that apply.

Authority Citation/Reference

Statute The Civil Service Reform Act of 1978

Executive Order

Federal Regulation

Memorandum of Understanding/Agreement

Other (summarize and provide a copy of relevant portion) 2.2 Explain how the information will be used under the authority listed above (i.e., enroll employees in a subsidies program to provide subsidy payment).

The Civil Service Reform Act of 1978 requires all Federal agencies to establish an employee and labor management relations program. See relevant Management Directives (MDs): 10.102, Labor-Management Relations Program for Federal Employees, MD 10.99, Discipline and Adverse Actions, and MD 10.101 Employee Grievances. The information entered and maintained within this system will support the agencys employee and labor management relations program by streamlining processes, improving consistency, and providing tracking/reporting opportunities for improved oversight and strategic process improvement.

If the project collects Social Security numbers, state why this is necessary and how it will be used.

N/A

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 4 3 Characterization of the Information In the table below, mark the categories of individuals for whom information is collected.

Category of individual

Federal employees

Contractors

Members of the Public (any individual other than a federal employee, consultant, or contractor)

Licensees

Other In the table below, is a list of the most common types of PII collected. Mark all PII that is collected and stored by the project/system. If there is additional PII not defined in the table below, a comprehensive listing of PII is provided for further reference in ADAMS at the following link: PII Reference Table 2023.

Categories of Information

Name

Resume or curriculum vitae

Date of Birth

Driver's License Number

Country of Birth

License Plate Number

Citizenship

Passport number

Nationality

Relatives Information

Race

Taxpayer Identification Number

Home Address

Credit/Debit Card Number

Social Security number (Truncated or Partial)

Medical/health information

Gender

Alien Registration Number

Ethnicity

Professional/personal references

Spouse Information

Criminal History

Personal e-mail address

Biometric identifiers (facial images, fingerprints, iris scans)

Personal Bank Account Number

Emergency contact e.g., a third party to contact in case of an emergency

Personal Mobile Number

Accommodation/disabilities information

Marital Status

Children Information

Mother's Maiden Name Other Religion/Religious Preference, Personnel Files, Complaint Issue/Description, Disciplinary/Adverse Action (proposed or taken),

Performance Appraisal Data, Grievance/Complaint Data

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 5 3.1 Describe how the data is collected for the project. (i.e., NRC Form, survey, questionnaire, existing NRC files/ databases, response to a background check).

General information of an employees name and contact information is collected from the existing NRC Microsoft 365 Directory. Otherwise, data is collected directly from individuals.

Individuals may access the system directly to enter information; or the individual will provide their information to a processing representative in OCHCO who will add that information into the system as appropriate.

3.2 If using a form to collect the information, provide the form number, title and/or a link.

No--the information is collected directly from the individual using the portal provided by the cloud provider.

3.3 Who provides the information? Is it provided directly from the individual or a third party.

Directly from the individual.

3.4 Explain how the accuracy of the data collection is validated. If the project does not check for accuracy, please explain why.

The Employee and Labor Relations Specialists (or their designee(s)) verify the accuracy and completeness of data.

3.5 Will PII data be used in a test environment? If so, explain the rationale.

No 3.6 What procedures are in place to allow the subject individual to correct inaccurate or erroneous information?

The individual will have direct edit access to their profile information and will be able to notify designated staff if any information is incorrect.

4 Data Security 4.1 Describe who has access to the data in the project (i.e., internal NRC, system administrators, external agencies, contractors, public).

Internal NRC users will have access to the system portal to enter and view their own information. Staff within OCHCO who process Employee & Labor Relations matters will have access.

4.2 If the project/system shares information with any other NRC systems, identify the system, what information is being shared and the method of sharing.

N/A

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 6 4.3 If the project/system connects, receives, or shares information with any external non-NRC partners or systems, identify what is being shared.

Identify what agreements are in place with the external non-NRC partner or system in the table below.

Agreement Type

Contract Provide Contract Number:

License Provide License Information:

Memorandum of Understanding Provide ADAMS ML number for MOU:

Other

None 4.4 Describe how the data is accessed and describe the access control mechanisms that prevent misuse.

The system requires user account creation which includes providing an NRC email. The system will be configured for SSO access by NRC staff. Access to data is limited based upon system roles set at account creation.

4.5 Explain how the data is transmitted and how confidentiality is protected (i.e.,

encrypting the communication or by encrypting the information before it is transmitted).

Data may be transmitted from the system to individuals via email. The email will support encryption of PII or PHI.

4.6 Describe where the data is being stored (i.e., NRC, Cloud, Contractor Site).

Data is stored at the Opexus FedRAMP data center.

4.7 Explain if the project can be accessed or operated at more than one location.

Yes. NRC users may access the system remotely via the NRC VPN. Users are required to adhere to NRCs policies for computer use.

4.8 Can the project be accessed by a contractor? If so, do they possess an NRC badge?

Yes, a contractor with an NRC badge may access the system portal.

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 7 4.9 Explain the auditing measures and technical safeguards in place to prevent misuse of data.

System roles and permissions will ensure that only approved users have access to the data and can only make modifications in line with their assigned system role. The system will have versioning tracking which will capture the user information and timestamp associated with modification to data.

4.10 Describe if the project has the capability to identify, locate, and monitor (i.e.,

trace/track/observe) individuals.

N/A 4.11 Define which FISMA boundary this project is part of.

BASS 4.12 Is there an Authority to Operate (ATO) associated with this project/system?

Authorization Status

Unknown

No If no, please note that the authorization status must be reported to the Chief Information Security Officer (CISO) and Computer Security Organization (CSOs)

Point of Contact (POC) via e-mail quarterly to ensure the authorization remains on track.

In Progress provide the estimated date to receive an ATO.

Estimated date: <insert appropriate response>

Yes Indicate the data impact levels (Low, Moderate, High, Undefined) approved by the Chief Information Security Officer (CISO)

Confidentiality-Moderate Integrity-Moderate-Availability-Moderate 4.13 Provide the NRC system Enterprise Architecture (EA)/Inventory number. If unknown, contact EA Service Desk to get the EA/Inventory number.

ELR - 20210001

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 8 5 Privacy Act Determination 5.1 Is the data collected retrieved by a personal identifier?

Mark the appropriate response.

Response

Yes, the PII is retrieved by a personal identifier (i.e., individuals name, address, SSN, etc.)

List the identifiers that will be used to retrieve the information on the individual.

Name

No, the PII is not retrieved by a personal identifier.

If no, explain how the data is retrieved from the project.

5.2 For all collections where the information is retrieved by a personal identifier, the Privacy Act requires that the agency publish a System of Record Notice (SORN) in the Federal Register. As per the Privacy Act of 1974, "the term 'system of records' means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some other personal identifier assigned to the individual.

Mark the appropriate response in the table below.

Response

Yes, this system is covered by an existing SORN. (See existing SORNs:

https://www.nrc.gov/reading-rm/foia/privacy-systems.html )

Provide the SORN name, number, (List all SORNs that apply):

OPM/GOVT 1 - General Personnel Records (Official Personnel Folder and Related Records replaced with government-wide SORN).

NRC 8 - Employee Disciplinary Actions, Appeals, Grievances, and Complaints Records

SORN is in progress

SORN needs to be created

Unaware of an existing SORN

No, this system is not a system of records and a SORN is not applicable.

5.3 When an individual is asked to provide personal data (i.e., form, webpage, survey), is a Privacy Act Statement (PAS) provided?

N/A

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 9 A Privacy Act Statement is a disclosure statement required to appear on documents used by agencies when an individual is asked to provide personal data. It is required for any forms, surveys, or other documents, including electronic forms, used to solicit personal information from individuals that will be maintained in a system of records.

Mark the appropriate response.

Options

Privacy Act Statement

Not Applicable

Unknown 5.4 Is providing the PII mandatory or voluntary? What is the effect on the individual by not providing the information?

Voluntary. However, if the individual does not provide sufficient PII to establish their identity and their issue, their inquiry may not be processed properly.

6 Records and Information Management-Retention and Disposal The National Archives and Records Administration (NARA), in collaboration with federal agencies, approves whether records are Temporary (eligible at some point for destruction/deletion because they no longer have business value) or Permanent (eligible at some point to be transferred to the National Archives because of historical or evidential significance). Records/data and information with historical value, identified as having a permanent disposition, are transferred to the National Archives of the United States at the end of their retention period. All other records identified as having a temporary disposition are destroyed at the end of their retention period in accordance with the NARA Records Schedule or the General Records Schedule.

These determinations are made through records retention schedules and NARA statutes (44 United States Code (U.S.C.), 36 Code of Federation Regulations (CFR)). Under 36 CFR, agencies are required to establish procedures for addressing Records and Information Management (RIM) requirements. This includes strategies for establishing and managing recordkeeping requirements and disposition instructions before approving new electronic information systems or enhancements to existing systems.

The following questions are intended to determine whether the records/data and information in the system have approved records retention schedules and disposition instructions, whether the system incorporates RIM strategies including support for NARAs Universal Electronic Records Management (ERM) requirements, and if a mitigation strategy is needed to ensure compliance.

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 10 If the project/system:

Does not have an approved records retention schedule and/or Does not have an automated RIM functionality, Involves a cloud solution, And/or if there are additional questions regarding Records and Information Management

- Retention and Disposal, please contact the NRC Records staff at ITIMPolicy.Resource@nrc.gov for further guidance.

If the project/system has a record retention schedule or an automated RIM functionality, please complete the questions below.

6.1 Does this project map to an applicable retention schedule in NRCs Comprehensive Records Disposition Schedule (NUREG-0910), or NARAs General Records Schedules?

NUREG-0910, NRC Comprehensive Records Disposition Schedule

NARAs General Records Schedules

Unscheduled 6.2 If so, cite the schedule number, approved disposition, and describe how this is accomplished.

System Name (include sub-systems, platforms, or other locations where the same data resides)

ELR System eCase system; ELR module Records Retention Schedule Number(s)

GRS 2.3 - Items 010, 060, 090, and 130 Approved Disposition Instructions GRS 2.3 item 010 - Employee relations programs administrative records :

Temporary -Destroy 3 years old, but longer retention is authorized if required for business use.

GRS 2.3 item 060 -

Administrative grievance, disciplinary, performance-based, and adverse action case files:

Temporary. Destroy no sooner than 4 years but no later than 7 years after case is closed or final settlement on appeal, as appropriate. [NRC has elected to destroy at 7 years.]

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 11 GRS 2.3 item 090 - Labor arbitration (negotiated grievance procedure case records: Destroy 3 years after close of case but longer retention is authorized if required for business use.

GRS 2.3 item 30 - Labor management relations agreement negotiation records :

Temporary. Destroy 5 years after expiration of agreement or final resolution of case, as appropriate, but longer retention is authorized if required for business use.

Is there a current automated functionality or a manual process to support RIM requirements? This includes the ability to apply records retention and disposition policies in the system(s) to support records accessibility, reliability, integrity, and disposition.

Manual Disposition of Temporary Records Will the records/data or a composite be automatically or manually deleted once they reach their approved retention?

Yes, Manually.

Disposition of Permanent Records Will the records be exported to an approved format and transferred to the National Archives based on approved retention and disposition instructions?

If so, what formats will be used?

NRC Transfer Guidance (Information and Records Management Guideline -

IRMG)

N/A Records in this system will not be permanent records.

Note: Information in Section 6, Records and Information Management-Retention and Disposal, does not need to be fully resolved for final approval of the privacy impact assessment.

7 Paperwork Reduction Act The Paperwork Reduction Act (PRA) of 1995 requires that agencies obtain an Office of Management and Budget (OMB) approval in the form of a "control number"before promulgating a paper form, website, surveys, questionnaires, or electronic submission from 10 or more members of the public. If the data collection is from federal employees regarding work-related duties, then a PRA clearance is not necessary.

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 12 7.1 Will the project be collecting any information from 10 or more persons who are not Federal employees?

No 7.2 Is there any collection of information addressed to all or a substantial majority of an industry (i.e., Fuel Fabrication Facilities or Fuel Cycle Facilities)?

No 7.3 Is the collection of information required by a rule of general applicability?

No Note: For information collection (OMB clearances) questions: contact the NRCs Clearance Officer. Additional guidance can be found on the NRCs internal Information Collections Web page at: https://intranet.nrc.gov/ocio/33456.

STOP HERE - The remaining pages will be completed by the Privacy Officer, Records Management, and Information Collections Team.

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 13 8 Privacy Act Determination Project/System Name: ELR System Submitting Office: OCHCO Privacy Officer Review Review Results Action Items

This project/system does not contain PII.

No further action is necessary for Privacy.

This project/system does contain PII; the Privacy Act does NOT apply, since information is NOT retrieved by a personal identifier.

Must be protected with restricted access to those with a valid need-to-know.

This project/system does contain PII; the Privacy Act does apply.

SORN is required-Information is retrieved by a personal identifier.

Comments:

Information is covered by: OPM/GOVT 1 - General Personnel Records (Official Personnel Folder and Related Records replaced with government-wide SORN) and NRC 8 - Employee Disciplinary Actions, Appeals, Grievances, and Complaints Records Reviewers Name Title Privacy Officer Signed by Hardy, Sally on 07/25/24

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 14 9 OMB Clearance Determination NRC Clearance Officer Review Review Results

No OMB clearance is needed.

OMB clearance is needed.

Currently has OMB Clearance. Clearance No.

Comments:

Reviewers Name Title Agency Clearance Officer Signed by Cullison, David on 07/15/24

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 15 10 Records Retention and Disposal Schedule Determination Records Information Management Review Review Results

No record schedule required.

Additional information is needed to complete assessment.

Needs to be scheduled.

Existing records retention and disposition schedule covers the system - no modifications needed.

Comments:

Reviewers Name Title Sr. Program Analyst, Electronic Records Manager Signed by Dove, Marna on 07/18/24

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 16 11 Branch Chief Review and Concurrence Review Results

This project/system does not collect, maintain, or disseminate information in identifiable form.

This project/system does collect, maintain, or disseminate information in identifiable form.

I concur with the Privacy Act, Information Collections, and Records Management reviews.

Director Chief Information Security Officer Chief Information Security Division Office of the Chief Information Officer Signed by Nalabandian, Garo on 07/25/24

Employee and Labor Relations (ELR) System Version 1.0 Privacy Impact Assessment 06/26/2024 PIA Template (08-2023) 17 ADDITIONAL ACTION ITEMS/CONCERNS Name of Project/System:

Employee and Labor Relations (ELR) System Date CISD received PIA for review:

June 26, 2024 Date CISD completed PIA review:

July 19, 2024 Action Items/Concerns:

Copies of this PIA will be provided to:

Gwen Hayden Director IT Services Development and Operations Division Office of the Chief Information Officer Katie Harris Deputy Chief Information Security Officer (CISO)

Office of the Chief Information Officer