ML20288A500
| ML20288A500 | |
| Person / Time | |
|---|---|
| Issue date: | 12/01/2020 |
| From: | Charles Brown NRC/ADM/PMAE, Governance & Enterprise Management Services Division |
| To: | |
| Karen Cudd, 301-415-5362 | |
| References | |
| Download: ML20288A500 (57) | |
Text
U.S. Nuclear Regulatory Commission Privacy Impact Assessment Designed to collect the information necessary to make relevant determinations regarding the applicability of the Privacy Act, the Paperwork Reduction Act information collection requirements, and records management requirements.
Moderate ADM Support Systems (MASS)
Date: September 10, 2020 A. GENERAL SYSTEM INFORMATION
- 1. Provide a detailed description of the system:
MASS is owned and managed by the Office of Administration (ADM). The systems operate under U.S. Nuclear Regulatory Commission (NRC) Privacy Act systems of records NRC-39, Personnel Security Files and Associated Records, and NRC-40, Facility Security Access Controls Records.
The MASS Federal Information Security Management Act of 2002 (FISMA) boundary consists of five subsystems: Personnel Security Adjudication Tracking System (PSATS), Space and Property Management System (SPMS), Drug Testing Tracking System (DTTS), ADM External Services (AES), and the ADM Support Systems (ASS).
- 2. What agency function does it support?
The systems in the MASS FISMA Boundary are support systems that drive the agencys mission.
Personnel Security Adjudication Tracking System (PSATS): PSATS supports Personnel and Facilities Security functions for the Office of Administration, Division of Facilities and Security (ADM/DFS). PSATS allows the Personnel Security Branch (PSB) to monitor and manage personnel security data (security clearances, security investigations, and access authorizations) and badge data associated with the issuance of permanent and temporary badges, along with foreign travel declarations as required by the Security Executive Agent Directive 3, Reporting Requirements for Personnel with Access to Classified Information or Who Hold a Sensitive Position.
Space and Property Management System (SPMS): SPMS ensures that the Federal Property and Administrative Services Act is properly executed by NRC for government furnished equipment that is either sensitive or over one thousand dollars in purchase value. Guidance for equipment is prescribed under Management Directive (MD) 13.1. SPMS is also designed to adhere to PIA Template (12-2020) 1
agency and Federal regulations for space and facilities management available under MD 13.2. Guidance for visitor access to NRC facilities is available within MD 12.1. SPMS ensures that only authorized visitors have access to NRC facilities in order to assure the safety and security of NRC facilities; and supports the NRC's policy to manage a parking program that supports the need for parking at Federal facilities.
Drug Testing Tracking System (DTTS): DTTS is operated and managed by the Drug Testing Program (DTP) Office in the ADM/DFS/PSB. The purpose of the system is to manage and monitor the drug testing program at the NRC for employees and contractors.
ADM External Services System (AES): AES consist of two separate external services:
o Electronic Questionnaire for Investigations Processing (e-QIP): e-QIP supports Personnel Security functions for ADM/DFS. e-QIP is a secure website that is owned and operated by the Office of Personnel Management (OPM). The data contained within e-QIP is sensitive but unclassified. It is designed to house all personnel investigative forms including the Standard Form (SF)-86, Questionnaire for National Security Positions, the SF-85P, Questionnaire for Public Trust Positions, the SF-85PS, Supplemental Questionnaire for Selected Positions, and the SF-85, Questionnaire for Non-sensitive Positions. Individuals are invited into the system electronically to enter, update, and release their personal investigative data over a secure internet connection to their sponsoring agency for review, approval, and submission to our investigation provider.
o Next Generation Name Check Program (NGNCP) / Law Enforcement Enterprise Portal (LEEP): The NGNCP/LEEP supports NRC Personnel Security functions. It provides information from the Federal Bureau of Investigation (FBI) records based on name checks of the spouses/cohabitants of NRC employees and applicants to ensure there is not a security risk regarding the employees or applicants initial or continuing eligibility for NRC employment or access authorization.
ADM Support Services (ASS): The ASS subsystem consists of three separate systems/services that do not contain Personally Identifiable Information (PII). Please refer to their Privacy Threshold Assessments below for additional information.
o NRC Webstreaming Service - (Main Library (ML) ML18177A311),
June 27, 2018 o Postage Meter System (PMS) - (ML17276A160), October 3, 2017 o FIX-IT/Clean-It - (ML19246A144), September 6, 2019 PIA Template (12-2020) 2
- 3. Describe any modules or subsystems, where relevant, and their functions.
PSATS:
PSATS is used by the NRC to automate the tracking of personnel security related activities. The function of the system is to serve as a mechanism to track the status of security checks related to the processing of an individuals security clearance. This system monitors the status of personnel security clearance checks for applicants, current NRC employees, contractors, consultants, student interns, licensees, and anyone who requires access to NRC facilities, classified information, sensitive NRC information and equipment, nuclear power facilities, and special nuclear material.
SPMS:
The NRC uses the SPMS to manage office space, property asset inventory, visitor access requests, and employee headquarter parking assignments.
SPMS consists of the following four modules:
o Property Management Module: Tracks all government furnished equipment that is considered sensitive or is valued over one thousand dollars. Qualified equipment is tracked from purchase to disposal. The Property Management module tracks all furniture purchases and warehouse operations. The ultimate goal of the Property Module is to ensure that all properties monitored by NRC, owned or capitalized, are managed appropriately with the sufficient level of safeguards to prevent waste, fraud, abuse, and mismanagement. Property Custodians utilize SPMS to update property information. The entire lifecycle of the equipment is tracked within SPMS.
o Space and Facilities Management Module: The Space and Facilities Management module enables the efficient utilization of the NRC office space at headquarters and the four regional offices. NRC must continuously monitor the current use of NRC office space while working with the NRC offices and Regions to identify and plan for their upcoming space requirements. The space design process entails considering each offices current allocation of office space against their current and projected organizational and functional requirements in order to plan appropriate adjustments to their space allocation and/or configuration.
These office representatives have online access to SPMS to review data and provide ADM with proposed information updates.
o Visitor Access Request System (VARS): The VARS module enables NRC guards and users to create and track visit requests. Each visitors name and company are identified in the system. All visitors at headquarters are entered in SPMS. ADM manually verifies visitors entered against the Government Watch List to ensure that suspected felons do not have access to NRC facilities. For classified meetings, only visitors with the appropriate level of clearance are permitted to attend. A PIA Template (12-2020) 3
visitors level of clearance is also verified against a separate system called PSATS. SPMS also serves as the historical log of previous visits to ensure proper oversight of facility security.
o Parking Management Module: The Parking Management module allows ADM to administer the processing and distribution of monthly employee-only parking passes for parking spaces at headquarters. This ensures an equitable assignment of onsite parking spaces and fulfills facility security requirements in accordance with Federal Management Regulations and NRC specific rules, regulations, and policies.
DTTS: DTTS is a case management and random drug pool generation system that is currently used to track drug testing records and generate random drug test pools. DTTS is a client application that sits on a standalone Information Technology Infrastructure (ITI) workstation located in the secure Drug Testing Program office. ITI personnel perform offline updates/maintenance activities on the workstation.
DTTS key functionalities include:
o Generating random drug testing pools (Headquarter, Regional Offices, and the Technical Training Center) o Monitoring drug test dates and results o Providing management and statistical reports AES: AES consists of two separate external services/modules:
o e-QIP: ADM/DFS only utilizes a portion of the OPM system as detailed in Section A.2. There are two sides of e-QIP, the OPM NP2 Portal Agency side https://apollo.opm.gov and the e-QIP Secure Applicant Website, https://nbib.opm.gov/e-qip-background-investigations. e-QIP is a module of the overall OPM portal and membership into this portal is by invitation only. Applicants are initiated into the system to enter their personal data to complete the required investigative paperwork listed above.
o NGNCP/LEEP: NGNCP/LEEP has two modules:
The Customer Facing Element (CFE), used by FBI customers, provides a secure, web-based interface for customer submissions using a separate agency organizational account and individual accounts for each user. CFE allows for electronic name check submissions, name check submission status, response packages, automated billing process, and reporting capability.
PIA Template (12-2020) 4
The Processing Element (PE), used by the FBI, provides a web-based PE for research analysts that includes search interfaces, automated billing process, automated workflow, application replacement, application consolidation, metrics, auditing, and reporting capability.
- 4. What legal authority authorizes the purchase or development of this system?
The systems in the MASS FISMA Boundary are authorized through several legal authorities.
PSATS:
Executive Order 10450, as amended, Security Requirements for Government Employment SPMS:
Due to the extensive features available within SPMS, each of the aforementioned modules are governed by separate sets of laws and regulations.
o Property Management Module:
Federal Property Management Regulation managed by General Services Administration encompasses the following regulations:
Federal Acquisition Regulation, specifically 48 Code of Federal Regulation (CFR) Part 45, Federal Acquisition Regulations System, Government Property.
41 CFR:
o 101-25.100, Use of Government Personal Property and Nonpersonal Services o 101-25.301, General o 101-25.302, Office Furniture, Furnishings, and Equipment o 101-26.2, Federal Requisitioning System o 101-45, Sale, Abandonment, or Destruction of Personal Property o 102-36, Transfer of Excess Personal Property o 102-37, Donation of Surplus Personal Property o 102-38, Sale of Personal Property 40 United State Code:
o 483 - Property Utilization o 487 - Surveys of Government Property and Management Practices o 506 - Inventory Controls and Systems PIA Template (12-2020) 5
Executive Order 12999, Educational Technology, Ensuring Opportunity for All Children in the Next Century, April 17, 1996 Executive Order 13423, Strengthening Federal Environmental, Energy, and Transportation Management, January 24, 2007 o Space and Facilities Management Module 36 CFR Part 1191, Americans with Disabilities Act (ADA)
Accessibility Guidelines for Buildings and Facilities; Architectural Barriers Act (ABA) Accessibility Guidelines 41 CFR: Chapter 101, Federal Property Management Regulation, Subchapter D, Public Buildings and Space; Part 102-73, Real Estate Acquisition; Part 102- 74, Facility Management; Part 102-76, Design and Construction; Part 102-79, Assignment and Utilization of Space; and Part 102-85, Pricing Policy for Occupancy in GSA Space.
48 CFR 23.2, Energy and Water Efficiency and Renewable Energy Executive Order 13423, Strengthening Federal Environmental, Energy, and Transportation Management, January 24, 2007 Executive Order 13514, Federal Leadership in Environmental, Energy, and Economic Performance, October 5, 2009. 13576, Delivering an Efficient, Effective, and Accountable Government, June 13, 2011 5 U.S.C. 301 - Government Organization and Employees.
o Visitor Access Request System:
Visitor access security measures are governed by The Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended.
10 CFR:
o Part 25, Access Authorization o Part 95, Facility Security Clearance and Safeguarding of National Security Information and Restricted Data o Part 160, Trespassing on Commission Property 41 CFR Part 101, Federal Property Management Regulations National Industrial Security Program Operating Manual, Department of Defense 5220.22M, February 28, 2006, and Supplement 1, April 1, 2004 PIA Template (12-2020) 6
Department of Justices Vulnerability Assessment of Federal Facilities, June 28, 1995 Director of Central Intelligence Directive 6/9, Physical Security Standards for Sensitive Compartmented Information Facilities (SCIFs), November 18, 2002 E.O. 10865, as amended, Safeguarding Classified Information within Industry, February 20, 1960 E.O. 12829, National Industrial Security Program (NISP),
January 6, 1993 E.O.12958, as amended, Classified National Security Information, April 17, 1995 E.O. 13142, Amendment to Executive Order 12958 - Classified National Security, November 19, 1999 E.O. 13292, Further Amendment to Executive Order 12958, As Amended, Classified National Security Information, March 25, 2003 E.O. 12968, Access to Classified Information, August 2, 1995 Interagency Security Committee Security Criteria for New Federal Office Buildings and Major Modernization Projects Intelligence Community Standard No. 705-1, Physical and Technical Security Standards for Sensitive Compartmentalized Information Faculties National Security Agency (NSA) performance requirements for High Security Crosscut Paper Shredders - NSA/Central Security Service Evaluated Products List for High Security Crosscut Paper Shredders NACSI 4005, Standard Criteria for Safeguarding Communications Security Material, August 22, 1973 FIPS PUB 201-1, Federal Information Processing Standards Publication, Personal Identity Verification (PIV) of Federal Employees and Contractors Homeland Security Presidential Directive 3, Homeland Security Advisory System, March 11, 2002 Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004 PIA Template (12-2020) 7
Presidential Decision Directive 63, Critical Infrastructure Protection, May 22, 1998 Security Policy Board, Executive Branch Provisions of the NISP, September 19, 1996 USC Title 18: Crimes and Criminal Proceedings (Title 18) and Electronic Communications Privacy Act of 1986 (ECPA) (18 U.S.C.
2510 et seq.)
USC Title 42: Americans With Disabilities Act of 1990 (ADA) (42 U.S.C. 12101 etseq.) and Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 etseq.)
USC Title 47: Communications Assistance for Law Enforcement Act of 1994 (47 U.S.C.1001 et seq.)
USC Title 50: Coordination of Counterintelligence Activities (50 U.S.C. 402a) and Foreign Intelligence Surveillance Act of 1978 (50 U.S.C. 1801 et seq.)
USC Title 44: Federal Information Security Management Act of 2002 (FISMA) (44U.S.C. 3541 et seq.)
USC Title 5: Freedom of Information Act (5 U.S.C. 552); Inspector General Act of 1978 (5 U.S.C., App. 3); and Privacy Act of 1974, as amended (5 U.S.C. 552a)
Homeland Security Act of 2002 (6 U.S.C. 101 et seq.)
Electronic Communications Privacy Act of 1986 (ECPA, codified at 18 U.S.C. 2510 2522) was enacted by the United States Congress to extend government restrictions on wire taps from telephone calls to include transmissions of electronic data by computer. Specifically, ECPA was an amendment to Title III of the Omnibus Crime Control and Safe Streets Act of 1968 (the Wiretap Statute), which was primarily designed to prevent unauthorized government access to private electronic communications.
10 CFR: Part 25, Access Authorization; Part 95, Facility Security Clearance and Safeguarding of National Security Information and Restricted Data o Parking Management Module:
10 CFR Title 41, Subtitle C-Chapter 102-Subchapter C - Part 102 Subpart C, Code of Conduct - Federal Facilities Owned and Leased by the General Service Administration. The information is also required to administer Qualified Transportation Benefits to comply PIA Template (12-2020) 8
with the Americans with Disabilities Act of 1990, NRC MD 13.4, Transportation Management, and Collective Bargaining Agreement 39.
DTTS:
Executive Order 12564, Section 503 of Public Law 100-71, 5 U.S.C. 7301 AES:
o e-QIP:
Executive Orders 9397, 10450, 10577, 10865, 12333, 12968, 13467 as amended, 13488, and 13549; 5 U.S.C. §§ 1103, 1302, 1303, 1304, 3301, 7301, 9101, and 11001; 22 U.S.C. §§ 272b, 290a, 2519; 31 U.S.C. §§ 1537; 42 U.S.C. §§1874(b) (3), 2165, 2201, and 20132; 50 U.S.C. § 3341; Public Law 108-136; and Homeland Security Presidential Directive (HSPD) 12.
o NGNCP/LEEP:
Section 145 of the Atomic Energy Act of 1954, as amended Executive Order 13467 - Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information, as amended Executive Order 10865 - Safeguarding Classified Information within Industry; Executive Order 12968 - Access to Classified Information, as amended 10 CFR Part 10, Subpart B - Criteria and Procedures for Determining Eligibility for Access to Restricted Data or National Security Information for an Employment Clearance
- 5. What is the purpose of the system and the data to be collected?
PSATS:
To track and manage the official agency records on investigations, clearances, drug testing, and credentialing that are maintained on paper as part of its Personnel and Facilities Security Programs.
SPMS:
SPMS supports NRC's space management, property management, and parking management and provides NRC with the means to schedule, record, and thus control visitor access to its facilities.
PIA Template (12-2020) 9
DTTS:
DTTS provides the Drug Testing Program staff the ability to manage creating random drug test pools and tracking drug test results.
AES:
o e-QIP:
The Federal Government requires background investigations and reinvestigations of all Federal employees, Federal contractors, licensees, applicants, and incumbents. The NRC uses this system to conduct national security investigations on all of its employees.
o NGNCP/LEEP:
The purpose of the system is to electronically submit name check requests to the FBI and to receive the results (responses) electronically.
The data collected will be reviewed by NRC security personnel to provide assurance that employees, consultants, contractors, licensees, and others are reliable and trustworthy to have access to NRC facilities, classified information, sensitive NRC information and equipment, nuclear power facilities, and special nuclear material.
PIA Template (12-2020) 10
- 6. Points of
Contact:
Project Manager Office/Division/Branch Telephone Timothy Pulliam ADM/DFS 301-415-8080 Christoph Heilig ADM/DFS/PSB 301-415-7731 Jesus Sanchez ADM/DFS/PSB 301-415-2509 Nancy Turner Boyd ADM/DFS/PSB 301-415-6645 Jason Wright ADM/DFS/MGSDB 301-415-5446 Jackie Nicholson ADM/DFS/MGSDB/SDT 301-415-2095 Charles Farlow ADM/DFS/FOSMB/FOT 301-659-5022 Emily Robbins ADM/DFS/PSB 301-415-7000 Patricia Ibanez CounterPointe Solutions, Inc. 703-789-2390 Business Project Manager Office/Division/Branch Telephone N/A N/A N/A Technical Project Manager Office/Division/Branch Telephone N/A N/A N/A Executive Sponsor Office/Division/Branch Telephone N/A N/A N/A ISSO Office/Division/Branch Telephone Diem Le ADM/PMAE/BITT 301-415-7114 Karen Cudd ADM/PMAE/BITT 301-415-5362 System Owner/User Officer/Division/Branch Telephone Jennifer Golder ADM 301-287-0741 James Corbett ADM 301-415-8725
- 7. Does this privacy impact assessment (PIA) support a proposed new system or a proposed modification to an existing system?
- a. New System Modify Existing System X Other Annual update as well as to include the exclusion of Electronic Print Order Reporting System (ePORTS) as an external information technology (IT) service of ASS.
PIA Template (12-2020) 11
- b. If modifying or making other updates to an existing system, has a PIA been prepared before?
Yes.
(1) If yes, provide the date approved and the Agencywide Documents Access and Management System (ADAMS) accession number.
Approval Date: October 11, 2019 ADAMS accession number: ML19140A507 (2) If yes, provide a summary of modifications or other changes to the existing system.
ePORTS was recently declared as a website and is no longer an external IT service within ASS.
- 8. Do you have an NRC system Enterprise Architecture (EA)/Inventory number?
Yes.
B. INFORMATION COLLECTED AND MAINTAINED These questions are intended to define the scope of the information requested as well as the reasons for its collection. Section 1 should be completed only if information is being collected about individuals. Section 2 should be completed for information being collected that is not about individuals.
- 1. INFORMATION ABOUT INDIVIDUALS
- a. Does this system maintain information about individuals?
Yes.
PIA Template (12-2020) 12
(1) If yes, identify the group(s) of individuals (e.g., Federal employees, Federal contractors, licensees, general public (provide description for general public (non-licensee workers, applicants before they are licenses etc.))).
PSATS:
o Federal employees o Federal contractors o Licensees o Consultants o Foreign assignees o Employment applicants SPMS:
o Federal employees o Federal contractors o Licensees o Visitors to the NRC DTTS:
o NRC employees o Federal contractors o Employment applicants AES:
o e-QIP:
Federal employees Federal contractors Licensees General Public o NGNCP/LEEP:
Federal employees Federal contractors Licensees Consultants (2) IF NO, SKIP TO QUESTION B.2.
PIA Template (12-2020) 13
- b. What information is being maintained in the system about an individual (be specific - e.g. Social Security Number (SSN), Place of Birth (POB), Name, Address)?
PSATS:
Demographic data, personal identification, and security clearance/access approval information, to include but not limited to:
name, SSN, date and POB, identity verification information, credential/badge number, a subset of drug testing records (testing date, date of results, applicant test result, random test result if positive), employee and contractor foreign travel information, and classified visit data (name of visitor, agency/organization, level of clearance, dates of visit).
SPMS:
Within SPMS, the following information is stored only for active employees and contractors: employee/contractor first name, middle name, last name, suffix, Local Area Network (LAN) ID, position title, employee status, organization, office telephone number, duty station, mailstop, email address, employee effective date, and employee type.
Retired or departing employees are purged from the system unless government owned property was lost under his/her custody. Departed contractors are immediately purged from the system.
The following information is stored only for employees and is not available for contractors: employee number, pay plan, grade, occupational series, supervisors status, and bargain unit indicator.
All visitors must furnish the following information when being registered in SPMS: first name, last name, company, start date of visit, end date of visit, NRC contact name, NRC contact phone number, location of the visit, nationality, visitor type, meeting access level, and, when feasible, a scanned copy of the identification card used such as a drivers license.
With the addition of Parking Management, the following information is maintained: office telephone number, vehicle tag number, office work hours, NRC service computation date, and check box indicating need for handicap assigned space.
DTTS:
o Name o D.O.B.
o SSN o Office o Position o Drug Test Dates PIA Template (12-2020) 14
o Drug Test Results AES:
o e-QIP:
The type of information collected includes: name, date of birth (DOB), POB, SSN, other names used, identifying information (hair, weight, height, eyes, sex), work/home phone numbers, citizenship, mothers maiden name, current/previous home addresses, education, employment history, name/address/phone number of references, marital status, spouse information (name, DOB, POB, SSN, other names used, citizenship, date/place married, separation date, address), former spouse information (name, DOB, POB, citizenship, date/place married, divorced/date/place, widowed/date, address), relative info (name, DOB, country of birth, citizenship, address), military history, foreign activities, foreign countries visited, medical info, police record, drug activity, alcohol use, investigations info, financial info, and civil court actions.
o NGNCP/LEEP:
Personal identification, to include: the employee or applicants spouse/cohabitants name, SSN, date and POB, present address, and citizenship; spouse/cohabitants parents names, date and POB, present address, and citizenship; and criminal history record of spouse/cohabitant based on name check.
- c. Is information being collected from the subject individual?
PSATS: Yes.
SPMS: Yes.
DTTS: No.
AES:
o e-QIP: Yes.
o NGNCP/LEEP: No.
(1) If yes, what information is being collected?
PSATS:
The information is not collected directly by PSATS. It is collected from the subject individuals through OPM e-QIP and/or the completion of standard government forms used for personnel security.
PIA Template (12-2020) 15
SPMS:
All visitors must furnish the following information when being registered in SPMS: first name, last name, company, start date of visit, end date of visit, NRC contact name, NRC contact phone number, location of the visit, nationality, visitor type, and meeting access level.
If the visitor is attending a meeting where sensitive or classified information is shared, the visitor must be marked as having the sufficient level of clearance in order to obtain a badge. The visitor is encouraged, but not required, to furnish the following data: middle initial, visitor cell phone, visitor email address, purpose of visit, car make, license plate, NRC escort, parking spot reservation duration (All Day, AM-Parking, PM-Parking), and additional comments. If an NRC visitor furnishes his/her drivers license as identification, then, when feasible, the guard attaches the image to the visitors record within SPMS. The drivers license images are automatically deleted six years after each visit by a prescheduled cron job. An image of the visitors drivers license (which is PII) is kept in the system for six years in cases of inquiries regarding the visitor subsequent to the visit.
For employee parking requests, applications are required to fill out the NRC Form 505, Application for Parking, which includes: individuals name, vehicle tag number, office organization, office mail stop, office telephone number, office e-mail, office work hours, NRC service computation date, and check box indicating need for handicap assigned space.
AES:
o e-QIP:
Everything required on the forms identified in Section B.1.b is collected from the subject individuals.
- d. Will the information be collected from individuals who are not Federal employees?
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
PIA Template (12-2020) 16
AES:
o e-QIP: Yes.
o NGNCP/LEEP: Yes.
(1) If yes, does the information collection have the Office of Management and Budget (OMB) approval?
PSATS:
The information collection does not have OMB approval directly by PSATS. Information that will be maintained in PSATS is collected by a variety of tools. OMB Clearances already exist for those tools. Therefore, no additional OMB Clearance is required.
SPMS:
The information collected does not require OMB approval.
The information collection is limited to the information necessary to identify a visitor and, therefore, no OMB clearance is needed. In addition, an actual drivers license is not collected but the information on it is collected. Drivers licenses are not covered by the exemption in 5 CFR 1320.3(h)(2).
DTTS:
Yes, however information is NOT being obtained directly from the individual. The PSB receives this information from the security authorization form and information is transferred to the donors chain-of-custody form during testing.
AES:
o e-QIP:
Yes, the information collected has an OMB approval.
o NGNCP/LEEP:
Yes, the information collected has an OMB approval.
(a) If yes, indicate the OMB approval number:
DTTS:
The authority for authorization for this form is OMB No.
0930-0158.
PIA Template (12-2020) 17
AES:
o e-QIP:
SF 86 - OMB No. 3206-0005 SF 85 - OMB No. 3206-0261 SF 85P - OMB No. 3206-0258 SF 85PS - OMB No. 3206-0258 o NGNCP/LEEP:
OMB No. 3150-0026
- e. Is the information being collected from existing NRC files, databases, or systems?
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
(1) If yes, identify the files/databases/systems and the information being collected.
PSATS:
Information will be manually entered and/or scanned from the official agency records on investigations, clearances, drug testing, and credentialing maintained on paper as part of the Personnel and Facility Security and Drug Testing Programs.
Other information systems will not have direct access (connection) to PSATS. However, there will be imports of current data from other NRC systems, such as Federal Personnel Payroll System (FPPS), Employee Drug Test Tracking System, and Enterprise Identity System (EIH).
SPMS:
On a weekly basis the Office of the Chief Human Capital Officer (OCHCO) extracts from FPPS, two pipe-delimited files containing NRC employee and NRC organization information in downloadable form to an SPMS directory. FPPS is not PIA Template (12-2020) 18
integrated into SPMS but their files are loaded into SPMS. On a nightly basis, SPMS also uploads an Active Directory file furnished by Office of the Chief Information Officer (OCIO) containing the LAN identification and email address of users classified as NRC employees and contractors.
On a weekly basis, FPPS provides a pipe-delimited file containing organizational code, employee name, employee number, pay plan, grade, occupational series, supervisor status, bargaining unit indicator, email address, first name, middle name, last name, suffix, LAN ID, employee status, employee title, duty station, employee effective date, and employee type. FPPS also furnishes another pipe-delimited file containing organization codes, office divisions, and branch codes. SPMS also uploads an Active Directory file containing the LAN identification and email address of users categorized as NRC employees and contractors on a nightly basis. The data is made available from OCIO.
DTTS:
Data will be extracted from the Department of Interior's (DOI)
FPPS and loaded into DTTS. OCHCO provides a periodic flat file that is moved to an encrypted MXI thumb drive and imported into the standalone DTTS database.
- f. Is the information being collected from external sources (any source outside of the NRC)?
PSATS: Yes.
SPMS: No.
DTTS: Yes.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
(1) If yes, identify the source and what type of information is being collected.
PSATS:
OPM is the Investigative Service Provider (ISP). They provide completed investigation products such as fingerprinting results and clearance information.
PIA Template (12-2020) 19
DTTS:
Information is collected about an individuals drug test results by NRCs Medical Review Officer (MRO).
- g. How will information not collected directly from the subject individual be verified as current, accurate, and complete?
PSATS:
The e-QIP signature page acts as the certification from the individual that the information they submit as part of their investigation is current, accurate, and complete. OPM and/or NRC then conduct a thorough review to ensure completeness and accuracy.
SPMS:
OCHCO verifies the employee data and the organization data following Federal and NRC regulations and requirements. OCIO verifies all LAN accounts and email addresses following Federal and NRC requirements.
DTTS:
Individual identifying information is cross checked from chain-of-custody form (OMB No. 0930-0158). The multi-part form contains specimen ID number and donor information that ties the urine specimen with the correct donor, and this information is verified by the donor at the time of collection.
AES:
o e-QIP:
There are numerous checks done within the e-QIP system to verify the structure of the data. NRC PSB initiates a new e-QIP request for an applicant inviting them into the system to complete their form online. The applicant completes the form online and before submitting it to PSB, the system requires each applicant to validate and certify with electronic signature that the form is accurate before submitting it to PSB. PSB reviews the online application for accuracy and completeness and rejects it back to the applicant if it is missing data or requires corrections. If the form is accurate, PSB validates the form within the system and releases the e-QIP request to the ISP. If there are validation errors, the system will not allow the form to be submitted to the ISP.
PIA Template (12-2020) 20
o NGNCP/LEEP:
The NRC Form 354, Data Report on Spouse (3150-0026) is signed by the employee or applicant and is also signed by the spouse or cohabitant. This should certify that the information on the form is current, accurate, and complete.
- h. How will the information be collected (e.g. form, data transfer)?
PSATS:
Information is manually entered and/or scanned into PSATS and is electronically sent from OPM through e-Delivery (.pdf documents) to track and manage the official agency records on investigations, clearances, drug testing, and credentials that are maintained in paper as part of its Personnel and Facilities Security Programs.
SPMS:
All files containing NRC employee and NRC organization information in downloadable form will be transferred to an SPMS directory then loaded into SPMS through prescheduled cron jobs.
o Parking Management Module:
All applicants are required to complete and submit NRC Form 505, Application for Parking, or the NRC Form 505A, Application for Handicap Parking, as applicable. Information is manually entered into the Parking Management by ADM/DFS.
DTTS:
The MRO receives results from the drug testing laboratory and mails chain-of-custody forms to the NRC Drug Test Program office.
AES:
o e-QIP:
The information is collected via an individuals data entry on the electronic forms, which are then submitted to the e-QIP. The hiring agency then accesses/review/verifies the information, then submits the forms to OPM for investigation.
o NGNCP/LEEP:
The information collected on the NRC Form 354 is entered directly into the LEEP secure website by an NRC PSB employee or contractor.
PIA Template (12-2020) 21
- 2. INFORMATION NOT ABOUT INDIVIDUALS
- a. Will information not about individuals be maintained in this system?
PSATS: No.
SPMS: Yes.
DTTS: No.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
(1) If yes, identify the type of information (be specific).
SPMS:
FPPS furnishes a pipe-delimited file containing organization codes, office divisions, and branch codes. Computer Aided Drawings (CAD) drawings of NRC facilities are imported to and can be viewed in SPMS. CAD drawings contain the following data elements: location, building, floor, room number, room area, and room area standards. The Property Management Module maintains information regarding Government Furnished and Government Leased Equipment such as: office, organization code, building/floor/room number, purchase order number, property tag number, item description, serial number, model number, acquisition cost, acquisition date, Major/Minor class number, manufacturer, property custodian, document reference number, requisition and/or purchase order number, and Organizational Account Code. VARS is used to manage the process of identifying, tracking, and scheduling visitors to NRC buildings. VARS is also used to track visitor parking requests at a limited number of NRC facilities.
The Space and Facilities Management and Parking Management modules do not contain information about individuals.
PIA Template (12-2020) 22
- b. What is the source of this information? Will it come from internal agency sources and/or external sources? Explain in detail.
PSATS:
OPM is the Investigative Service Provider. They provide completed investigation products such as fingerprinting results and clearance information.
SPMS:
SPMS does not obtain data from an external source. Floor plans such as CAD drawings are compiled by the Space Design Branch within ADM. Information regarding Government Furnished and Government Leased Equipment is furnished by the Property Management Branch based on invoices, purchase agreements, and packing slips.
DTTS:
Information is collected about an individuals drug test results by NRCs MRO.
AES:
o e-QIP: N/A.
o NGNCP/LEEP: N/A.
C. USES OF SYSTEM AND INFORMATION These questions will identify the use of the information and the accuracy of the data being used.
- 1. Describe all uses made of the data in this system.
PSATS:
PSATS tracks and manages the personnel security (security clearances, investigative and access authorizations), drug program data associated with applicant drug testing and employee random drug testing, and incoming and outgoing classified visit data. The information is used for reporting, statistics, forecasting, history tracking, validation, etc. Credentialing data will be used to enable reciprocal acceptance of PIV credential determinations across agencies. Classified visit data will be used to validate an individuals clearance level and show access approval for the specific visit.
PIA Template (12-2020) 23
SPMS:
SPMS data is used for space design and allocation, property management inventory tracking, NRC visitor monitoring, and employee parking assignments. The functionalities of each module are discussed in more detail below:
o Parking Management Module:
The information is used to determine the utilization of parking spaces, fees collected, and prioritization of applicants. NRC captures office telephone numbers and vehicle tag number in case the owner of the vehicle needs to be contacted.
o Space and Facilities Management Module:
The Space Design Branch staff use the data on a daily basis in conjunction with their duties as space planners and designers. The Space Management Domain is broken down into two different activities:
Space Inventory and Performance, compiling an inventory of spatial locations with maps, and Personnel and Occupancy, assigning of people to spatial areas. The space planning system focuses on two components of general-purpose office space: the primary (or people occupied) areas, and the office support areas. SPMS contains data needed to perform a space requirement analysis. This analysis identifies the functions to be performed in the space and triggers the space allocation formula and design criteria from the databases. Also identified in the analysis are:
(1) any special organizational requirements; (2) existing architectural and design conditions; and (3) adjacency requirements. By automating the process of constructing the space requirements analysis, space planners can respond quickly to customer requests for space changes in the near term as well as conduct an iterative what-if scenario involving large blocks of space composed of many workstations and multiple organizations. The primary system users consist of the DFS space management and design staff, but each program office has a representative who can access the data in the system.
o Property Management Module:
Equipment records from purchase to disposal are monitored within the Property Management Module. The following types of transactions are tracked under Property Management: equipment, furniture, and supplies.
The ultimate goal of Property Management is to ensure that all properties monitored by NRC, owned or capitalized, are managed appropriately with a sufficient level of safeguards to prevent waste, fraud, abuse, and mismanagement. SPMS provides controls to prevent duplication of property tag numbers and audit trails for all property transactions, PIA Template (12-2020) 24
including the identification of the individual entering a record in the system and including the capability to archive all such transactions. User roles and workflow are available within SPMS to safeguard against unauthorized access and to ensure that only authorized users have access to the assigned equipment.
o Visitor Access Request System:
VARS collects data about requests for visits, visitor parking, and arrivals and departures of visitors at NRC. The goal of VARS is to ensure that Level Four Facility guidelines are properly executed at NRC. Visitor information is captured and verified manually against the Criminal Watch List or Terror Watch List. For classified meetings, VARS checks that only visitors with the appropriate level of clearance are permitted to attend.
The Security Management Operations Branch is immediately notified when a foreign national is registered in VARS. Badges have time limits which ensure that they cannot be used longer than the duration permitted.
SPMS also calculates depreciation for capitalized equipment. Reports and ad hoc queries can be generated from SPMS.
DTTS:
Data in this system will be used to determine if an employee or contractor in a sensitive position is suitable for Government employment.
AES:
o e-QIP:
The information is used for background investigations. NRC also uses the information during the application process for updating an existing application.
o NGNCP/LEEP:
Data will consist of criminal record checks based on name checks only. If there is no criminal record, the data will reflect no record. If there is a criminal record, the record will be revealed. The information revealed permits ADM/DFS to make security determinations as to whether or not any information on a specific individual has an impact on an employee or applicants initial or continued eligibility for access authorization or employment clearance.
- 1. Is the use of the data both relevant and necessary for the purpose for which the system is designed?
PSATS: Yes.
SPMS: Yes.
PIA Template (12-2020) 25
DTTS: Yes.
AES:
o e-QIP: Yes.
o NGNCP/LEEP: Yes.
- 2. Who will ensure the proper use of the data in this system?
PSATS:
ADM/DFS authorized staff ensures proper use of the information.
SPMS:
The System Owner, Business Project Manager, Information System Security Officer, System Administrator, and Network Administrators will ensure proper use of the information in the system.
DTTS:
Drug Testing Program staff.
AES:
o e-QIP:
NRC and OPM.
o NGNCP/LEEP:
NRC and FBI.
- 3. Are the data elements described in detail and documented?
Yes.
- a. If yes, what is the name of the document that contains this information and where is it located?
PSATS:
The PSATS Data Dictionary and Users Guide contains this information and is located in NRC Confluence.
SPMS:
Yes, the SPMS Data Dictionary is stored in the NRC Confluence.
PIA Template (12-2020) 26
DTTS:
DTTS User Guide, located on DTTS workstation NRC-35 Drug Testing Program Records.
AES:
o e-QIP:
Yes, through OPMs documentation concerning e-QIP. NRC is an end user and not an owner.
o NGNCP/LEEP:
Yes, through FBIs documentation concerning NGNCP. NRC is an end user and not an owner.
- 4. Will the system derive new data or create previously unavailable data about an individual through aggregation from the information collected?
Derived data is obtained from a source for one purpose and then the original information is used to deduce/infer a separate and distinct bit of information that is aggregated to form information that is usually different from the source information.
Aggregation of data is the taking of various data elements and then turning it into a composite of all the data to form another type of data (i.e. tables or data arrays).
PSATS: No.
SPMS: No.
DTTS: No.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
- a. If yes, how will aggregated data be maintained, filed, and utilized?
N/A.
- b. How will aggregated data be validated for relevance and accuracy?
N/A.
PIA Template (12-2020) 27
- c. If data are consolidated, what controls protect it from unauthorized access, use, or modification?
The subsystems in the MASS FISMA boundary comply with organizational defined computer security controls. These controls are applied to harden the system against unauthorized access, insider threat, compromise, or disaster.
They also comply with the change management procedures of the OCIO to make sure only authorized work is performed on the system.
The systems comply with the policies and procedures of the OCIO Computer Security Organization and undergoes independent continuous monitoring assessments to secure the system.
The data in the systems is restricted to application administrators in the ADM/FSB. These administrators have undergone rigorous background screening and are trained in their administrator duties to secure the MASS subsystems.
The system owner has also assigned primary and alternate information system security officers to the MASS FISMA boundary to make sure system security controls are operating as designed and intended.
- 5. How will data be retrieved from the system? Will data be retrieved by an individuals name or personal identifier (name, unique number or symbol)?
(Be specific.)
Yes.
- a. If yes, explain, and list the identifiers that will be used to retrieve information on the individual.
PSATS:
Information about an individual will be retrievable by name or SSN.
Information can also be retrieved via the PSATS reporting tool (standard reports and queries).
SPMS:
SPMS monitors the location of government furnished equipment, space allocation to employees, and space utilization. The aforementioned information is not PII. Data will be retrieved by requesting one of the standard reports available to authorized users.
NRC employees and authorized contractors can also locate the official duty station of the employees and this information is publicly available.
Only a very limited user community has access to visitors and their visits. User access is reviewed on a quarterly basis.
PIA Template (12-2020) 28
DTTS:
Information about an individual will be retrieved using their Name and/or SSN.
AES:
o e-QIP:
Information is retrieved from e-QIP by SSN, name, or investigation request number.
o NGNCP/LEEP:
A unique identifier number is assigned to each name check request. The Personnel Security user will click on a link on a returned name check to see the report. If the name check located any sensitive information at all, the report will be sent via Federal Express back to the original requester.
- 6. Has a Privacy Act System of Records Notice (SORN) been published in the Federal Register?
PSATS:
Yes - NRC System of Records 39 (Personnel Security Files and Associated Records).
SPMS:
No. SPMS does not provide real-time data that could identify and locate an employee. Within the Visitor Access Request Module, the option exists to see whether the visitor is still on site at NRC; however, specific location, such as building, or room is not available.
DTTS:
Yes - NRC 35 System of Records (Drug Testing Program Records-NRC).
AES:
o e-QIP:
Yes - OPM/CENTRAL 9 Personnel Investigations Records.
PIA Template (12-2020) 29
o NGNCP/LEEP:
Yes - FBIs Central Records System, FBI-002 63 FR 8659, 8671*
66 FR 17200 66 FR 29994
- a. If Yes, provide name of SORN and location in the Federal Register.
Listed under each area above.
- 7. If the information system is being modified, will the SORN(s) require amendment or revision?
N/A.
- 8. Will this system provide the capability to identify, locate, and monitor (e.g., track, observe) individuals?
PSATS: No.
SPMS:
No. SPMS does not provide real-time data that could identify and locate an employee. Within the Visitor Access Request Module, the option exists to see whether the visitor is still on site at NRC; however, specific location, such as building or room, is not available.
DTTS: No.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
- a. If yes, explain.
(1) What controls will be used to prevent unauthorized monitoring?
N/A.
- 9. List the report(s) that will be produced from this system.
PSATS:
There are over 75 specific reports and an ad hoc capability available from the PSATS reporting tool. Reports are run on an as-needed basis.
PIA Template (12-2020) 30
SPMS:
There are over 30 specific reports and an ad hoc capability available from the SPMS reporting tool. Reports are run on an as needed basis.
DTTS:
o A list of employees/contractors who must report for random drug testing o A report of the number of drug test conducted, dates, and results o Notification of drug test results AES:
o e-QIP:
Reports include the following:
How many individuals have been initiated How many have not accessed the system after being invited How many forms were rejected How many forms are in review o NGNCP/LEEP:
Criminal Histories.
- a. What are the reports used for?
PSATS:
Reports will be used for security information, budgetary purposes, resource planning, and quality control purposes.
SPMS:
o Space and Facilities Management Module To determine occupancy levels and where offices are located as well as for future space scenarios such as:
Office specific workstations Report Office specific employees Report Office specific square footage Report Office specific vacant offices Report PIA Template (12-2020) 31
o Property Management Module To be able to track all information concerning property and equipment purchased by the NRC such as:
Acquisition Report Requisitions Report Active Records Report Excess Report Depreciation Report o Visitor Access Request System VARS tracks all visit requests and visitor arrivals and departures.
The following reports are developed to ensure that only authorized visitors have access to NRC facilities:
Visitor Parking Report Visitor Log (by Name, Date, Location, etc.)
Visitor by Country (not USA)
Classified Visitor Prox Cards Not Returned NRC Contact Visited o Parking Management Module Since there is a limited inventory of parking spaces, reports are utilized to perform reconciliation to ensure that MD 13.4 and Article 39 Collective Bargaining Agreement have been adhered to regarding the distribution of monthly parking spaces to NRC employees and contractors. These reports include:
Permits by Request Type License Tags Carpool Members Parking Applicants by Request Type Handicap Report Monthly Parking Collection Totals Schedule of Parking Collections Lost Permit Log Monthly Parking Ticket Distribution Monthly Parking List by Name Monthly Parking List by Permit Current Month Non-Payers Monthly Parking Log PIA Template (12-2020) 32
DTTS:
The list of employees will be used to have those people on the list report for drug testing. The report on the number of drug tests conducted, dates, and results will be used for reporting up to Management. Notification of drug test results will be sent to the person being tested.
AES:
o e-QIP:
System management.
o NGNCP/LEEP:
The reports are role-based and provide the names that were either submitted or still unsubmitted. The other type of report is for billing purposes for the role that handles the payments for the name checks.
- b. Who has access to these reports?
PSATS:
Staff from the Personnel and Facilities Security Branches, the System Administrator, and ADM IT Coordinator will have need-to-know access based on a roles and responsibilities.
SPMS:
Depending on user roles which are reviewed by the System Administrator every quarter, user will have access to different reports.
Users with elevated access will have access to additional reports.
DTTS:
o Drug Testing Program staff o ADM Managers with a need to know.
o Office of the General Council Attorneys with need to know.
o OCHCO Management with need to know.
AES:
o e-QIP:
System administrator.
PIA Template (12-2020) 33
o NGNCP/LEEP:
The reports are role-based and only NRC staff with accounts can access the reports.
D. ACCESS TO DATA
- 1. Which NRC office(s) will have access to the data in the system?
PSATS:
General Records Schedule (GRS) 1, Item 36, Federal Workplace Drug Testing Program Files; GRS 1, Item 10, Temporary Individual Employee Records; GRS 18, Item 17, Visitor Control Files; GRS 18, Item 22, Personnel Clearance Files; and GRS 24, Item 6, User Identification, Profiles, Authorizations, and Password Files (excluding records relating to electronic signatures).
SPMS:
o Space and Facilities Management Module:
Individuals from ADM/DFS with assigned duties.
o Property Management Module:
Individuals from ADM/DFS with assigned duties, such as IT Coordinators and Property Custodians. User access is monitored by the Property Labor Services Branch within the Office of Administration.
o Visitor Access Request Module:
All NRC employees and approved contractors with the privilege to escort visitors have the ability to enter a visitor entry. Their level of access to the system will depend upon their roles.
o Parking Management Module:
Individuals from ADM/DFS with assigned duties.
DTTS:
ADM Drug Test Program staff.
AES:
o e-QIP:
ADM/DFS/PSB has access to review, approve, and submit to OPM.
PIA Template (12-2020) 34
o NGNCP/LEEP:
ADM/DFS/PSB.
(1) For what purpose?
PSATS:
For reporting, validation, statistics, forecasting, history tracking, etc.
SPMS:
o Space and Facilities Management Module is utilized by Space Coordinators to determine occupancy levels and where offices are located as well as for future space scenarios.
o Property Management Module is used to track all information concerning the entire life cycle of equipment purchased by the NRC in compliance with agency mandates and federal regulations.
o Visitor Access Request System is used to track all visit requests and visitor arrivals and departures. The reports are developed to ensure that only authorized visitors have access to NRC facilities.
o Parking Management Module is used to prioritize and assign employee parking spaces and monitor monthly fee collections.
DTTS:
Management of the NRC Drug Testing Program.
AES:
o e-QIP:
The systems completed forms are used to initiate background investigations. NRC also uses the information during the application process for updating an existing application.
o NGNCP/LEEP:
To make security determinations as to whether or not any information on a specific individual has an impact on their initial or continued eligibility for access authorization or employment clearance.
PIA Template (12-2020) 35
(2) Will access be limited?
PSATS:
Yes. Limited by need-to-know based on roles and responsibilities.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP:
Yes, access restricted by roles.
o NGNCP/LEEP:
Yes, limited by need-to-know based on roles and responsibilities.
- 2. Will other NRC systems share data with or have access to the data in the system?
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP: No.
o NGNCP/LEEP: No.
(1) If yes, identify the system(s).
PSATS:
Other NRC systems will not have direct access (connection) to PSATS. However, there will be imports of current data from other NRC systems, such as FPPS, Employee Drug Test Tracking System, and EIH.
SPMS:
EIH, FPPS, and Pandemic System located at Region II.
PIA Template (12-2020) 36
DTTS:
There is no direct access since DTTS is a standalone workstation. All file sharing will be performed through manual file importing and exporting.
The following NRC systems share data with and/or have access to the data in DTTS:
o PSATS o DOIs FPPS (2) How will the data be transmitted or disclosed?
PSATS:
Information will be transmitted via secure file transfer.
SPMS:
Open Database Connectivity - export.
DTTS:
Data about an individual will be extracted from DTTS onto an NRC encrypted MXI Thumb Drive and loaded into PSATS only for the pre-employment drug test type.
- 3. Will external agencies/organizations/public have access to the data in the system?
PSATS:
No, external agencies will have direct access to the information in PSATS.
However, a flat file (batch loading of data in a specific layout for agency reporting) is produced monthly to verify security clearances with OPMs Clearance Verification System (CVS).
SPMS: No.
DTTS: No.
AES:
o e-QIP:
Yes, but only to the individual agencys data.
PIA Template (12-2020) 37
o NGNCP/LEEP:
Other FBI customers would have access to their own name check information. It is possible that other agencies would be seeking information on the same individuals as the NRC.
(1) If yes, who?
PSATS: N/A.
AES:
o e-QIP:
Each agency has access to data on their employees/applicants.
o NGNCP/LEEP:
The FBI determines the user accounts by accrediting the users and requiring them to sign user agreements.
(2) Will access be limited?
PSATS: N/A.
AES:
o e-QIP: N/A o NGNCP/LEEP: Yes.
(3) What data will be accessible and for what purpose/use?
PSATS:
The information uploaded into the secure portal at OPMs CVS includes the SSN, last name, active clearance level, and date, city, and state/country of birth. Since OPM already has the information about an individual, NRC is just communicating the clearance information.
AES:
o e-QIP:
If an employee changes agencies or applies to an agency and already has an electronic form on file, the employee may grant the agency permission to begin the application process.
PIA Template (12-2020) 38
o NGNCP/LEEP:
Criminal history records based on name checks only. This information will assist NRC Personnel Security in making determination if employees, consultants, contractors, licensees, and others are reliable and trustworthy to have access to NRC facilities, classified information, sensitive NRC information and equipment, nuclear power facilities, and special nuclear material.
(4) How will the data be transmitted or disclosed?
PSATS:
This information is uploaded electronically to the secure portal within OPM. The transmission is secured with 256-bit encryption.
AES:
o e-QIP:
Individual agencies are not able to transmit or disclose information.
o NGNCP/LEEP:
The data will be available to the NRC Personnel Security users with accounts in the system. If the data is non-sensitive, it will be available within the application. If the data is sensitive, it will be sent via Federal Express back to the original requester.
E. RECORDS AND INFORMATION MANAGEMENT (RIM) - 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). These determinations are made through records retention schedules and NARA statutes (44 United States Code (U.S.C.), 36 Code of Federal Regulations (CFR)). Under 36 CFR 1234.10, agencies are required to establish procedures for addressing records management requirements, including recordkeeping requirements and disposition, before approving new electronic information systems or enhancements to existing systems. The following question is intended to determine whether the records and data/information in the system have approved records retention schedule and disposition instructions, whether the system incorporates RIM and NARAs Universal Electronic Records Management requirements, and if a strategy is needed to ensure compliance.
PIA Template (12-2020) 39
- 1) Can you map this system to an applicable retention schedule in NRCs Comprehensive Records Disposition Schedule (NUREG-0910), or NARAs General Records Schedules?
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP: Yes.
o NGNCP/LEEP: Yes.
- a. If yes, please cite the schedule number, approved disposition, and describe how this is accomplished (then move to F.1).
For example, will the records or a composite thereof be deleted once they reach their approved retention or exported to an approved file format for transfer to the National Archives based on their approved disposition?
Module Old GRS Superseded Records Series Disposition by this GRS Instruction PSATS 1, item 36 2.7 item 100 Federal Workplace Drug Temporary.
Testing Program Files. Destroy when 3 Drug test plans and years old or when procedures. superseded or obsolete.
1, item 10 2.3 item 041 Temporary Individual Temporary.
Employee Records Destroy when superseded or obsolete, or upon separation or transfer of employee, whichever is earlier.
18 item17 5.6 item 110 Visitor Processing Temporary.
Records. Areas requiring Destroy when 5 highest level security years old, but awareness. longer retention is authorized if required for business use.
PIA Template (12-2020) 40
5.6 item 111 Visitor Processing Temporary.
Records. All other facility Destroy when 2 security areas. years old, but longer retention is authorized if required for business use.
18 item 22 5.6 item 181 Personnel security and Temporary.
access clearance records. Destroy 5 years Records of people issued after employee or clearances. contractor relationship ends, but longer retention is authorized if required for business use.
5.6 item 170 Personnel security Temporary.
investigative reports. Destroy in Personnel suitability and accordance with eligibility investigative the investigating reports. agency instructions.
5.6 item 190 Index to the personnel Temporary.
case files. Destroy when superseded or obsolete.
24 item 6 3.2 item 031 System access records. Temporary.
Systems requiring special Destroy 6 years accountability for access. after password is altered or user account is terminated, but longer retention is authorized if required for business use.
3.2 item 030 System access records. Temporary.
Systems not requiring Destroy when special accountability for business use access. ceases.
SPMS - 11 item 1, 5.4 item 010 Facility, space, vehicle, Temporary.
Space 11 item 2 equipment, stock, and Destroy when 3 Module supply administrative and years old or 3 years operational records. after superseded, as appropriate, but longer retention is authorized if required for business purposes.
SPMS - 18 item 17a 5.6 item 110 Visitor processing Temporary.
Property records. Areas requiring Destroy when 5 PIA Template (12-2020) 41
Module highest level security years old, but awareness. longer retention is authorized if required for business use.
18 item 17b 5.6 item 111 Visitor processing Temporary.
records. All other facility Destroy when 2 security areas. years old, but longer retention is authorized if required for business use.
SPMS - 11 item 4a, 5.6 item 120 Personal identification Temporary.
Parking 11 item 4b credentials and cards. Destroy mandatory Management Application and activation and optional data records. elements housed in the agency identity management system and printed on the identification card 6 years after terminating an employee or contractors employment, but longer retention is authorized if required for business use.
PIA Template (12-2020) 42
5.6 item 130 Local facility identification Temporary.
and card access records. Destroy upon immediate collection once the temporary credential or card is returned for potential reissuance due to near expiration or not to exceed 6 months from time of issuance or when individual no longer requires access, whichever is sooner, but longer retention is authorized if required for business use.
DTTS 1 item 36b 2.7 item 110 Employee drug test Temporary.
acknowledgment of notice Destroy when forms. employee separates from testing-designated position.
1 item 36c 2.7 item 100 Employee drug test plans, Temporary.
procedures, and Destroy when 3 scheduling records. years old or when superseded or obsolete.
1 item 2.7 item 120 Employee drug testing Temporary.
36d(1), specimen records. Destroy 3 years 1 item after date of last 36d(2) entry or when 3 years old, whichever is later.
1 item 2.1 item 050 Job vacancy case files. Temporary.
36e(2) Records of one-time Destroy 2 years competitive and Senior after selection Executive Service certificate is closed announcement/selections. or final settlement of any associated litigation, whichever is later.
PIA Template (12-2020) 43
2.1 item 051 Job vacancy case files. Temporary.
Records of standing Destroy 2 years register competitive files after termination of for multiple positions register.
filled over a period of times.
2.7 item 131 Employee drug test Temporary.
results. Negative results. Destroy when 3 years old.
1 item 2.3 item 060 Administrative grievance, Temporary.
36e(2) disciplinary, performance- Destroy no sooner Note 1 based, and adverse action than 4 years but no case files. later than 7 years (see Note 2) after case is closed of final settlement on appeal, as appropriate.
Note 2: Per OPM, each agency must select one fixed retention period, between 4 and 7 years, for all administrative grievance, adverse action, and performance-based action case files.
Agencies many not use different retention periods individual cases.
AES - e-QIP 18 item 22a 5.6 item 181 Personnel security and Temporary.
access clearance records. Destroy 5 years Records of people issued after employee or clearances. contractor relationship ends, but longer retention is authorized if required for business use.
AES - 18 item 22b 5.6 item 170 Personnel security Temporary.
NGNCP/LEEP investigative reports. Destroy in Personnel suitability and accordance with eligibility investigative the investigating reports. agency instruction.
PIA Template (12-2020) 44
18 item 22c 5.6 item 190 Index to the personnel Temporary.
security case files. Destroy when superseded or obsolete.
- b. If no, please contact the Records and Information Management (RIM) staff at ITIMPolicy.Resource@nrc.gov.
F. TECHNICAL ACCESS AND SECURITY
- 1. Describe the security controls used to limit access to the system (e.g., passwords).
PSATS:
PSATS uses a user ID and encrypted password to access the system. The password must be reset every 90 days. PSATS automatically locks a users access after 3 unsuccessful tries and the user is also logged out of the system after 15 minutes of inactivity. The system will be PIV enabled using an individuals badge and PIN for access.
SPMS:
The system resides behind the NRC network firewall. The user must first gain access to NRC network via valid username and password. Single sign-on via Active Directory is implemented and access is further restricted by user role. User must be cleared with a minimum of IT-II system access to gain access to NRC network and the role will determine the amount of information the user can access. The role is reviewed every quarter and access is deactivated for contractors not logging into SPMS within any 90-day period.
DTTS:
The workstation is standalone and located in the locked Drug Testing Program office. Only Drug Testing Program staff will have keys/combination to the office and content.
Access to DTTS will be limited to the Drug Testing Program staff. Staff must login to the system with a user ID and password.
The ADM System Administrator will have access to the workstation to apply operating system patches, security patches, and software updates and to assist with SQL statements for ad-hoc reporting.
AES:
PIA Template (12-2020) 45
o e-QIP:
The Agency Administrator is responsible for creating accounts for agency employees (Users). The Agency Users are first approved access into the secure web portal by OPM officials. Then a profile is a created for each Agency User in relation to their roles and responsibilities.
A person (agency users and applicants) must be invited into the system before access is granted. An e-mail is then generated to the new user with a registration code and instructions to log in. The user then goes to the secure website and enters their SSN. Three special golden questions (name, DOB, POB) then appear and the user must know these answers to verify their identity along with the registration code. It is then the users responsibility to create a username and password for future logins. The user must also create three challenge questions and answers specifically created by them. This will ensure that no one can attempt to impersonate the user on the e-QIP system.
The Agency Administrator is the only individual who can reset the golden questions back to the default identifiers when a user gets locked out. A lock out occurs after a user encounters three unsuccessful login attempts.
o NGNCP/LEEP:
FBI customers must be accredited and sign a user agreement to use the application. The end user applies for a user account and password and the password must be reset at least every 90 days. If the end user has not logged in within 90 days, the account will automatically expire. The password must be between 8-12 characters, include upper case, lower case, at least one special character and a number. The password cannot use two consecutive characters back to back.
The end user chooses a passcode picture and passcode that will appear each time the end user logs into the application. Once the user logs into the first part of the application, a one-time password email will be automatically sent to the registered email of the user. The user has 60 minutes from the email timestamp to use the passcode to log the rest of the way into the application.
- 2. What controls will prevent the misuse (e.g., unauthorized browsing) of system data by those having access?
PSATS:
An audit log tracks modification to certain data fields within PSATS. All access to data in PSATS is restricted to a need-to-know based on roles and responsibilities.
PIA Template (12-2020) 46
SPMS:
Password protection and assignment of all users to role-based access groups.
DTTS:
NRC Information Technology Rules of Behavior and there is an audit trail of system access, data insert, update, and delete.
AES:
o e-QIP:
There are built in audit logs to monitor disclosures and determine who had access. The audit log tracks to whom the form is assigned at each step in the process. These logs are checked regularly to ensure that the system is accessed appropriately.
o NGNCP/LEEP:
The NRC users only have access to the NRC data for their role-based account and that they specifically requested.
- 3. Are the criteria, procedures, controls, and responsibilities regarding access to the system documented?
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP: Yes.
o NGNCP/LEEP: Yes.
(1) If yes, where?
PSATS:
The date and time of the last login is captured. Certain fields are also captured in an audit log as the data is modified.
PIA Template (12-2020) 47
SPMS:
Security measures are partly described in a Security Plan for MASS. In addition to the Security Plan, the procedures are described in the user procedure.
DTTS:
The criteria, procedures, controls, and responsibilities regarding access to the system is documented for the subsystems in the MASS System Security Plan, February 19, 2020 (ADAMS accession number:
ML20050N478). This document is reviewed annually.
AES:
o e-QIP:
The roles are documented within e-QIP in the user roles set up area.
User accounts are automatically deleted if not accessed within 90 days.
o NGNCP/LEEP:
Each user must read and acknowledge the FBI Systems User Rules of Behavior Agreement Form before access is granted to the system.
- 4. Will the system be accessed or operated at more than one location (site)?
PSATS: Yes.
SPMS: Yes.
DTTS: No.
AES:
o e-QIP:
OPM controls which agencies can access the system. NRC utilizes this system at headquarters. The individuals may access this system wherever the internet can be accessed.
o NGNCP/LEEP:
The end users will be NRC headquarters users.
PIA Template (12-2020) 48
- a. If yes, how will consistent use be maintained at all sites?
PSATS:
PSATS is a web-based system that will operate from the NRC Headquarters Data Center. User access is through authorized network connectivity. Log in requirements and access levels remain the same no matter from what location an approved user attempts to access the system.
SPMS:
SPMS is accessible via the NRC Intranet. The level of access for each module is managed through role-based access privileges.
AES:
o e-QIP: N/A.
o NGNCP/LEEP: N/A.
- 5. Which user groups (e.g., system administrators, project managers, etc.)
have access to the system?
Access to the data is strictly controlled and limited to those with an operational need to access the information.
PSATS:
o PSATS Administrator o Security Manager o Senior Adjudicator o Adjudicator o Processor o Facilities Security Specialist o Station Guard o Drug Manager o Drug Tester o View Only SPMS:
System Administrators, space coordinators, property custodians, parking administrators, and NRC staff who submit visit requests or check visitors in and out.
PIA Template (12-2020) 49
The following are SPMS-defined access groups:
o System Administrator o NRC No Role o NRC System Administrator o Parking Admin o Parking Admin - Daily o Parking Admin - Monthly o Parking Applicant o Parking Attendant o Property Custodian, Space Coordinator o Property Custodian, Space Coordinator and VARS Security o Property Administrator o Property Custodian o Property Custodian and VARS Administrative Services o Property Custodian and VARS Security o Property Group o Property Other o Space Administrator o Space Coordinator o Space Coordinator and VARS Commission Staff o Space Coordinator and VARS Security o Space Group o Space Group and no VARS Access o Space Other o Space Other - No VARS o Space Property Administrator o Space Property Administrator and VARS Security o Space Property Other o VARS o VARS Administrative Services o VARS Commission Staff o VARS Parking Attendant o VARS Security o VARS Service Desk o VARS Staff o VARS Visitor o Warehouse o Warehouse and Property Custodian DTTS:
o Drug Testing Program Staff o ADM System Administrator AES:
PIA Template (12-2020) 50
o e-QIP:
Agency Administrator System Administrator Functional Administrator Initiators Reviewers Approvers Applicant/user o NGNCP/LEEP:
Personnel Security users and Office of Administration, Program Management, Announcements, and Editing (ADM/PMAE) billing users will have access to the system. Each role is segregated. The billing users will not have access to the name check data.
- 6. Will a record of their access to the system be captured?
Yes.
- a. If yes, what will be collected?
PSATS:
The date and time of the last login is captured. Certain fields are also captured in an audit log as the data is modified.
SPMS:
User access will be captured in the audit logs along with time and date of transaction.
DTTS:
Audit Trail of system access, data insert, update, and delete.
AES:
o e-QIP:
Name and role(s) held.
o NGNCP/LEEP:
User access is captured, all requirements pertaining to the Committee on National Security Systems Instruction 1015 (for National Security Systems) auditing requirements are being captured.
PIA Template (12-2020) 51
- 7. Will contractors be involved with the design, development, or maintenance of the system?
If yes, and if this system will maintain information about individuals, ensure Privacy Act and/or PII contract clauses are inserted in their contracts.
Federal Acquisition Regulation (FAR) clause 52.224-1 and FAR clause 52.224-2 should be referenced in all contracts, when the design, development, or operation of a system of records on individuals is required to accomplish an agency function.
PII clause, Contractor Responsibility for Protecting Personally Identifiable Information (June 2009), in all contracts, purchase orders, and orders against other agency contracts and interagency agreements that involve contractor access to NRC owned or controlled PII.
PSATS: Yes.
SPMS: Yes.
DTTS: Yes.
AES:
o e-QIP:
No. The application is owned by a non-NRC agency.
o NGNCP/LEEP:
No. The application is owned by a non-NRC agency.
- 8. What auditing measures and technical safeguards are in place to prevent misuse of data?
PSATS:
An audit log tracks modification to certain data fields within PSATS. All access to data in PSATS is restricted to a need-to-know based on roles and responsibilities.
SPMS:
Audit logs capture the date and time an entry is processed in SPMS. The Employee table has fields recording when a record was updated last by Active Directory. For each module, there exists only one point of entry. NRC Data Center conducts nightly tape backups of the system. All data imported from external systems is stored for historical auditing purposes.
PIA Template (12-2020) 52
DTTS:
o Log into system with USERID/Password.
o Audit trails of system activity built into the application.
ADM:
o e-QIP:
Individuals only have access to e-QIP for a defined period of time. The applicants access is removed when the time has expired, or the applicant has certified and released their data. The e-QIP system administrators, security administrators, IT specialists, Investigation Service Providers, and analysts have access to the system in order to perform their duties in managing, upgrading, and using the system. Role-based access controls are employed to limit the access of information by users and administrators based on the need to know the information for the performance of their official duties. The e-QIP system enforces separation of duties, preventing unauthorized disclosure or modification of information. No unauthorized users are permitted access to system resources. Strict adherence to access control policies is automatically enforced by the system.
o NGNCP/LEEP:
The system allows you to track submission detail, tracking dates, and current stage of processing. All data can be sorted and filtered. NRC users only have access to the NRC data based on roles and responsibilities.
- 9. Is the data secured in accordance with FISMA requirements?
Yes.
- a. If yes, when was Certification and Accreditation last completed?
May 6, 2013 (ADAMS accession number: ML13093A075).
This security authorization will remain in effect as long as the System Owner satisfies the Periodic System Cybersecurity Assessment requirement. The most recent assessment was performed on December 9, 2019 (ADAMS accession number: ML19344B200).
PIA Template (12-2020) 53
PRIVACY IMPACT ASSESSMENT REVIEW/APPROVAL (For Use by OCIO/GEMSD/CSB Staff)
System Name: Moderate ADM Support Systems (MASS)
Submitting Office: Office of Administration (ADM)
A. PRIVACY ACT APPLICABILITY REVIEW Privacy Act is not applicable.
X Privacy Act is applicable.
Comments:
PSATS will maintain personally identifiable information and is covered under NRC-39, Personnel Security Files and Associated Records and NRC-40, Facility Security Access Control Records; AES/LEEP - is covered under NRC-39, Personnel Security Files and Associated Records; AES/e-QIP system maintains PII and is covered under NRC system of records NRC-39, Personnel Security Files and Associated Records. SPMS/Visitor Access Request System (VARS) module records are covered by NRC 40; SPMS/Parking Management module records are covered by Privacy Act System of Records NRC 1, Parking Permit Records and Information in DTTS is covered by Privacy Act systems of records: NRC-35, Drug Testing Program Records.
Reviewers Name Title Signed by Hardy, Sally on 11/23/20 Privacy Officer PIA Template (12-2020) 54
B. INFORMATION COLLECTION APPLICABILITY DETERMINATION No OMB clearance is needed.
X OMB clearance is needed.
X Currently has OMB Clearance. Clearance No.
Comments:
SPMS - ADM will work with ICT to identify and implement the best approach for obtaining OMB approval for the collection of the needed information from visitors.
DTTS:
The authority for authorization for this form is OMB No. 0930-0158.
AES:
o e-QIP:
SF 86 - OMB No. 3206-0005 SF 85 - OMB No. 3206-0261 SF 85P - OMB No. 3206-0258 SF 85PS - OMB No. 3206-0258 o NGNCP/LEEP:
OMB No. 3150-0026 Reviewers Name Title Signed by Cullison, David on 11/19/20 Agency Clearance Officer PIA Template (12-2020) 55
C. RECORDS RETENTION AND DISPOSAL SCHEDULE DETERMINATION No record schedule required.
Additional information is needed to complete assessment.
Needs to be scheduled.
X Existing records retention and disposition schedule covers the system - no modifications needed.
Comments:
Reviewers Name Title Signed by Dove, Marna Sr. Program Analyst, Electronic Records on 11/20/20 Manager D. BRANCH CHIEF REVIEW AND CONCURRENCE This IT system does not collect, maintain, or disseminate information in identifiable form from or about members of the public.
X This IT system does collect, maintain, or disseminate information in identifiable form from or about members of the public.
I concur in the Privacy Act, Information Collections, and Records Management reviews:
Signed by Brown, Cris on 12/01/20 Chief Cyber Security Branch Governance and Enterprise Management Services Division Office of the Chief Information Officer PIA Template (12-2020) 56
TRANSMITTAL OF PRIVACY IMPACT ASSESSMENT/
PRIVACY IMPACT ASSESSMENT REVIEW RESULTS TO: Jennifer M. Golder, Director, Office of Administration (ADM)
Name of System: Moderate ADM Support Systems (MASS)
Date CSB received PIA for review: Date CSB completed PIA review:
September 21, 2020 November 23, 2020 Noted Issues:
Chief Signature/Date:
Cyber Security Branch Governance and Enterprise Management Signed by Brown, Cris Services Division on 12/01/20 Office of the Chief Information Officer Copies of this PIA will be provided to:
Thomas G. Ashley, Jr.
Director IT Services Development and Operations Division Office of the Chief Information Officer Jonathan R. Feibus Chief Information Security Officer (CISO)
Office of the Chief Information Officer PIA Template (12-2020) 57