ML20282A717

U.S. Nuclear Regulatory Commission Privacy Program Plan

ML20282A717
Person / Time
Issue date:	09/30/2020
From:	NRC/OCIO
To:
References
CORR-20-0099, SRM-EDO011121-1
Download: ML20282A717 (15)

Text

U.S. Nuclear Regulatory Commission Privacy Program Plan U.S. NUCLEAR REGULATORY COMMISSION PRIVACY PROGRAM PLAN September 2020 1

U.S. Nuclear Regulatory Commission Privacy Program Plan Table of Contents

1. Introduction..............................................................................................................................3

2. Overview of NRC Privacy Program........................................................................................3 2.1 Mission Statement...................................................................................................................3 2.2 NRC Privacy Office Organization............................................................................................4 2.3 Strategic Goals and Objectives for Privacy.............................................................................6

3. Privacy Workforce Management............................................................................................8

4. Budget and Acquisition..........................................................................................................8

5. Fair Information Practice Principles......................................................................................8

6. Privacy Risk Management Framework..................................................................................9

7. Privacy Control Requirements.............................................................................................10 7.1 NRC Control Allocation..........................................................................................................10 7.2 Privacy Threshold Analysis (PTA) ........................................................................................10 7.3 Privacy Impact Assessment (PIA) ........................................................................................11 7.4 Contractors and Third Parties...............................................................................................11 7.5 System of Records Notices (SORN) ....................................................................................12 7.6 Privacy Act Statements.........................................................................................................12 7.7 Privacy Act Regulations........................................................................................................12

8. Overview of Handling and Protecting Personally Identifiable Information (PII).............13 8.1 Recognizing PII.....................................................................................................................13 8.2 Minimizing the Collection of PII.............................................................................................14 8.3 Handling and Transmitting PII...............................................................................................14

9. Breach Response and Management....................................................................................16

10. Awareness and Training.....................................................................................................17 10.1 New Employee Orientation Training....................................................................................17 10.2 Enterprise Learning Management Training.........................................................................17 10.3 Role-Based Training............................................................................................................17

11. Privacy Reporting................................................................................................................17

12. Conclusion...........................................................................................................................18 2

U.S. Nuclear Regulatory Commission Privacy Program Plan

1. Introduction The purpose of the U.S. Nuclear Regulatory Commission (NRC) Privacy Program Plan is to provide an overview of the privacy program. This Plan, which is consistent with the requirements in the Office of Management and Budget (OMB) Circular A-130, Managing Information as a Strategic Resource includes:

A description of the structure of NRCs privacy program; The resources dedicated to NRCs privacy program; The role of the Senior Agency Official for Privacy (SAOP);

The strategic goals and objectives of the privacy program; The program management controls in place to meet applicable privacy requirements and manage privacy risks; and Additional information deemed important by NRCs SAOP to provide an overview of NRCs privacy program requirements.

2. Overview of NRC Privacy Program 2.1 Mission Statement NRCs program is led by NRCs SAOP. The mission of the Privacy Program is to preserve and enhance privacy protections for all individuals who entrust their personal information to the NRC by embedding and enforcing privacy protections throughout all of NRCs activities. The Privacy Program implements requirements in the Privacy Act of 1974, as amended; E-Government Act of 2002; and the Federal Information Security Modernization Act (FISMA), as well as policy directives and best practices issued in furtherance of those Acts.

The Privacy Program also implements requirements in 32 Code of Federal Regulations (CFR)

Part 2002, Controlled Unclassified Information, because current laws, regulations, or government-wide policies require safeguarding or dissemination controls for personally identifiable information (PII) and Privacy Act information. The requirements in 32 CFR Part 2002 do not override requirements found in laws, regulations, or government-wide policies for the protection of privacy information, such as requirements under the Privacy Act or requirements for PII protection found in government-wide policies issued by the Office of Management and Budget. When determining whether certain information must be protected under the Privacy Act, or whether the Privacy Act allows release of the information to an individual, the decision must be based on the content of the information and the Privacy Act's criteria, regardless of whether the information is designated or marked as Controlled Unclassified Information (CUI).

The Privacy Program adheres to the policy framework embodied in the Fair Information Practice Principle (FIPPs) to ensure that individual privacy is protected throughout the collection, maintenance, use, and dissemination of all PII maintained by the NRC. The FIPPs consist of 3

U.S. Nuclear Regulatory Commission Privacy Program Plan the following five core principles: (1) Notice/Awareness; (2) Choice/Consent; (3)

Access/Participation; (4) Integrity/Security; and (5) Enforcement/Redress. The Privacy Program carries out the following core functions:

Develops and administers NRCs privacy policies and procedures; Provides privacy awareness training to NRC personnel and contractors; Assesses all new or proposed programs, systems, technologies, and business processes for privacy risks and provides recommendations to strengthen privacy protections; Collaborates with NRCs Chief Information Security Officer (CISO), Cyber Security Branch and Network and Security Operations Branch to implement and operationalize policies to secure the confidentiality, integrity, and availability of NRCs information and information systems; Maintains a breach response plan to ensure that all incidents involving PII are properly reported, investigated, and mitigated, as appropriate; and Maintains updated privacy artifacts in compliance with legal requirements (e.g., System of Records Notice, Privacy Impact Assessments, Privacy Threshold Analysis, and Privacy Act Notices).

2.2 NRC Privacy Office Organization NRCs Privacy Program is housed within the Office of the Chief Information Officer (OCIO). The Privacy Program, within OCIO, develops and executes strategies to ensure that privacy is protected for all who entrust their personal information to the NRC, including NRC employees, contractors, and the public, while promoting the integrity and usability of NRCs dataone of NRCs most valuable strategic assets. The Privacy Program is led by NRCs Deputy Director of OCIO, who has also been formally designated as NRCs SAOP pursuant to OMB Memorandum 16-24, Role and Designation of Senior Agency Officials for Privacy.

The SAOP is NRCs key policy advisor on implementing the Privacy Act of 1974; the privacy provisions of the FISMA; the privacy provisions contained in the E-Government Act of 2002; OMB requirements regarding privacy, including those contained in OMB Circular A-130, Managing Information as a Strategic Resource; and National Institute of Standards and Technology (NIST) guidance. The SAOP is responsible for:

Serving as NRCs senior policy authority on matters relating to the public disclosure of information, advising on privacy issues related to informed consent, disclosure risks, and data sharing; Developing and overseeing implementation of Agency-wide policies and procedures relating to the Privacy Act, and assuring that personal information contained in Privacy Act systems of records is handled in compliance with its provisions; Coordinating with the NRCs CUI Senior Agency Official to ensure that personally identifiable information is appropriately safeguarded and disseminated in accordance with 32 CFR Part 2002 and the NRCs CUI policy; 4

U.S. Nuclear Regulatory Commission Privacy Program Plan Communicating NRCs privacy vision, principles, and policies internally and externally; Advocating strategies for data and information collection and dissemination, to ensure NRCs privacy policies and principles are reflected in all operations; Managing privacy risks associated with NRC activities, which involve the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of PII by programs and information systems; Ensuring that NRC employees have the appropriate training and education concerning privacy laws, regulations, policies, and procedures; Working with NRC stakeholders to ensure that vendors/contractors, with access to PII, who engage in business with NRC, abide by federal privacy requirements; Overseeing NRCs process for reviewing and approving Privacy Impact Assessments (PIA) to ensure compliance with the E-Government Act; Coordinating with NRCs CISO to ensure that the FISMA authorization and accreditation process for new and existing systems appropriately addresses privacy-related risks; Partnering with the CISO to ensure all aspects of NRCs privacy program are incorporated into NRCs enterprise infrastructure, information technology (IT), an IT security program; Coordinating with the Office of the General Counsel on privacy laws, regulations, policies, and procedures; Assessing the overall effectiveness of the Privacy Program.

In accordance with OMB Memorandum 16-24, NRCs SAOP has delegated the daily operations of NRCs privacy program to the Privacy Officer and the CISO. For additional details on NRCs organizational responsibilities and delegations of authority, see Management Directive 3.2 Privacy Act.

2.3 Strategic Goals and Objectives for Privacy GOAL 1 Maintain compliance with federal privacy laws, regulations, and best practices.

Adhering to privacy laws and implementing best practices is critical to the success of both the Privacy Program as well as the Agency.

Objective 1.1 - Increase accountability and transparency by enhancing NRCs foundational privacy documents to comply with the Privacy Act, the E-Government Act of 2002, OMB requirements, and best practices. These documents include NRCs System of Records Notices (SORN), Privacy Threshold Analysis (PTA), and PIAs.

5

U.S. Nuclear Regulatory Commission Privacy Program Plan Objective 1.2 - Provide sound and consistent guidance to NRCs offices concerning the implementation of federal privacy laws, regulations, and other best practices, supported by legal advice from OGC.

Objective 1.3 - Review, assess, and advise business owners throughout NRC about NRC programs, projects, information sharing arrangements, systems, and other initiatives to comply with FIPPs. This includes limiting the collection, maintenance, use, and dissemination of PII whenever possible.

Objective 1.4 - Ensure that privacy-related complaints and incidents at NRC are reported systematically, efficiently processed, and appropriately mitigated in accordance with legal requirements and NRC policies and procedures.

GOAL 2 Foster a culture of privacy and demonstrate leadership through policy and strategic partnership The Privacy Programs core mission is to preserve and enhance privacy protections for all individuals who entrust their personal information to the Agency and fostering a culture of privacy at the Agency is a necessary component for achieving this mission.

In accordance with the FIPPs, NRC is authorized to only collect PII that is necessary to carry out its mission and must use that information in accordance with the stated purpose for which it was originally collected.

Objective 2.1 - Provide guidance and issue policies related to privacy by partnering with leaders in each of NRCs Offices to embed and enhance privacy protections throughout the life cycle of NRC initiatives, programs, projects, and systems.

Objective 2.2 - Leverage the expertise of the Federal Privacy Council, as well as experts from professional privacy associations, to foster dialogue and learn about emerging issues.

Objective 2.3 - Provide guidance by leveraging the expertise of the Privacy Officer and the CISO.

GOAL 3 Provide outreach, training, and education to promote and enhance privacy, Agency-wide NRCs Privacy Program ensures that all NRC personnel have a baseline understanding of federal privacy requirements, by providing training for new employees and annually thereafter. NRCs Privacy Program also develops and provides targeted, role-based training to employees with specialized roles on a periodic basis.

6

U.S. Nuclear Regulatory Commission Privacy Program Plan Objective 3.1 - Ensure consistent application of privacy requirements across the Agency.

Objective 3.2 - Develop and deliver targeted, role-based training for employees with specialized roles and other key stakeholders across the Agency.

Objective 3.3 - Educate NRC personnel about the importance of adhering to the FIPPs and partner with key stakeholders to embed the FIPPs into NRCs business practices.

GOAL 4 Develop and maintain top privacy professionals in the federal government NRCs Privacy Program continues to mature. Attracting and retaining specialized talent is critical to the Privacy Programs continued success. Providing support, opportunities for professional growth and development, and maintaining a workplace environment in which they are valued, are all crucial to recruiting and maintaining a high-performing workforce.

Objective 4.1 - Support employee development and emphasize the importance of training and professional development in performance planning.

Objective 4.2 - Reward exceptional employee performance and recognize individual contributions which enhance the Privacy Programs mission.

GOAL 5 Establish Metrics to track the effectiveness of the NRCs Privacy Program Objective 5.1 - Identify areas of improvement based on operational experience and external requirements.

3. Privacy Workforce Management NRCs SAOP collaborates with members of NRCs Executive Leadership to maintain and enhance the workforce planning process, maintain workforce skills, recruit and retain privacy professionals, and develop a set of competency requirements for staff in NRCs Privacy Program. NRCs SAOP facilitates and oversees training for NRCs workforce to ensure NRC personnel have the appropriate knowledge and skill to embed privacy into their respective business processes. Finally, NRCs SAOP ensures that managers take advantage of flexible hiring authorities for specialized positions where necessary.

4. Budget and Acquisition NRCs SAOP ensures that the Agency identifies and plans for the resources needed to implement its privacy program each year. The SAOP collaborates with members of NRCs Executive Leadership, to review IT capital investment plans and budgetary requests to ensure 7

U.S. Nuclear Regulatory Commission Privacy Program Plan that privacy requirements and associated privacy controls are identified and collaborates with key stakeholders to ensure privacy risks are addressed to the maximum extent possible.

5. Fair Information Practice Principles NRCs privacy program adheres to the FIPPs. The Agency has incorporated the following principles into several Agency-wide processes to evaluate information systems, processes, programs, and activities which affect individual privacy. The FIPPs include:

Access and Amendment - Individuals are provided with appropriate access to PII and the opportunity to correct or amend PII.

Accountability - NRC monitors, audits, and documents compliance with the FIPPs through a number of processes, including, but not limited to, the PTA/PIA and SORN processes. Additionally, NRC has incorporated key privacy requirements into the Agencys Rules of Behavior, which are enforced through a process, which can include discipline, to strengthen accountability.

Authority - NRC limits the PII which it creates, collects, uses, processes, stores, maintains, disseminates, and discloses to what is directly relevant and necessary to accomplish the legally authorized purpose. NRC ensures that the appropriate authorities are cited in the appropriate Privacy Act notices.

Minimization - NRC creates, collects, uses, processes, stores, maintains, disseminates, and discloses PII, which is directly relevant and necessary to accomplish the legally authorized purpose. The PII is maintained for as long as is necessary to accomplish the purpose and/or according to the retention schedules.

Quality and Integrity - NRC creates, collects, uses, processes, stores, maintains, disseminates, and discloses PII with the accuracy, relevance, timeliness, and completeness, as is reasonably necessary, to ensure fairness to the individual.

Individual Participation - Individuals are involved in the process of using PII and, to the extent practicable, individual consent is granted for the creation, collection, use, processing, storage, maintenance, dissemination, or disclosure of PII. Individuals may address concerns or complaints to NRCs SAOP.

Purpose Specification and Use Limitation - NRC provides notice of the specific purposes for which PII is collected and only uses, processes, stores, maintains, disseminates, and discloses PII for the purposes explained in the Privacy Act notice, where applicable.

Security - NRC ensures that administrative, technical, and physical safeguards are established to protect PII, commensurate with the risk and magnitude of the harm which would result from its unauthorized access, use, modification, loss, destruction, dissemination, and disclosure.

Transparency - NRC provides clear and accessible notice regarding the creation, collection, use, processing, storage, maintenance, dissemination, and disclosure of PII.

8

U.S. Nuclear Regulatory Commission Privacy Program Plan

6. Privacy Risk Management Framework NRC adheres to the process described in NIST Special Publication (SP) 800-37, Risk Management Framework, to incorporate information security and privacy risk management activities into the system development life cycle. The SAOP collaborates with NRCs CISO to:

Analyze data elements used by each of NRCs information systems, including the information processed, maintained, and transmitted by each system, based on an impact analysis compliant with NIST FIPS Publication 199, Standards for Security Categorization of Federal Information and Information Systems; and Reviews privacy impact assessment which assesses the privacy risks for each of NRCs information systems.

7. Privacy Control Requirements NRC has implemented NIST SP 800-53, Rev. 4 Appendix J to ensure compliance with applicable statutory, regulatory, and policy requirements with respect to information security.

NRC also adheres to Section 208 of the E-Government Act of 2002, which requires agencies to conduct PIAs for electronic systems and collections.

7.1 NRC Control Allocation NRCs Privacy Program has implemented the requirements contained in NIST SP 800-53, Rev. 4 Appendix J. The Privacy Program will designate each control as program management, common, information system-specific, or hybrid. Common controls are controls that are inherited by multiple information systems. Information system-specific controls are controls that are implemented for a particular information system, or the portion of a hybrid control that is implemented for a particular information system. Hybrid controls are controls that are implemented for an information system, in part as a common control and in part as an information system-specific control. The determination as to whether a privacy control is a common, information system-specific, or hybrid control is based on context.

7.2 Privacy Threshold Analysis A PTA is a questionnaire used to determine if a system contains PII, whether a PIA is required, whether a SORN is required, and if any other privacy requirements apply to the information system. A PTA is completed when procuring a new IT system, when developing or significantly modifying an information system, or when a new collection of information is being developed.

While a PTA is not a legally required document, NRCs Privacy Program uses the document to determine whether legally mandated documents are required for each of NRCs information systems. For the status on any PTAs, see our PTA status listing.

7.3 Privacy Impact Assessment A PIA is legally required by Section 208 of the E-Government Act of 2002 and analyzes how information in an identifiable form is collected, maintained, stored, and disseminated. The PIA analyzes the privacy risks as well as the protections and process for handling information to mitigate the privacy risks. PIAs are conducted when:

9

U.S. Nuclear Regulatory Commission Privacy Program Plan

1. Developing or procuring information systems or projects that collect, maintain, or disseminate information in identifiable form; or

2. Initiating a new electronic collection of information in identifiable form from 10 or more persons NRCs PIAs describe: (1) what information is to be collected; (2) why the information is being collected; (3) the intended use of the information; (4) with whom will the information be shared; (5) what opportunities individuals have to decline or consent to provide information or the particular uses of the information; (6) how the information will be secured (7) whether a system of records is being created under the Privacy Act.

Pursuant to NRCs PTA/PIA Policy and Procedures, if the Privacy Officer determines a PIA is required, the Sponsoring Office, Information System Security Officer and System Owner complete the PIA. The Privacy Officer, Information Collections Officer and Records Officer then review the PIA to ensure it is accurate and complete and analyze whether privacy risks are mitigated to an acceptable level. Once complete, the Cyber Security Branch Chief signs the PIA document and a copy is provided to the CISO and Director of IT Services Development &

Operation Division. Also, to comply with FISMA reporting, NRC requires PIAs and PTAs to be reviewed annually. For additional details, see our Privacy Impact Assessment Manual and our PIA Status Listing.

7.4 Contractors and Third Parties NRC ensures contractors and third parties who: (1) create, collect, use, process, store, maintain, disseminate, disclose, or dispose of PII on behalf of the Agency; or (2) operate or use information systems on behalf of the Agency, comply with the mandated privacy requirements.

NRCs Privacy Program coordinated with NRCs Acquisition Management Division to ensure that the applicable privacy clauses are included in the terms and conditions of contracts and other agreements involving the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of NRC information.

7.5 System of Records Notices NRC adheres to the Privacy Act for publishing the SORN in the Federal Register following requirements identified in OMB Circular No. A-108, Federal Agency Responsibilities for Review, Reporting and Publication under the Privacy Act. A system of records is a group of any records, under the control of any agency, from which information about individuals is retrieved by a unique identifier associated with the individual, including, but not limited to, the individuals name, Social Security number (SSN), or a symbol or other identifier assigned to the individual.

All NRC SORNs include a variety of elements, such as: (1) the categories of individuals covered by the system; (2) the legal authority under which the agency collects and maintains individuals information; (3) the purpose for which the agency may use the information; (4) the categories of records contained in the system; (5) the physical, administrative, and technical safeguards used to secure the information; (6) a description of how an individual may request access to or amend their information; and (7) listing of permitted routine uses of information in the systemthat is, the particular types of disclosures an agency is permitted to make to recipients outside the agency without obtaining prior consent of the data subject. The NRC 10

U.S. Nuclear Regulatory Commission Privacy Program Plan Privacy Officer works with the appropriate subject matter experts to draft amended or new SORNs, ensuring that the SORNs include the information required by, and meet the format requirements specified in, OMB Circular No. A-108.

7.6 Privacy Act Statements NRC works with forms owners in each of NRCs Offices to ensure that a Privacy Act statement is provided, or otherwise made available, when the Agency collects information about individuals that will be maintained in a Privacy Act system of records or when collecting an SSN (irrespective of whether the SSN will be maintained in a Privacy Act system of records). This includes working with the NRC Forms Manager.

NRCs Privacy Act Statements provide individuals with the:

Agencys legal authority to collect the information, such as statute, executive order, and/or regulation; Purpose for collecting the information and how it will be used; Routine uses of the information, which describes to whom NRC may disclose information and for what purpose; and Whether providing the information is mandatory or voluntary, along with the effects, if any, on the individual for not providing all or any part of the information requested.

7.7 Privacy Act Regulations NRC has promulgated regulations which implement the requirements contained in the Privacy Act of 1974. The regulations, which are located at 10 CFR Part 9, Subpart B of Title 10 of the CFR, apply to all records maintained by NRC that contain identifiable information about individuals and which are included as part of a system of records. NRCs regulations establish procedures, which enable individuals to gain access to records maintained about them; provide detailed procedures for how to amend inaccurate information; and limit individuals who may access such information.

8. Overview of Handling and Protecting Personally Identifiable Information Handling and safeguarding PII maintained and used by NRC personnel is necessary to ensure the trust of NRC stakeholders.

8.1 Recognizing PII PII refers to information which can be used to distinguish or trace an individuals identity, either alone or when combined with other information, and which is linked or linkable to a specific individual, such as information relating to NRC stakeholders or individual NRC employees or contractors. Sensitive PII is PII which, if lost, compromised, or disclosed without authorization, could result in harm, embarrassment, inconvenience, or unfairness to an individual.

11

U.S. Nuclear Regulatory Commission Privacy Program Plan It is always important to consider the context in which the information is used when determining the level of sensitivity. The same types of information can be sensitive or non-sensitive depending on the context. For example, a list of employee names and phone numbers maintained for emergency contact purposes is far less sensitive than a list of employee names and phone numbers who are being treated for a particular disease.

The following types of PII are considered sensitive when associated with an individual:

SSN (including in truncated form);

Personal Account numbers (included in truncated form);

Place of birth; Date of birth; Mothers maiden name; Biometric information; (e.g., physiological measurement that uniquely identifies a specific individual, such as fingerprints, palm veins, iris prints, or DNA);

Medical information; Personal banking/investment account information (including bank routing numbers);

Credit card/purchase card account numbers; Passport numbers; Potentially sensitive employment information (e.g., performance ratings, disciplinary actions, results of background investigations);

Criminal history; or Information which may stigmatize or may adversely affect an individual.

8.2 Minimizing the Collection of PII NRC complies with the Privacy Acts requirement to limit the collection of PII from individuals.

NRC maintains only relevant and necessary information about individuals, in accordance with a legally authorized purpose. NRC also complies with the OMB Circular A-130, Managing Information as a Strategic Resource, which directs agencies to eliminate unnecessary collections, maintenance, and uses of SSN.

NRCs Privacy Program maintains an inventory of PII holdings and uses the PTA, PIA, and SORN processes to identify methods to further reduce the data the Agency collects and to ensure, to the maximum extent practicable, that such holdings are accurate, relevant, timely, and complete. Moreover, NRCs SAOP ensures NRC minimizes the collection and use of PII contained on NRC forms and correspondence.

8.3 Handling and Transmitting PII NRC provides guidelines for employees and contractors who handle PII due to the nature of the data and the risk to an individual if data were to be compromised. Methods for handling PII include, but are not limited to, the following, and must be done in accordance with NRCs approved records schedules:

Store sensitive PII on secure NRC networks, systems, and NRC-approved media; Secure sensitive paper PII data by locking it in desks and filing cabinets; 12

U.S. Nuclear Regulatory Commission Privacy Program Plan Remove visible PII from desks and office spaces when not in use; Destroy sensitive PII by shredding; Delete sensitive electronic PII by emptying computer recycle bin; Only use NRC-provided e-mail addresses for conducting official business; and Encrypt sensitive PII on computers, media, and other devices, especially when sending data outside of NRCs network.

Sensitive PII may be distributed or released to other individuals only if: (1) it is within the scope of the recipients official duties; (2) the recipient has an official, job-based need to know; (3) the distribution is done in accordance with a legitimate underlying authority (e.g., a routine use specified in a SORN); and (4) sharing information is done in a secure manner. When in doubt, NRC employees must treat PII as sensitive and must keep the transmission of sensitive PII to a minimum, even when transmission would occur by secure means.

Secure means for communicating, sending, and receiving sensitive PII include:

Facsimile - When faxing information, NRC personnel should notify the recipient before and after transmission.

Mail - NRC personnel should physically secure PII when in transit by sealing it in an opaque envelope or container, and mail it using First Class or Priority Mail, or a comparable commercial service. NRC personnel should not mail, or send by courier, sensitive PII on CDs, DVDs, hard drives, flash drives, USB drives, floppy disks, or other removable media unless the data is encrypted.

Hard Copy - NRC personnel should hand-deliver documents containing sensitive PII whenever needed. NRC personnel should not leave sensitive PII unattended on printers, facsimile machines, copiers, or in other common places.

9. Breach Response and Management NRC has an obligation to protect the personal information individuals entrust to the Agency.

The Privacy Program takes this obligation very seriously and has developed a policy and procedures to inform NRC employees and contractors of their obligation to protect PII and to instruct them in specific steps they must take in the event there is an actual or potential compromise of PII. NRCs process for responding to a breach of PII is part of the Agencys formal Incident Response Policy and Procedures and is based on OMB Memorandum 17-12, Preparing for and Responding to a Breach of Personally Identifiable Information.

These procedures describe the Privacy Programs role in the incident response process. In accordance with NRCs Incident Response Policy and Procedures, there are additional steps the CISO is required to take to detect, contain, respond to, and prevent incidents, in accordance with NIST SP 800-61, Rev. 2, Computer Security Incident Handling Guide. The process includes the following:

13

U.S. Nuclear Regulatory Commission Privacy Program Plan All NRC employees and contractors must immediately report any potential or actual incidents to NRCs Incident Response Team (IRT) as soon as they become aware that an incident may have occurred; The IRT must investigate the facts and circumstances surrounding the potential incident and, if PII may have been involved, obtain a determination by the SAOP or designee as to whether PII was potentially compromised; The SAOP and Core Management Group (CMG) must determine which remediation methods should be used in the event of an actual compromise of PII based on the type of harm caused to the individual(s);

The IRT develops after action reports for high- and moderate-risk incidents, which document the details of the incidents and the steps taken to remediate the gaps which caused the incident to occur; and The IRT conducts an annual table-top exercise, which consists of a structured, readiness-testing activity, which simulates an actual incident involving PII designed to prepare key stakeholders and decision-makers for an emergency situation involving a data breach.

10. Awareness and Training NRC requires all employees and contractors to complete privacy training when first beginning work with the Agency and annually thereafter. NRC conducts its annual training through the Agencys Talent Management System (TMS). The training provides an overview of important statutory, regulatory, and other federal privacy requirements, including the Privacy Act, Freedom of Information Act and the E-Government Act of 2002.

10.1 New Employee Orientation Training NRCs Office of Chief Human Capital Officer provides privacy training to all new employees on their first day of work with the Agency. New employee orientation sessions provide an overview about the importance of privacy at NRC, how to handle privacy-protected information, and the penalties for violating the Privacy Act.

10.2 Talent Management System NRC delivers privacy-specific annual training, through the Agencys centralized training system, called TMS. The annual privacy training is required to be completed by all NRC employees and contractors.

10.3 Role-Based Training In addition to new employee and annual privacy training requirements, NRCs Privacy Program provides role-based training to employees with specialized roles on a periodic basis as part of their official duties.

14

U.S. Nuclear Regulatory Commission Privacy Program Plan

11. Privacy Reporting FISMA requires federal agencies to develop, document, and implement agency-wide information security programs, which include plans and procedures to ensure the security of operations for information systems which support the operations of the agencies. All federal agencies are required to submit an annual report to OMB; the United States Department of Homeland Security; and to specific Committees in the United States House of Representatives and Senate.

NRCs SAOP completes the SAOP report, which is submitted as part of NRCs annual FISMA report.

12. Conclusion NRC is committed to safeguarding PII that individuals entrust to the Agency. NRCs Privacy Program uses all methods of regulation, policy, guidance, and principles to further its objective across the Agency. Privacy considerations are embedded in all levels of decision-making and operations in an effort to continue to build a culture of trust and privacy at the NRC.

Signed by Flanders, Scott on 09/16/20 Scott C. Flanders Senior Agency Official for Privacy U.S. Nuclear Regulatory Commission 15