Privacy Impact Assessment

for

e-Appeal

November 27, 2023

Contact

D. Fon Muttamara

Chief Privacy Officer

Merit Systems Protection Board

1615 M Street, NW

Washington, D.C. 20419

privacy@mspb.gov
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OVERVIEW

The U.S. Merit Systems Protection Board (MSPB) is replacing its current, legacy applications that 

support e-filing, case management, and document and media management for its adjudication 

function with a single new enterprise application named e-Appeal. E-Appeal was developed on 

Tyler Technologies’ (Tyler) low-code application development platform for case management 

(Application Platform). The Application Platform is a Federal Risk and Authorization 

Management Program (FedRAMP) certified, Software as a Service Solution (or SaaS) cloud 

platform. MSPB is conducting this Privacy Impact Assessment (PIA) because e-Appeal collects 

and processes personally identifiable information (PII).

E-Appeal is a web-based application utilized by MSPB to support MSPB’s statutory obligations 

under the Civil Service Reform Act of 1978 (CSRA) to adjudicate employee appeals. E-Appeal 

facilitates the submission, tracking, and case management of initial appeals and petitions for 

review submitted to the full Board. The system also supports complaints submitted and adjudicated 

under the Board’s original jurisdiction authority. E-Appeal serves as an electronic records 

management system for MSPB’s appeals function and stores case data and documents related to 

appeals and complaint adjudication and litigation arising from such matters. E-Appeal is also used 

to facilitate MSPB’s preparation of its annual reports and Annual Performance Report-Annual 

Performance Plan. Some information about appeals or cases stored in e-Appeal may be used in 

depersonalized form for statistical purposes, including to support other statutory functions of the 

Board, such as studies of the civil service under 5 U.S.C. § 1204(a)(3). 

E-Appeal is used to collect, maintain, or disseminate the following types of personal information: 

appellant (respondent) name, alias, home address, telephone number, email address, docket 

number, veterans’ status, race, sex, national origin, and disability status and work-related 

information for business representatives or attorneys representing appellants. While MSPB does 

not require individuals to provide their Social Security Numbers (SSNs), this information is 

sometimes voluntarily provided by appellants in pleading submissions during appeals adjudication

or may be included in official government records submitted by agency representatives. 

Information in e-Appeal may be used and shared between MSPB staff members in the course of 

their official duties. Some system information, including PII, is shared with Tyler for the limited 

purposes of hosting, maintaining, and resolving issues related to e-Appeal. MSPB is responsible 

for day-to-day user administration of e-Appeal. 

Section 1.0 Authorities and Other Requirements

1.1 What specific legal authorities and/or agreements permit 

and define the collection of information by the project in

question?

MSPB’s use of e-Appeal is consistent with all applicable laws, regulations, and policies, including:

5 U.S.C. § 7701(a), 5 U.S.C. § 1204, and 5 U.S.C. § 1206.
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1.2 What Privacy Act System of Records Notice(s) (SORN(s)) 

apply to the information?

In accordance with the Privacy Act of 1974 (Privacy Act), MSPB maintains these records in a 

system of records governed by MSPB’s System of Records Notice, MSPB/GOVT–1, Appeals and 

Case Records SORN, 77 Fed. Reg. 65206 (Oct. 25, 2012).

1.3 Has a system security plan been completed for the 

information system(s) supporting the project?

An Authorization to Operate (ATO) was granted for e-Appeal by FedRAMP in April 2020, 

including a FedRAMP System Security Plan. At the agency level, a Conditional ATO was granted 

by MSPB’s Chief Information Officer on October 1, 2023.

1.4 Does a records retention schedule approved by the 

National Archives and Records Administration (NARA)

exist?

The records maintained in this system of records are subject to MSPB’s Records Disposition 

Authority for this system of records. Electronic records are maintained in designated U.S. data 

centers for cloud service providers and are destroyed by MSPB when the records are seven years 

old or when there is no longer a business need, whichever is later. Electronic case management 

data derived from records in the system may be maintained indefinitely or until MSPB no longer 

needs it. Paper records are maintained at MSPB locations for up to one year after a final 

determination by MSPB or, in some instances, other administrative authorities or the courts. 

Paper records are destroyed when the records are seven years old or when there is no longer a 

business need, whichever is later.

1.5 If the information is covered by the Paperwork Reduction Act 

(PRA), provide the OMB Control number and the agency

number for the collection. If there are multiple forms, include a 

list in an appendix.

The information collected by e-Appeal is currently covered under OMB No. 3124-0017. 

Section 2.0 Characterization of the Information

2.1 Identify the information the project collects, uses, disseminates, 

or maintains.

E-Appeal is used to collect, maintain, or disseminate the following types of personal 

information: name, alias, home address, telephone number, email address, and docket 

number. Other personal information that may have relevance to the issues in the adjudication 

may also be collected, maintained, and used, such as date of birth, veterans’ status, race, sex, 
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gender, national origin, religion, and disability status. While MSPB does not require 

individuals to provide their SSNs, this information is sometimes voluntarily provided by 

appellants in pleading submissions during appeals adjudication or may be included in official 

records submitted by agency representatives. Work-related contact information is collected 

and used by agency representatives or individuals representing appellants. 

2.2 What are the sources of the information and how is

the information collected for the project?

Information is obtained from appellants, their representatives, and agency representatives who 

submit appeals or pleadings during the adjudication process and may concern the appellants or 

third-party individuals that are relevant to the adjudication. Information is also obtained from 

individuals associated with appeals, such as witnesses who testify during adjudication hearings; 

and from MSPB employees.

2.3 Does the project use information from commercial sources 

or publicly available data? If so, explain why and how this 

information is used.

No. MSPB does not use information from commercial sources or publicly available data.

2.4 Discuss how accuracy of the data is ensured.

The data is collected directly from the individual submitting the information.

2.5 Privacy Impact Analysis: Related to Characterization of 

the Information

Privacy Risk: There is a risk that MSPB will collect more information than necessary.

Mitigation: The risk is partially mitigated. E-Appeal and MSPB’s Appeal Form provide prompts 

to collect the information required to submit an appeal pursuant to statutes and regulations. While 

MSPB strives to collect only the information necessary to docket and adjudicate an appeal, 

individuals are able to provide the information beyond what is requested if they believe that 

information is warranted to substantiate their claim. MSPB’s adjudicatory regulations at 5 C.F.R. 

§ 1201.26 instruct parties to an appeal to minimize the inclusion of nonrelevant PII. 

Section 3.0 Uses of the Information

3.1 Describe how and why the project uses the information.

MSPB will utilize e-Appeal to allow appellants, their representatives, and agencies to 

electronically file an appeal and pleadings and view case records in this new, modernized system. 

The information collected through e-Appeal assists MSPB in carrying out its statutory 
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responsibilities and authorities by providing the necessary information for the adjudication of 

individual employee appeals.

3.2 Does the project use technology to conduct electronic searches, 

queries, or analyses in an electronic database to discover or 

locate a predictive pattern or an anomaly? If so, state how 

MSPB plans to use such results.

Yes. MSPB’s use of e-Appeal will leverage e-Appeal’s ability to conduct electronic searches,

queries, and analyses to locate predictive patterns for adjudicatory outcomes or anomalies to 

improve data governance efforts.

3.3 Are there other components with assigned roles 

and responsibilities within the system?

Not applicable.

3.4 Privacy Impact Analysis: Related to the Uses ofInformation

Privacy Risk: There is a risk that information collected will be used inappropriately.

Mitigation: This risk is mitigated. MSPB has implemented several measures to ensure that the 

information is protected and handled in accordance with the uses described above. Authorized 

access to the information collected is restricted through assigned roles and access rights, both 

internally in MSPB and externally for individuals involved in appeals.

Privacy Risk: There is a risk that MSPB could use the information collected for purposes other 

than that for which the information was collected, including for operational uses.

Mitigation: This risk is partially mitigated. MSPB will only use e-Appeal data to the extent 

necessary to provide services and only discloses data to third parties when authorized. Privacy 

notice is provided to individuals informing them about the collection, use, sharing or other

processing of their PII pursuant to a system of records notice published in the Federal Register. 

Additionally, MSPB only collects PII that is related to the adjudication of an appeal. Lastly, all 

MSPB employees are required to take annual privacy training and are subject to discipline for 

inappropriately using PII.

Privacy Risk: There is a risk that as a system hosted by a third-party, data might be accessed 

without authorization. 

Mitigation: Access to information is limited to authorized Tyler Business Analysts and Database

Administrators that are given the minimum amount of system and data access necessary to 

accomplish their authorized duties. Only Tyler Database Administrators can modify MSPB 

data and access to or modification of data is governed by FedRAMP standards as well as 

established protocols between Tyler and MSPB. Access to e-Appeal is controlled, logged, and 

monitored by Tyler and MSPB.
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Section 4.0 Notice

4.1 How does the project provide individuals notice prior to the 

collection of information? If notice is not provided, explain 

why not.

A Privacy Act Statement is provided to individuals accessing e-Appeal prior to any information 

collection. The Privacy Act Statement informs the individuals of the purpose of the collection, the 

routine uses of the disclosure of information, and the consequences for failure to provide the 

information. Additionally, MSPB’s SORN, providing information on the collection of 

information, is available to the public on MSPB’s website. Further, MSPB provides the same 

information in the Acknowledgment Order that is distributed to the parties after an appeal has been 

filed.

4.2 What opportunities are available for individuals to consent 

to uses, decline to provide information, or opt out of the

project?

All information is provided voluntarily by the individual submitting the appeal. As stated above, 

individuals may decline to provide this information; however, failure to provide the information 

requested may delay or prevent the proper docketing of a matter and/or the adjudication of a 

matter, which could result in the dismissal or delay of their appeal or matter and/or prevent access 

to e-Appeal.

4.3 Privacy Impact Analysis: Related to Notice

Privacy Risk: There is a risk that individuals may not realize that the information they initially 

provide to MSPB may later be used for other purposes.

Mitigation: This risk is partially mitigated. MSPB is publishing this PIA and the SORN for 

MSPB/GOVT – 1, Appeals and Case Records, which states that records may be used to document 

and adjudicate appeals and other matters arising under the Board’s appellate and original 

jurisdiction; locate appeal documents and files, physical or electronic; provide statistical data for 

reports, staff productivity, and other management functions; and provide information to support 

other statutory functions of the Board, such as studies of the civil service under 5 U.S.C. 

§ 1204(a)(3), and review of regulations of the Office of Personnel Management (OPM) under 

5 U.S.C. § 1204(f), and reporting under 5 U.S.C. § 1206. Appellants also receive a copy of MSPB’s 

Privacy Act Statement when their appeal is docketed. 
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Section 5.0 Data Retention by the Project

5.1 Explain how long and for what reason the information is

retained.

The records maintained in this system of records are subject to MSPB’s Records Disposition 

Authority for this system of records. Electronic records are maintained in designated U.S. data 

centers for cloud service providers or on MSPB’s local area network and are destroyed by MSPB 

when the records are seven years old or when there is no longer a business need, whichever is later. 

Electronic case management data derived from records in the system may be maintained 

indefinitely or until MSPB no longer needs it. Paper records are maintained at MSPB locations for 

up to one year after a final determination by MSPB or, in some instances, other administrative 

authorities or the courts. Paper records are destroyed when the records are seven years old or when 

there is no longer a business need, whichever is later.

5.2 Privacy Impact Analysis: Related to Retention

Privacy Risk: There is a risk that information collected by the system may be retained for a 

longer period than necessary.

Mitigation: This risk is mitigated. MSPB applies the NARA-approved records retention schedule 

to the information collected. Once the records meet the destruction date designated by MSPB’s 

Records Disposition Authority, MSPB will destroy the records by fiscal year unless there is a 

business need to retain the record.

Section 6.0 Information Sharing

6.1 Is information shared outside of MSPB as part of the normal 

agency operations? If so, identify the organization(s) and how 

the information is accessed and how it is to be used.

Yes. PII is shared outside of MSPB as part of normal agency operations. Specifically, PII is shared 

with the case parties (appellant, their designated representative, if any, and designated Federal

agency representatives) as part of normal adjudication processes. PII is shared with external 

parties, including Federal courts when the appellant exercises their right of judicial appeal, when

required by a routine use in the SORN for MSPB/GOVT – 1, Appeals and Case Records. 

6.2 Describe how the external sharing noted in 6.1 is compatible 

with the SORN noted in 1.2.

The external sharing noted in 6.1 denotes that information may be shared in a manner consistent 

with MSPB’s statutory responsibilities and authorities of adjudicating individual employee 

appeals. Additionally, information will be shared in a manner consistent with the SORN for 

MSPB/GOVT – 1, Appeals and Case Records.
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6.3 Does the project place limitations on re-dissemination?

Yes. MSPB places limitations on re-dissemination of PII. With regard to the external sharing as it 

relates to MSPB’s records, MSPB is subject to the Freedom of Information Act (FOIA) and the 

Privacy Act and will adhere to the provisions of the FOIA and Privacy Act when records are 

requested. Additionally, access to the information is restricted to the designated parties and their 

representatives for purposes of the adjudication of an appeal. Further, the information shared 

pursuant to the routine uses in MSPB’s SORN, MSPB/GOVT – 1, Appeals and Case Records, is 

subject to limitations on further dissemination. MSPB outlines these limitations and obligations of 

the receiving party through a transmittal letter. Generally, receiving parties may not use the 

information for a reason not already approved by MSPB or further disseminate the information 

without the prior written approval of MSPB.

6.4 Describe how the project maintains a record of any

disclosures outside of the Agency.

MSPB has dedicated software for tracking all requests for disclosures of information from eAppeal, such as requests for adjudication records or information under the FOIA, access requests 

for adjudication records or information under the Privacy Act, or routine use requests under 

MSPB’s SORNs or statutes and regulations. The tracking software is a web-based application that 

assists MSPB in tracking and recording requests received for the disclosure of information. This 

includes requests subject to the accounting provisions of the Privacy Act. The information retained 

as part of this accounting requirement includesthe agency or individual requesting the information, 

a description of the requested information, the reason for the request, the date of the request, the 

date of the release, the authority for the release, and the limitations and obligations on the 

requesting agency or individual with regard to use and further dissemination.

6.5 Privacy Impact Analysis: Related to InformationSharing

Privacy Risk: There is a risk that the information is shared outside the scope of MSPB’s SORN 

or without the proper authority or accounting.

Mitigation: This privacy risk is mitigated because only designated parties have restricted access 

to the information maintained in the appeals. Additionally, MSPB only shares information outside

the agency as documented in this PIA and as permitted by the SORN for MSPB/GOVT – 1, 

Appeals and Case Records. An accounting of disclosures is documented each time the information 

is shared outside the agency pursuant to the SORN in MSPB’s disclosure request tracking 

software. Additionally, annual agency privacy training educates MSPB employees on the

appropriate way to protect PII and information maintained in an agency system of records.
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Section 7.0 Redress

7.1 What are the procedures that allow individuals to access 

their information?

Individuals seeking notification of and access to their records in this system of records may submit 

a request in writing to the Office of the Clerk of the Board, Merit Systems Protection Board, 1615 

M Street, NW, Washington, DC 20419, or by email to privacy@mspb.gov. Individuals requesting 

access must comply with MSPB’s Privacy Act regulations regarding verification of identity and 

access to records (5 C.F.R. Part 1205).

7.2 What procedures are in place to allow the subject individual 

to correct inaccurate or erroneousinformation?

Individuals may request that records about them be amended by writing to the Office of the Clerk 

of the Board, Merit Systems Protection Board, 1615 M Street, NW, Washington, DC 20419. 

Individuals requesting amendment must follow MSPB’s Privacy Act regulations regarding 

verification of identity and amendment to records (5 C.F.R. Part 1205). These provisions for 

amendment of the record are not intended to permit the alteration of evidence presented in the 

course of adjudication before MSPB either before or after MSPB has rendered a decision on the 

appeal.

7.3 How does the project notify individuals about the procedures 

for correcting their information?

This PIA provides notice to individuals on how to correct information. Additionally, MSPB’s 

Privacy Act regulations (5 C.F.R. Part 1205) and SORN, MSPB/GOVT-1, Appeals and Case 

Records, provide notice to the individual.

7.4 Privacy Impact Analysis: Related to Redress

Privacy Risk: There is a risk that individuals will not be able to correct incorrect information that 

has been collected about them.

Mitigation: The risk is partially mitigated. MSPB collects directly from the source, i.e., the 

individual or from appellant or agency representatives. Should an individual seek amendment of 

any records they assert are not accurate, relevant, timely, or compete, information on how to submit 

an amendment request is outlined in MSPB’s Privacy Act regulations (5 C.F.R. Part 1205) and 

SORN, MSPB/GOVT-1, Appeals and Case Records. 

Privacy Risk: There is a risk that individuals will be unaware of the procedure for requesting 

access to the information that has been collected about them.

Mitigation: This privacy risk is mitigated in several ways. This PIA provides information for 

individuals to understand how to seek redress, correction, or amendment. Additionally, MSPB’s 
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Privacy Act regulations (5 C.F.R. Part 1205) and SORN, MSPB/GOVT-1, Appeals and Case 

Records provide redress procedures. Lastly, the information is publicly posted on MSPB’s website 

at www.mspb.gov/privacy.

Section 8.0 Auditing and Accountability

The following questions are intended to describe technical and policy-based safeguards 

and security measures.

8.1 How does the project ensure that the information is used 

in accordance with stated practices in this PIA?

MSPB ensures that the practices stated in this PIA are followed by implementing training, standard 

operating procedures, policies, rules of behavior, and role-based access. Only employees and 

contractors with a valid need to know may accessthe information obtained from e-Appeal. Records 

in the system are protected from unauthorized access and misuse through various administrative, 

technical, and security measures, such as access controls, mandatory security and privacy training, 

encryption, multi-factor authentication, security guards, and locked offices.

8.2 Describe what privacy training is provided to users 

either generally or specifically relevant to the project.

All MSPB employees and contractors are required to complete privacy training upon on-boarding

or beginning work on an MSPB contract, respectively, and annually thereafter. MSPB’s Privacy 

Officer logs all information management training completed by agency personnel. This ensures 

that personnel are knowledgeable of their privacy, FOIA, and records management

responsibilities, which includes their obligation to protect PII.

8.3 What procedures are in place to determine which users may 

access the information and how does the project determine

who has access?

MSPB deploys role-based access controls and enforces a separation of duties throughout all MSPB 

operations to limit access to records and ensures that only MSPB employees who have an official 

need to know will have access to the information. The need to know is determined by the respective 

responsibilities of the employee and the needs of the office. MSPB employees who do not have a 

need to know or do not have a need to have certain access do not have access to the information 

in this system.

E-Appeal is a closed system. Only individuals designated as parties, or select individuals 

authorized by agency representatives or appellant attorney representatives for the limited purpose 

of providing legal support to the representative during the adjudication process (e.g., paralegals 

supervised by a representative), have access to the information in e-Appeal.
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8.4 How does the project review and approve information sharing 

agreements, memoranda of understanding (MOUs), new uses of 

the information, new access tothe system by organizations 

within MSPB and outside?

MSPB’s use of e-Appeal does not utilize information sharing agreements or MOUs. New uses of 

the information are not permissible without review and authorization by MSPB’s Chief Privacy 

Officer, Chief Information Officer, and MSPB’s Senior Agency Official for Privacy. If new uses 

of the information are approved, they will only be utilized once appropriate notice has been 

provided, such as an update to this PIA or MSPB’s SORN. 

Responsible Officials

D. Fon Muttamara

Chief Privacy Officer

Merit Systems Protection Board

Approval Signature

William D. Spencer

Executive Director

Senior Agency Official for Privacy

Merit Systems Protection Board