Notice2024-20086
Privacy Act of 1974; System of Records
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 6, 2024
Issuing agencies
Energy Department
Abstract
As required by the Privacy Act of 1974 and the Office of Management and Budget (OMB) Circulars A-108 and A-130, the Department of Energy (DOE or the Department) is publishing a notice of a modification to an existing Privacy Act system of records. DOE proposes to amend System of Records DOE-3 Employee Concerns Program Records. This Systems of Records Notice (SORN) is being modified to align with new formatting requirements published by the OMB, and to ensure appropriate Privacy Act coverage of business processes and Privacy Act information. Substantive changes to the "Purpose(s) of the System," "Categories of Individuals" and "Categories of Records" sections covered by this SORN have been made to align with DOE Order 442.1B. Department of Energy Employee Concerns Program, which was approved by the Department on January 31, 2019. Substantive changes have also been made to the "System Locations," "Routine Uses," and "Administrative, Technical and Physical Safeguards" sections to provide greater transparency. Changes to "Routine Uses" include new provisions related to responding to breaches of information held under a Privacy Act SORN as required by OMB's Memorandum M-17-12, "Preparing for and Responding to a Breach of Personally Identifiable Information" (January 3, 2017). Language throughout the SORN has been updated to align with applicable Federal privacy laws, policies, procedures, and best practices.
Full Text
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<title>Federal Register, Volume 89 Issue 173 (Friday, September 6, 2024)</title>
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[Federal Register Volume 89, Number 173 (Friday, September 6, 2024)]
[Notices]
[Pages 72830-72833]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-20086]
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DEPARTMENT OF ENERGY
Privacy Act of 1974; System of Records
AGENCY: U.S. Department of Energy.
ACTION: Notice of a modified system of records.
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SUMMARY: As required by the Privacy Act of 1974 and the Office of
Management and Budget (OMB) Circulars A-108 and A-130, the Department
of Energy (DOE or the Department) is publishing a notice of a
modification to an existing Privacy Act system of records. DOE proposes
to amend System of Records DOE-3 Employee Concerns Program Records.
This Systems of Records Notice (SORN) is being modified to align with
new formatting requirements published by the OMB, and to ensure
appropriate Privacy Act coverage of business processes and Privacy Act
information. Substantive changes to the ``Purpose(s) of the System,''
``Categories of Individuals'' and ``Categories of Records'' sections
covered by this SORN have been made to align with DOE Order 442.1B.
Department of Energy Employee Concerns Program, which was approved by
the Department on January 31, 2019. Substantive changes have also been
made to the ``System Locations,'' ``Routine Uses,'' and
``Administrative, Technical and Physical Safeguards'' sections to
provide greater transparency. Changes to ``Routine Uses'' include new
provisions related to responding to breaches of information held under
a Privacy Act SORN as required by OMB's Memorandum M-17-12, ``Preparing
for and Responding to a Breach of Personally Identifiable Information''
(January 3, 2017). Language throughout the SORN has been updated to
align with applicable Federal privacy laws, policies, procedures, and
best practices.
DATES: This modified SORN will become applicable following the end of
the public comment period on October 7, 2024 unless comments are
received that result in a contrary determination.
ADDRESSES: Written comments should be sent to the DOE Desk Officer,
Office of Information and Regulatory Affairs, Office of Management and
Budget, New Executive Office Building, Room 10102, 735 17th Street NW,
Washington, DC 20503 and to Ken Hunt, Chief Privacy Officer, U.S.
Department of Energy, 1000 Independence Avenue SW, Rm 8H-085,
Washington, DC 20585 or by facsimile at (202) 586-8151 or by email at
<a href="/cdn-cgi/l/email-protection#2b5b59425d4a48526b435a054f444e054c445d"><span class="__cf_email__" data-cfemail="69191b001f080a10290118470d060c470e061f">[email protected]</span></a>.
FOR FURTHER INFORMATION CONTACT: Ken Hunt, Chief Privacy Officer, U.S.
Department of Energy, 1000 Independence Avenue SW, Rm 8H-085,
Washington, DC 20585 or by facsimile at (202) 586-8151, by email at
<a href="/cdn-cgi/l/email-protection#e191938897808298a18990cf858e84cf868e97"><span class="__cf_email__" data-cfemail="0b7b79627d6a68724b637a256f646e256c647d">[email protected]</span></a>, or by telephone at (240) 686-9485.
SUPPLEMENTARY INFORMATION: On January 9, 2009, DOE published a
Compilation of its Privacy Act systems of records, which included
System of Records DOE-3 Employee Concerns Program Records. This notice
proposes amendments to the ``System Location'' section of that system
of records by updating system locations to which this DOE-3 is
applicable. In the ``Routine Uses'' section, this modified notice
deletes a previous routine use concerning efforts responding to a
suspected or confirmed loss of confidentiality of information as it
appears in DOE's compilation of its Privacy Act systems of records
(January 9, 2009) and replaces it with a routine use intended to assist
DOE with responding to a suspected or confirmed breach of its records
containing Personally Identifiable Information (PII), modeled with
language from OMB's Memorandum M-17-12, ``Preparing for and Responding
to a Breach of Personally Identifiable Information'' (January 3, 2017).
Further, this notice adds two new routine uses. First, this notice
clarifies that a record from the system may be used to document and
address employee concerns pursuant to DOE Order 442.1B, Department of
Energy Employee Concerns Program (and successor documents) and
complaints filed with the Employee Concerns Program pursuant to
provisions of 10 CFR part 708, DOE Contractor Employee Protection
Program. In addition, DOE may assist another agency or entity in
responding to the other agency's or entity's confirmed or suspected
breach of PII, as appropriate, as aligned with OMB's Memorandum M-17-
12. An administrative change required by the FOIA Improvement Act of
2016 extends the length of time a requestor is permitted to file an
appeal under the Privacy Act from 30 to 90 days. Both the ``System
Locations'' and ``Administrative, Technical and Physical Safeguards''
sections have been modified to reflect the Department's usage of cloud-
based services for records storage. Language throughout the SORN has
been updated to align with applicable Federal privacy laws, policies,
procedures, and best practices.
SYSTEM NAME AND NUMBER:
DOE-3 Employee Concerns Program Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Systems to which this SORN is applicable may exist in multiple
locations. All systems storing records in a cloud-based server are
required to use government-approved cloud services and follow National
Institute of Standards and Technology (NIST) security and privacy
standards for access and data retention. Records maintained in a
government-approved cloud server are accessed through secure data
centers in the continental United States.
U.S. Department of Energy Headquarters, 1000 Independence Avenue
SW, Washington, DC 20585.
U.S. Department of Energy, National Nuclear Security
Administration, 1000 Independence Avenue SW, Washington, DC 20585.
U.S. Department of Energy, Office of Legacy Management, 1000
[[Page 72831]]
Independence Avenue SW, Washington, DC 20585.
U.S. Department of Energy, Idaho Operations Office, 1955 Fremont
Avenue, Idaho Falls, ID 83415.
U.S. Department of Energy, Golden Field Office, Room C302-5, 15301
Denver West Parkway, Golden, CO 80401.
U.S. Department of Energy, National Energy Technology Laboratory
(Alaska), 222 W. 7th Avenue, Suite 108, Anchorage, AK 99501.
U.S. Department of Energy, National Energy Technology Laboratory
(Albany), 1450 Queen Avenue SW, Albany, OR 97321.
U.S. Department of Energy, National Energy Technology Laboratory
(Houston), 1011 Highway 6 S., Suite 309, Houston, TX 77077.
U.S. Department of Energy, National Energy Technology Laboratory
(Morgantown), 3610 Collins Ferry Road, Morgantown, WV 26505.
U.S. Department of Energy, National Energy Technology Laboratory
(Pittsburgh), 626 Cochran Mill Road, Pittsburgh, PA 15236.
U.S. Department of Energy, Carlsbad Field Office, Skeen/Whitlock
Building, 4021 National Parks Hwy, 2nd Floor, Room Number T295B,
Carlsbad, NM 88220.
U.S. Department of Energy, Environmental Management Consolidated
Business Center (EMCBC), 550 Main Street, Rm 7-010, Cincinnati, OH
45202.
U.S. Department of Energy, Portsmouth/Paducah Project Office, 1017
Majestic Drive, Lexington, KY 40513.
U.S. Department of Energy, Office of River Protection, P.O. Box
450, Richland, WA 99352.
U.S. Department of Energy, Richland Operations Office, P.O. Box
550, Richland, WA 99352.
U.S. Department of Energy, West Valley Demonstration Project, 9030
Route 219, West Valley, NY 14171.
U.S. Department of Energy, Bonneville Power Administration, 901 NE
11th Ave., Portland, OR 97232.
U.S. Department of Energy, Southeastern Power Administration, 1166
Athens Tech Road, Elberton, GA 30635-6711.
U.S. Department of Energy, Southwestern Power Administration, One
West Third Street, Suite 1500, Tulsa, OK 74103.
U.S. Department of Energy, Western Area Power Administration, 12155
W. Alameda Pkwy., Lakewood, CO 80228.
U.S. Department of Energy, Strategic Petroleum Reserve Project
Management Office, 900 Commerce Road East, New Orleans, LA 70123.
U.S. Department of Energy, Office of Science, Chicago Office,
Consolidated Service Center, 9800 South Cass Avenue, Lemont, IL 60439.
U.S. Department of Energy, Office of Science, Argonne Site Office,
9800 S Cass Ave (B201), Lemont, IL 60439.
U.S. Department of Energy, Office of Science, Ames Site Office,
9800 S Cass Ave (B201) Room 360B, Lemont, IL 60439.
U.S. Department of Energy, Office of Science, Princeton Site
Office, 9800 S Cass Ave (B201) Room 360B, Lemont, IL 60439.
U.S. Department of Energy, Office of Science, Berkeley Site Office,
Lawrence Berkeley National Laboratory, 1 Cyclotron Road, Mailstop 90-
1023, Berkeley, CA. 94720-8123.
U.S. Department of Energy, Office of Science, Brookhaven Site
Office, 53 Bell Avenue, Bldg. 464, Upton, NY 11973.
U.S. Department of Energy, Office of Science, Fermi Site Office, MS
118, P.O. Box 2000, Kirk Road and Pine Street, Batavia, IL 60510.
U.S. Department of Energy, Office of Science Consolidated Service
Center, P.O. Box 2001, Oak Ridge, TN 37831.
U.S. Department of Energy, Office of Science, ORNL Site Office, US
DOE--OSO, P.O. Box 2008 MS-6269, Oak Ridge, TN 37831.
U.S. Department of Energy, Office of Science, Pacific Northwest
Site Office, 3200 Innovation Blvd., Richland, WA 99354.
U.S. Department of Energy, Office of Science, SLAC Site Office,
2575 Sand Hill Road, MS-8A, Menlo Park, CA 94025.
U.S. Department of Energy, Office of Science, Thomas Jefferson Site
Office, 12000 Jefferson Avenue, Suite 14, Newport News, VA 23606.
U.S. Department of Energy, NNSA John A. Gordon, Albuquerque
Complex, 24600 20th Street SE, Albuquerque, NM 87116.
U.S. Department of Energy, Pantex Site Office, P.O. Box 30030,
Amarillo, TX 79120.
U.S. Department of Energy, Kansas Field Office, 2000 East 95th
Street, Kansas City, MO 64131.
U.S. Department of Energy, Los Alamos Field Office 2900 E. Road,
Los Alamos, NM 87544.
U. S. Department of Energy, Livermore Site Office, P.O. Box 808, L-
293, Livermore, CA 94551-0808.
Nevada Field Office, 232 Energy Way North, Las Vegas, NV 89030.
Sandia Site Office, 24600 20th Street SE, Albuquerque, NM 87116.
U.S. Department of Energy, Savannah River Site Office, Road 1A,
Aiken, SC 29801.
U.S. Department of Energy, Y-12 Site Office, P.O. Box 2009, Oak
Ridge, TN 37831-8245.
National Nuclear Security Administration, Los Alamos Acquisition
and Project Management Office, NA-95, c/o Los Alamos National
Laboratory, 30 Bikini Atoll, TA 50 Building 9008 Los Alamos, NM 87545.
National Nuclear Security Administration, Savannah River
Acquisition and Project Management Office, P.O. Box A, Aiken, SC 29802.
National Nuclear Security Administration, Naval Reactors
Laboratory, Building A4, 814 Pittsburgh-McKeesport Boulevard, West
Mifflin, PA 15122.
SYSTEM MANAGER(S):
Headquarters: Office of Environment, Health, Safety and Security,
U.S. Department of Energy, 1000 Independence Avenue SW, Washington, DC
20585.
Field Offices: The managers of the Employee Concerns Programs at
the ``System Locations'' listed above are the system managers for their
respective portions of this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 42 U.S.C. 2201(p);
42 U.S.C. 7254; 42 U.S.C. 5801(a).
PURPOSE(S) OF THE SYSTEM:
Records in this system are maintained and used by the Department to
(i) document and address employee concerns about an activity, policy or
practice of DOE or its contractors or subcontractors, including but not
limited to environmental, safety, health, security, quality, and
management issues or harassment, intimidation, retaliation/reprisal or
discrimination for raising an employee concern, and (ii) document and
address complaints under 10 CFR part 708 that are filed with the
Employee Concerns Program.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former DOE (including NNSA) employees, and DOE and DOE/
NNSA contractor and subcontractor employees who have filed employee
concerns or complaints with DOE Employee Concerns Program offices, or
individuals who have participated or provided information in an
employee concerns process or complaints under 10 CFR part 708 that have
been filed with Employee Concerns Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
Employee concerns; complaints filed pursuant to 10 CFR part 708
with the Employee Concern Program; names,
[[Page 72832]]
Social Security numbers, work and home addresses, telephone numbers;
job titles, series, grade or pay levels; organization; supervisors'
names and telephone numbers; copies of employee records such as
personnel actions, performance appraisals, pay and leave records and
security clearance documents; management reports; witness statements;
affidavits; checklists; notes; inspection reports; audit reports;
financial records; medical records; contractor/corporate-owned records;
documents related to environment, health, safety, and security
conditions; and relevant correspondence.
RECORD SOURCE CATEGORIES:
The concerned employee or complainant; witnesses; management
officials; program office records; and congressional offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
1. A record from this system may be used to address employee
concerns pursuant to DOE Order 442.1B, Department of Energy Employee
Concerns Program (and successor documents), and complaints filed with
the Employee Concerns Program pursuant to provisions of 10 CFR part
708, DOE Contractor Employee Protection Program.
2. A record from this system may be disclosed as a routine use to
union officials acting in their official capacity as a representative
of the grievant or affected employees under 5 U.S.C. Chapter 71.
3. A record from this system may be disclosed as a routine use to a
member of Congress submitting a request involving a constituent when
the constituent has requested assistance from the member concerning the
subject matter of the record. The member of Congress must provide a
copy of the constituent's signed request for assistance.
4. A record from this system may be disclosed as a routine use to
the appropriate local, tribal, state, or Federal agency when records,
alone or in conjunction with other information, indicate a violation or
potential violation of law whether civil, criminal, or regulatory in
nature, and whether arising by general statute or particular program
pursuant thereto.
5. A record from this system may be disclosed as a routine use for
the purpose of an investigation, settlement of claims, or the
preparation and conduct of litigation to (1) persons representing the
Department in the investigation, settlement or litigation, and to
individuals assisting in such representation; (2) others involved in
the investigation, settlement, and litigation, and their
representatives and individuals assisting those representatives; (3)
witnesses, potential witnesses, or their representatives and
assistants; and (4) any other persons who possess information
pertaining to the matter when it is relevant and necessary to obtain
information or testimony relevant to the matter.
6. A record from this system may be disclosed as a routine use to
DOE contractors in performance of their contracts, and their officers
and employees who have a need for the record in the performance of
their duties. Those provided information under this routine use are
subject to the same limitations applicable to Department officers and
employees under the Privacy Act.
7. A record from this system may be disclosed as a routine use to
appropriate agencies, entities, and persons when (1) the Department
suspects or has confirmed that there has been a breach of the system of
records; (2) the Department has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
DOE (including its information systems, programs, and operations), the
Federal Government, or national security; and (3) the disclosure made
to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Department's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
8. A record from this system may be disclosed as a routine use to
another Federal agency or Federal entity, when the Department
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records may be stored as paper records or electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the concerned employee or
complainant or other personal identifier.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Retention and disposition of these records is in accordance with
the National Archives and Records Administration-approved records
disposition schedule with a retention of 4 or 75 years.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Electronic records may be secured and maintained on a cloud-based
software server and operating system that resides in a Federal Risk and
Authorization Management Program (FedRAMP) and Federal Information
Security Modernization Act (FISMA) hosting environment. Data located in
the cloud-based server is firewalled and encrypted at rest and in
transit. The security mechanisms for handling data at rest and in
transit are in accordance with DOE encryption standards. Records are
protected from unauthorized access through the following appropriate
safeguards:
<bullet> Administrative: Access to all records is limited to lawful
government purposes only, with access to electronic records based on
role and either two-factor authentication or password protection. The
system requires passwords to be complex and to be changed frequently.
Users accessing system records undergo frequent training in Privacy Act
and information security requirements. Security and privacy controls
are reviewed on an ongoing basis.
<bullet> Technical: Computerized records systems are safeguarded on
the Departmental networks configured for role-based access based on job
responsibilities and organizational affiliation. Privacy and security
controls are in place for this system and are updated in accordance
with applicable requirements as determined by NIST and DOE directives
and guidance.
<bullet> Physical: Computer servers on which electronic records are
stored are located in secured Department facilities, which are
protected by security guards, identification badges, and cameras. Paper
copies of all records are locked in file cabinets, file rooms, or
offices and are under the control of authorized personnel. Access to
these facilities is granted only to authorized personnel and each
person granted access to the system must be an individual authorized to
use or administer the system.
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RECORD ACCESS PROCEDURES:
The Department follows the procedures outlined in 10 CFR 1008.4.
Valid identification of the individual making the request is required
before information will be processed, given, access granted, or a
correction considered, to ensure that information is processed, given,
corrected, or records disclosed or corrected only at the request of the
proper person.
CONTESTING RECORD PROCEDURES:
Any individual may submit a request to the System Manager and
request a copy of any records relating to them. In accordance with 10
CFR 1008.11, any individual may appeal the denial of a request made by
him or her for information about or for access to or correction or
amendment of records. An appeal shall be filed within 90 calendar days
after receipt of the denial. When an appeal is filed by mail, the
postmark is conclusive as to timeliness. The appeal shall be in writing
and must be signed by the individual. The words ``PRIVACY ACT APPEAL''
should appear in capital letters on the envelope and the letter.
Appeals of denials relating to records maintained in government-wide
system of records reported by Office of Personnel Management (OPM),
shall be filed, as appropriate, with the Assistant Director for Agency
Compliance and Evaluation, OPM, 1900 E Street NW, Washington, DC 20415.
All other appeals relating to DOE records shall be directed to the
Director, Office of Hearings and Appeals (OHA), 1000 Independence
Avenue SW, Washington, DC 20585.
NOTIFICATION PROCEDURES:
In accordance with the DOE regulation implementing the Privacy Act,
10 CFR part 1008, a request by an individual to determine if a system
of records contains information about themselves should be directed to
the U.S. Department of Energy, Headquarters, Privacy Act Officer. The
request should include the requester's complete name and the time
period for which records are sought.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
The system is exempt under subsections 552a(k)(1), (2) and (5) of
the Privacy Act to the extent that information within the system meets
the criteria of those subsections of the Act. Such information has been
exempted from the provisions of subsections (c)(3); 5 U.S.C. 552a (d);
5 U.S.C. 552a (e)(1) of the Act; see the Department's Privacy Act
regulation at 10 CFR part 1008.
HISTORY:
This SORN was last published in the Federal Register (FR), 74 FR
1000-1002, on January 9, 2009.
Signing Authority
This document of the Department of Energy was signed on August 29,
2024 by Ann Dunkin, Senior Agency Official for Privacy, pursuant to
delegated authority from the Secretary of Energy. That document with
the original signature and date is maintained by DOE. For
administrative purposes only, and in compliance with requirements of
the Office of the Federal Register, the undersigned DOE Federal
Register Liaison Officer has been authorized to sign and submit the
document in electronic format for publication, as an official document
of the Department of Energy. This administrative process in no way
alters the legal effect of this document upon publication in the
Federal Register.
Signed in Washington, DC, on September 3, 2024.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2024-20086 Filed 9-5-24; 8:45 am]
BILLING CODE 6450-01-P
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