Notice2026-06994
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
April 10, 2026
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 notice of a modification to an existing Privacy Act System of Records. DOE proposes to amend system of records DOE-41 Legal Files (Claims, Litigation, Criminal Violations, Patents, and Others). The system is used to settle claims, prepare for litigation, and resolve matters in which the agency is involved or has an interest in. This System of Records Notice (SORN) is being modified to align with new formatting requirements, published by OMB, and to ensure appropriate Privacy Act coverage of business processes and Privacy Act information.
Full Text
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<title>Federal Register, Volume 91 Issue 69 (Friday, April 10, 2026)</title>
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[Federal Register Volume 91, Number 69 (Friday, April 10, 2026)]
[Notices]
[Pages 18449-18451]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-06994]
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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 notice of a
modification to an existing Privacy Act System of Records. DOE proposes
to amend system of records DOE-41 Legal Files (Claims, Litigation,
Criminal Violations, Patents, and Others). The system is used to settle
claims, prepare for litigation, and resolve matters in which the agency
is involved or has an interest in. This System of Records Notice (SORN)
is being modified to align with new formatting requirements, published
by OMB, and to ensure appropriate Privacy Act coverage of business
processes and Privacy Act information.
DATES: This modified SORN will become applicable following the end of
the public comment period on May 11, 2026 unless comments are received
that result in a contrary determination.
ADDRESSES: Written comments should be sent to Nicole Sanchez, Chief
Privacy Officer, U.S. Department of Energy, 1000 Independence Avenue
SW, Rm. 8H-085, Washington, DC 20585, by facsimile at (202) 586-8151,
or by email at <a href="/cdn-cgi/l/email-protection#51212338273032281139207f353e347f363e27"><span class="__cf_email__" data-cfemail="8ffffde6f9eeecf6cfe7fea1ebe0eaa1e8e0f9">[email protected]</span></a>.
FOR FURTHER INFORMATION CONTACT: Nicole Sanchez, Chief Privacy Officer,
U.S. Department of Energy, 1000 Independence Avenue SW, Rm. 8H-085,
Washington, DC 20585, by facsimile at (202) 586-8151, by email at
<a href="/cdn-cgi/l/email-protection#8afaf8e3fcebe9f3cae2fba4eee5efa4ede5fc"><span class="__cf_email__" data-cfemail="38484a514e595b41785049165c575d165f574e">[email protected]</span></a>, or by telephone at (202) 586-0166.
SUPPLEMENTARY INFORMATION: On January 9, 2009, DOE published a
Compilation of its Privacy Act systems of records, which included
system of records DOE-41 Legal Files (Claims, Litigation, Criminal
Violations, Patents, and Others). This notice proposes amendments to
the system locations section of that system of records by removing the
following system locations where DOE-41 is no longer applicable: Alaska
Power Administration, Bartlesville Energy Technology Center, Grand
Forks Energy Technology Center, Los Alamos Site Office, and the NNSA
Nevada Site Office. 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 one to assist DOE with
responding to a suspected or confirmed breach of its records of
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 one new routine use to ensure that 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-41 Legal Files (Claims, Litigation, Criminal Violations,
Patents, and Others).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Systems leveraging this SORN 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 including NIST Special Publication (SP) 800-
53. 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, Bonneville Power Administration, P.O.
Box 3621, Portland, OR 97208.
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, Idaho Operations Office, 1955 Fremont
Avenue, Idaho Falls, ID 83415.
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, Consolidated Service
Center, P.O. Box 2001, Oak Ridge, TN 37831.
U.S. Department of Energy, National Energy Technology Laboratory,
(Pittsburgh) 626 Cochrans Mill Road, Pittsburgh, PA 15236.
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,
(Albany) 1450 Queen Avenue SW, Albany, OR 97321.
U.S. Department of Energy, NNSA General Counsel, 1000 Independence
Avenue SW, Washington, DC 20585.
U.S. Department of Energy, NNSA General Counsel, John A. Gordon
Albuquerque Complex, 24600 20th Street SE, Albuquerque, NM 87116.
U.S. Department of Energy, Hanford Field Office, P.O. Box 550,
Richland, WA 99352.
U.S. Department of Energy, Savannah River Operations Office, P.O.
Box A, Aiken, SC 29801.
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, Strategic Petroleum Reserve Project
Management Office, 900 Commerce Road East, New Orleans, LA 70123.
U.S. Department of Energy, Western Area Power Administration, P.O.
Box 281213, Lakewood, CO 80228-8213.
SYSTEM MANAGER(S):
Headquarters: Deputy General Counsel, Office of the General
Counsel, U.S. Department of Energy, 1000 Independence Avenue SW,
Washington, DC 20585.
Field Offices: The Chief Counsels of the ``System Locations''
listed
[[Page 18450]]
previously are the system managers for their respective portions of
this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
42 U.S.C. 7101 et seq. and 50 U.S.C. 2401 et seq.
PURPOSE(S) OF THE SYSTEM:
Records in this system are maintained and used by the Department to
settle claims and prepare for litigation and resolve disputes.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All persons identified in files maintained by the Office of the
General Counsel, which includes attorneys and legal support staff/
contractors at all DOE offices, including the National Nuclear Security
Administration (NNSA), from which information is retrieved by name or
other personal identifier, including: Litigants and other claimants
against the Department and its contractors asserting matters including,
but not limited to, personal injury, property damage or infringement
(including intellectual property), contract violation and harms
resulting from employer-employee relationships; persons who are the
subjects of claims by the DOE, such as persons who may have violated
criminal laws, DOE regulations and contracts with the DOE and persons
against whom the DOE considered asserting such claims; DOE's
contractors and potential contractors; persons holding copyrights and
issued patents pertaining to the DOE's activities; DOE employees,
subject to garnishment or assignments; and DOE employees and contractor
employees who use Alternative Dispute Resolution (ADR).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records concerning legal matters that include, but are not limited
to: (1) Litigation and all other claims against, and by, the DOE and
its contractors, which have been assigned to the Office of General
Counsel; (2) DOE agreements (including contracts, grants, cooperative
agreements, other transactions, and related subagreements); (3)
inventions (including licensing and records pertaining to U.S.
manufacturing), invention utilization, issued patents, trademarks, and
copyright matters; (4) records pertaining ADR. Litigation and claim
records may, among others, include correspondence, pleadings such as
complaints, answers, and motions; depositions, court orders and briefs.
Records in this system also may include accident reports, inspection
reports, investigation reports, audit reports, personnel files,
contracts, consultant agreements, reports pertaining to criminal
matters of interest to the DOE, Personnel Security Review Board
documents, medical records, photographs, telephone records, patents and
related documents, correspondence, and memoranda.
RECORD SOURCE CATEGORIES:
Subject individuals, inspection reports, other agencies, Office of
General Counsel attorneys, other agency officers and staff,
contractors, investigators, and auditors.
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 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.
2. A record from this system may be disclosed as a routine use in
court or administrative proceedings to the tribunals, counsel, other
parties, witnesses, and the public (in publicly available pleadings,
filings or discussion in open court) when such disclosure: (1) is
relevant to, and necessary for, the proceeding; (2) is compatible with
the purpose for which the Department collected the records; and (3) the
proceedings involve:
a. The Department, its predecessor agencies, current or former
contractor of the Department, or other United States Government
agencies and their components, or
b. A current or former employee of the Department and its
predecessor agencies, current or former contractors of the Department,
or other United States Government agencies and their components, who is
acting in an official capacity or in any individual capacity where the
Department or other United States Government agency has agreed to
represent the employee.
3. A record from this system may be disclosed as a routine use to a
federal, state, tribal, or local agency to facilitate the requesting
agency's decision concerning the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a
license, grant, or other benefit, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter. The Department must deem such disclosure to be compatible with
the purpose for which the Department collected the information.
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 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.
6. A record from this system may be disclosed to foreign
governments or international organizations in accordance with treaties,
international conventions, or executive agreements.
7. 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.
8. A record from this system may be disclosed as a routine use to
the personnel, contractors, grantees, and cooperative agreement holders
of the Department of Labor, the Department of Health and Human
Services, the Department of Justice, and other Federal agencies and
their components, designated by the President to implement the Federal
compensation program established by the Energy Employees Occupational
Illness Compensation Program Act, for the purpose of assisting in the
adjudication or processing of a claim under the Energy Employees
Occupational Illness Compensation Program Act. Those provided
information under this routine use are subject to the same limitations
applicable to Department officers and employees under the Privacy Act.
9. A record from this system may be disclosed as a routine use to
appropriate
[[Page 18451]]
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.
10. 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 and electronic media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, case name, claim name, or assigned
identifying number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE record schedules that have been
approved by the National Archives and Records Administration (NARA).
Some records in this system are retained as permanent, while other
records will be destroyed between 5-250 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 Federal Risk and
Authorization Management Program (FedRAMP) and Federal Information
Security Management 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
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 the National Institute
for Standards and Technology (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.
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 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:
This system is exempt under subsection (k)(1), (k)(2), and (k)(5)
of the Privacy Act, to the extent that information within the System
meets the criteria of those subsections of the Privacy Act. Such
information has been exempted from the provisions of subsections
(c)(3), (d), and (e)(1) of the Privacy Act; see the DOE Privacy Act
regulation at 10 CFR part 1008.
HISTORY:
This SORN was last published in the Federal Register, 74 FR 1042-
1044, on January 9, 2009.
Signing Authority
This document of the Department of Energy was signed on April 7,
2026, by Dawn Zimmer, 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 April 8, 2026.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2026-06994 Filed 4-9-26; 8:45 am]
BILLING CODE 6450-01-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.