[Federal Register Volume 69, Number 129 (Wednesday, July 7, 2004)]
[Notices]
[Pages 40886-40888]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-15331]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY


Privacy Act of 1974; Notice of Amendment to an Existing System of 
Records

AGENCY: Department of Energy.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: As required by the Privacy Act of 1974, 5 U.S.C. 552a, and 
Office of Management and Budget (OMB) Circular A-130, the Department of 
Energy (DOE) is publishing a notice of a proposed amendment to an 
existing system of records. DOE proposes to amend DOE-50 ``Personnel 
Assurance Program Records.'' The notice proposes to change the name of 
DOE-50 ``Personnel Assurance Program Records'' to DOE-50 ``Human 
Reliability Program Records.'' The notice also identifies the new 
authority for collecting and maintaining the information. The 
categories of records and the categories of individual sections also 
will be expanded. In addition, this notice identifies the new locations 
where the records will be maintained and clearly states the purpose for 
collecting and maintaining the information.

DATES: The proposed amendment to an existing system of records will 
become effective without further notice on August 23, 2004, unless in 
advance of that date, DOE receives adverse comments and determines that 
this amendment should not become effective on that date.

ADDRESSES: Written comments should be directed to the following 
address: U.S. Department of Energy, Lynn Gebrowsky, Director, Office of 
Safeguards and Security, SO-10.1, U.S. Department of Energy, 1000 
Independence Avenue, SW., Washington, DC 20585.

FOR FURTHER INFORMATION CONTACT: Abel Lopez, Director, Freedom of 
Information Act and Privacy Act Group, ME-74, U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-
5955; Lynn Gebrowsky, Director, Office of Safeguards and Security, SO-
10.1, U.S. Department of Energy, 1000 Independence Avenue, SW., 
Washington, DC 20585, (301) 903-3200; and Isiah Smith, Office of the 
General Counsel, GC-77, U.S. Department of Energy, 1000 Independence 
Avenue, SW., Washington, DC 20585, (202) 586-8618.

SUPPLEMENTARY INFORMATION: In 1989, as part of its ongoing efforts to 
protect national security, DOE published regulations that appear at 
title 10, Code of Federal Regulations (CFR), part 710 subpart B, 
``Criteria and Procedures for Establishment of the Personnel Security 
Assurance Program Determinations of an Individual's Eligibility for 
Access to a Personnel Security Assurance Program (PSAP) Position.'' The 
PSAP is an access authorization program for individuals who apply for 
or occupy certain positions critical to the national security. The PSAP 
requires an initial and annual supervisory review, medical assessment, 
management evaluation and DOE personnel security review of all 
applicants and incumbents. Since the PSAP was an element of the access 
authorization process, the information generated from PSAP will remain 
in DOE-43 ``Personnel Security Files.''
    In 1998, DOE published regulations that appear at 10 CFR Part 711 
for the ``Personnel Assurance Program (PAP).'' At that time, DOE also 
published a new system of records for PAP entitled DOE-50 ``Personnel 
Assurance Program Records.'' The PAP is a nuclear explosive safety 
program for individuals who occupy positions that involve hands-on work 
with, or access to nuclear explosives. The PAP includes many of the 
same evaluations as the PSAP to ensure that employees assigned to 
nuclear explosive duties do not have a mental/personality disorder or 
physical condition that could result in an accidental or unauthorized 
detonation of nuclear explosives.
    As the PSAP and PAP evolved, significant similarities developed in 
the objectives, requirements, and administration of the two programs. 
DOE concluded that the monetary and time requirements of administering 
two very similar programs could not be justified as consistent with 
good management practices when compared to the benefits of 
consolidation.
    On January 23, 2004, DOE published a final rule establishing the 
Human Reliability Program (HRP); the final rule appears at 10 CFR part 
712. The final rule establishes a single unified HRP management 
structure that incorporates all of the important elements of the PSAP 
and PAP into one comprehensive program. By adopting a uniform set of 
requirements applicable to both PSAP and PAP employees, DOE has 
developed a stronger, more efficient, and more effective human 
reliability program for personnel who occupy these positions.
    The January 23, 2004, rule consolidates the PSAP and the PAP into a 
single program. Today's notice proposes to amend DOE-50 ``Personnel 
Assurance Program Records'' by changing the name to DOE-50 Reliability 
Program Records,'' expanding the categories of records and categories 
of individual sections, identifying the new locations where the records 
will be maintained, and designating a new system manager. The documents 
generated by the HRP will be maintained in the DOE-50 ``Human 
Reliability Program Records.''
    The information collected and the records maintained in DOE-50 will 
be used by the Department to ensure that HRP candidates and HRP-
certified individuals have met all the requirements for HRP 
certification. The categories of records are being expanded to include 
the following: (1) Acknowledgement and Agreement to Participate in the 
Human Reliability Program (HRP) Form; (2) Authorization and Consent to 
Release Human Reliability Program (HRP) Records in Connection with HRP 
Form; (3) Refusal of Consent Form; (4) Human Reliability Program (HRP) 
Alcohol Testing Form; (5) Human Reliability Program (HRP) Certification 
Form; (6) random alcohol testing results, (7) drug test results and 
information related to substance abuse, and (8) results from the Office 
of Hearings and Appeals relating to a safety certification issue. The 
drug testing results will be sent to the Medical Review Officer who 
will report to the HRP management official that the test is negative or 
a confirmed positive and may provide an assessment related to substance 
abuse. The information is recorded on the Human Reliability Program 
(HRP) Certification Form and/or attached to the form.
    The information collected will be used for screening, selecting, 
and continuously evaluating individuals assigned to or being considered 
for assignment to HRP duties. This continuous evaluation process 
identifies individuals whose judgment and reliability may be impaired 
by physical or mental/personality disorders, alcohol abuse, use of 
illegal drugs or the abuse of legal drugs or other substances, or any 
condition or circumstance that may be a security or safety concern. The 
categories of individuals will be expanded to include all individuals

[[Page 40887]]

who were in the PSAP and now are part of the HRP.
    The HRP records will be maintained at the following locations: DOE 
Headquarters; Chicago Operations Office; Idaho Operations Office; Oak 
Ridge Operations Office; Richland Operations Office, and Savannah River 
Operations Office; the Rocky Flats Field Office; Pittsburgh Naval 
Reactors Office; Schenectady Naval Reactors Office; National Nuclear 
Security Administration (NNSA) Office of Secure Transportation at 
Albuquerque; NNSA Amarillo Site Office (Pantex); NNSA Kansas City Site 
Office; NNSA Livermore Site Office, NNSA Los Alamos Site Office; NNSA 
Nevada Site Office; NNSA Oakland Site Office; NNSA Sandia Site Office; 
NNSA Y-12 Site Office; and NNSA Service Center at Albuquerque.
    DOE is submitting the report required by OMB Circular A-130 
concurrently with the publication of this notice. The text of this 
notice contains the information required by the Privacy Act, 5 U.S.C. 
552a(e)(4).

    Issued in Washington, DC on June 29, 2004.
James T. Campbell,
Acting Director, Office of Management, Budget and Evaluation/Acting 
Chief Financial Officer.
DOE-50

SYSTEM NAME:
    Human Reliability Program Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION(S):
    U.S. Department of Energy, 1000 Independence Avenue, SW., 
Washington, DC 20585.
    U.S. Department of Energy, Chicago Operations Office, 9800 South 
Cass Avenue, Argonne, IL 60439.
    U.S. Department of Energy, Idaho Operations Office, 850 Energy 
Drive, Idaho Falls, ID 83401.
    U.S. Department of Energy, Oak Ridge Operations Office, P.O. Box E, 
Oak Ridge, TN 37830.
    U.S. Department of Energy, Richland Operations 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, Rock Flats Field Office, P.O. Box 928, 
Golden, CO 80401.
    U.S. Department of Energy, Pittsburgh Naval Reactors Office, P.O. 
Box 109, Pittsburgh, PA 15122.
    U.S. Department of Energy, Schenectady Naval Reactors Office, P.O. 
Box 1069, Schenectady, NY 12301.
    U.S. Department of Energy, NNSA Amarillo Site Office (Pantex) P.O. 
Box 30030, Amarillo, TX 79120.
    U.S. Department of Energy, NNSA Kansas City Site Office, 2000 E 9th 
Street, Kansas City, MO 64141-3202.
    U.S. Department of Energy, NNSA Livermore Site Office, P.O. Box 
808, Livermore, CA 94551.
    U.S. Department of Energy, NNSA Los Alamos Site Office, 528 35th 
Street, Los Alamos, NM 89193-8518.
    U.S. Department of Energy, NNSA Nevada Site Office, P.O. Box 98518, 
Las Vegas, NV 89193-8518.
    U.S. Department of Energy, NNSA Oakland Site Office, 1301 Clay 
Street, Oakland, CA 94612-5208.
    U.S. Department of Energy, NNSA Office of Secure Transportation, 
NA-121, P.O. Box 5400, Albuquerque, NM 87185-5400.
    U.S. Department of Energy, NNSA Sandia Site Office, P.O. Box 5800, 
Albuquerque, NM 87115.
    U.S. Department of Energy, NNSA Y-12 Site Office, P.O. Box 2050, 
Oak Ridge, TN 37831-8009.
    U.S. Department of Energy, NNSA Service Center Albuquerque, P.O. 
Box 5400, Albuquerque, NM 87115-5400.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Department of Energy, including National Nuclear Security 
Administration, and contractor employees performing work that affords 
both technical knowledge and access to assembled nuclear explosives or 
certain nuclear weapon components and assigned to, or applying for a 
position that: (1) Affords access to Category I Special Nuclear 
Material (SNM) or has responsibility for transportation or protection 
of Category I quantities of SNM; (2) involves nuclear explosive duties 
or has responsibility for working with, protecting, or transporting 
nuclear explosives, nuclear devices, or selected components; (3) 
affords access to information concerning vulnerabilities in protective 
systems when transporting nuclear explosives, nuclear devices, selected 
components, or Category I quantities of SNM; or (4) affords the 
potential to significantly impact national security or cause 
unacceptable damage and has been approved as an HRP position.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Results of medical examination; employment review; credit/consumer 
reports; data pertaining to access authorizations (clearances); 
training records pertaining to individual's duties involving assembled 
nuclear explosives or certain nuclear weapon components; employee name; 
department division; job title; L-code (mail code); telephone number; 
pager number; employee number; and social security number; 
Acknowledgement and Agreement to Participate in the Human Reliability 
Program (HRP) Form; Authorization and Consent to Release Human 
Reliability Program (HRP) Records in Connection with HRP Form; Refusal 
of Consent Form; Human Reliability Program (HRP) Alcohol Testing Form; 
Human Reliability Program (HRP) Certification Form; random alcohol 
testing results; drug test results and information related to substance 
abuse; results from the Office of Hearings and Appeals relating to a 
safety certification issue; psychological evaluations; and polygraph 
results.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    41 U.S.C. 2165; 42 U.S.C. 2201; 42 U.S.C. 5814-5815; 42 U.S.C. 7101 
et seq.; 50 U.S.C. 2401 et seq.; E.O. 10450, 3 CFR 1949-1953 as 
amended; E.O. 10865, 3 CFR 1959-1963, as amended; and 10 CFR 712, 
Personnel Assurance Program.

PURPOSE(S):
    The records are maintained and used by the Department to ensure 
that individuals assigned to nuclear explosive duties do not have 
emotional, mental, or physical incapacities that could result in a 
threat to nuclear explosive safety. This is done through a continuous 
evaluation process that identifies individuals whose judgment or 
reliability may be impaired by physical or mental/personality 
disorders, alcohol abuse, use of illegal drugs or the abuse of legal 
drugs or other substances, or any condition or circumstance that may be 
a security or safety concern.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE 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 a (1) person 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) 
witness, potential witness, or their representatives and assistants, 
and any other person who

[[Page 40888]]

possesses information pertaining to the matter, when it is 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; and (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 
contractors 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 
are 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 of records may be disclosed to a 
Federal agency, in response to its written request, 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 the system may be disclosed as a routine use to 
the appropriate local, 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 of records may be disclosed to a 
member of Congress submitting a request involving the constituent when 
the constituent has requested assistance from the member with respect 
to the subject matter of the record. The member of Congress must 
provide a copy of the constituent's request for assistance.
    6. A record from the 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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records may be stored as paper files and electronic media.

RETRIEVABILITY:
    Records may be retrieved by name, social security number and 
employee number.

SAFEGUARDS:
    Paper records are maintained in locked cabinets and desks. 
Electronic records are controlled through established DOE computer 
center procedures (personnel screening and physical security), and they 
are password protected. Access is limited to those whose official 
duties require access to the records.

RETENTION AND DISPOSAL:
    Records retention and disposal authorities are contained in the 
National Archives and Records Administration (NARA) General Records 
Schedule and DOE record schedules that have been approved by NARA.

SYSTEM MANAGER(S) AND ADDRESS:
    Director of Security, U.S. Department of Energy, 1000 Independence 
Avenue, SW., Washington, DC 20585.
    Field Offices: The HRP certifying official, or his or her designee 
of the ``System Locations'' listed above are the system managers for 
their respective portions of this system.

NOTIFICATION PROCEDURES:
    In accordance with the DOE regulation implementing the Privacy Act, 
at 10 CFR part 1008, a request by an individual to determine if a 
system of records contains information about him/her should be directed 
to the Director, Headquarters Freedom of Information Act and Privacy 
Act Group, U.S. Department of Energy, or the Privacy Act Officer at the 
appropriate address identified above under ``System Locations.'' For 
records maintained by Laboratory, Area Office or Site Offices, the 
request should be directed to the Privacy Act Officer at the Operations 
Office, Field Office or Service Center that has jurisdiction over that 
office or facility. The request should include the requester's complete 
name, time period for which records are sought, and the office 
locations(s) where the requester believes the records are located.

RECORDS ACCESS PROCEDURES:
    Same as Notification Procedures above. Records are generally kept 
at locations where the work is performed. In accordance with the DOE 
Privacy Act regulation, proper identification is required before a 
request is processed.

CONTESTING RECORD PROCEDURES:
    Same as Notification Procedures above.

RECORD SOURCE CATEGORIES:
    The individual, medical records, occupational training records, and 
HRP program and personnel security records. Information also may be 
obtained from the supervisor, site occupational medical director, and 
the management official when completing the Human Reliability Program 
Certification.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. 04-15331 Filed 7-6-04; 8:45 am]
BILLING CODE 6450-01-P