[Federal Register Volume 76, Number 209 (Friday, October 28, 2011)]
[Notices]
[Pages 66917-66920]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-27920]


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DEPARTMENT OF ENERGY


Privacy Act of 1974; Notice To Amend an Existing System of 
Records

AGENCY: U.S. Department of Energy.

ACTION: Notice.

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SUMMARY: As required by the Privacy Act of 1974, 5 U.S.C. 552a, and the 
Office of Management and Budget (OMB) Circular A-130, the Department of 
Energy (DOE) is publishing notice of a proposed amendment to an 
existing system of records. DOE proposes to amend the system of records 
DOE-43 ``Personnel Security Files.'' This notice will create a new 
routine use to permit the disclosure of certain information to federal 
agencies for studies and analyses in support of evaluating and 
improving the effectiveness and efficiency of the agencies' 
investigative and adjudicative methodologies.

DATES: The proposed amendment to this existing system of records will 
become effective without further notice on

[[Page 66918]]

December 12, 2011 unless DOE receives adverse comments and determines 
that this amendment should not become effective on that date. Comments 
regarding this amendment must be received on or before November 28, 
2011.

ADDRESSES: Written comments should be directed to Mr. James L. Packett, 
Field Assistance Program Manager, Office of Departmental Personnel 
Security (HS-53), Office of Health, Safety and Security, U.S. 
Department of Energy, 1000 Independence Ave., SW., Washington, DC 
20585.

FOR FURTHER INFORMATION CONTACT: Mr. James L. Packett, Field Assistance 
Program Manager, Office of Departmental Personnel Security (HS-53), 
Office of Health, Safety and Security, U.S. Department of Energy, 1000 
Independence Ave., SW., Washington, DC 20585, (202) 586-3249 or Isiah 
Smith, Deputy Assistant General Counsel for Administrative Litigation 
and Information Law (GC-77), U.S. Department of Energy, 1000 
Independence Avenue SW., Washington, DC 20585, (202) 586-1522.

SUPPLEMENTARY INFORMATION: This notice proposes one amendment to DOE-43 
Personnel Security Files. This amendment creates a new Routine Use 
 9, which will permit DOE to disclose to the Department of 
Defense (DOD) and other Federal agencies certain Privacy Act 
information contained in an employee's personnel security file (PSF). 
DOE will analyze the information in the PSFs and use the results to 
decide whether to adopt DOD's Case Adjudication Tracking System (CATS).
    The CATS is an electronic adjudicative case management and tracking 
system developed jointly by the U.S. Army Central Clearance Facility 
(CCF) and the Department of Defense Business Transformation Agency 
(BTA). Sharing the aforementioned files with DOD would permit the DOE 
to evaluate whether the CATS provides accurate analyses. If so, it may 
be more efficient to replace DOE's manual system for evaluating the 
information the Department gathers during Personnel Security 
Investigations (PSIs). Because the CATS analyses are potentially more 
efficient in analyzing data, the DOE may adopt the electronic 
adjudication system for personnel security investigations for all 
future PSF analyses.
    DOE is submitting the report required by OMB Circular A-130 
concurrently with the publication of this notice. The text of this 
notice contains information required by the Privacy Act, 5 U.S.C. 
552a(e)(4).

    Issued in Washington, DC, on September 30, 2011.
William A. Eckroade,
Principal Deputy Chief for Mission Support Operations, Office of 
Health, Safety and Security.
DOE-43

SYSTEM NAME:
    Personnel Security Files.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION(S):
    U.S. Department of Energy, Headquarters, 1000 Independence Avenue 
SW., Washington, DC 20585. U.S. Department of Energy, NNSA Service 
Center Albuquerque, P.O. Box 5400, Albuquerque, NM 87185-5400. U.S. 
Department of Energy, NNSA Naval Reactors Field Office, Pittsburgh 
Naval Reactors, P.O. Box 109, West Mifflin, PA 15122-0109. U.S. 
Department of Energy, NNSA Naval Reactors Field Office, Schenectady 
Naval Reactors, P.O. Box 1069, Schenectady, NY 12301. U.S. Department 
of Energy, Office of Science, Chicago Office, 9800 South Cass Avenue, 
Argonne, IL 60439. U.S. Department of Energy, Idaho Operations Office, 
1955 Fremont Avenue, Idaho Falls, ID 83415. U.S. Department of Energy, 
NNSA Nevada Site Office, P.O. Box 98518, Las Vegas, NV 89193-8518. U.S. 
Department of Energy, Office of Science, Oak Ridge Office, P.O. Box 
2001, Oak Ridge, TN 37831. 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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants for DOE including National Nuclear Security 
Administration (NNSA) employment; DOE employees including assignees and 
detailees, agents and consultants with the DOE, DOE contractors and 
subcontractors, and DOE access permittees processed for DOE access 
authorizations for access to classified matter or special nuclear 
materials; other Federal agency contractor and subcontractor applicants 
for employment, and their employees, detailees, agents, and consultants 
processed for DOE access authorizations; and other individuals 
processed for DOE access authorizations as determined by the Secretary.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name, date and place of birth, social security number, citizenship 
status, grade, organization, employer(s), initial investigation and 
reinvestigation history; and access authorization history; the formal 
request(s) and justification(s) for access authorization processing; 
security forms, fingerprint cards, and acknowledgments completed by the 
individual for both the initial investigation and reinvestigation; 
results of pre-employment checks (if required); request(s) and 
approval(s) for issuance of a security badge(s); report of 
investigation provided by an agency which has previously conducted an 
investigation of the individual for employment or security clearance 
purposes; approvals for classified visits; photographs; security 
infraction reports; security termination statement(s), foreign travel 
document; letters of interrogatory, personnel security interview 
transcripts or summaries, and/or audio tapes of the interviews, and 
evaluations of the interviews; reports of hospitalization or treatment 
for a mental condition or substance abuse, including information 
provided by an Employee Assistance Program provider; reports of DOE-
sponsored mental evaluations conducted by competent medical 
authorities; reports of security violations; public record information 
to include law enforcement, financial, divorce, bankruptcy, name change 
and other court information or reports and copies of information 
appearing in the media; security advisory letters; information 
concerning citizenship status, foreign contacts, and spouse and/or 
individual(s) with whom the individual resides; administrative review 
processing data; justifications for participation in sensitive DOE 
activities and/or for Sensitive Compartmented Information access 
approval; results of required testing for participation in sensitive 
DOE activities; documents concerning Interim Access Authorization 
processing or processing under Section 145b of the Atomic Energy Act of 
1954, as amended; written evaluations of reported derogatory 
information; credit check results; copies of correspondence to and from 
the individual concerning the items above and copies of inter- and 
intra-agency correspondence concerning the items above; and any other 
material relevant to the individual's DOE access authorization or 
special authorization eligibility or processing and, for DOE employees, 
suitability for Federal employment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 10 CFR Part 710, 
Subpart A; Executive Orders 10450 and 12968; 5 CFR Part 732; DOE O 
474.4 Safeguards

[[Page 66919]]

and Security Program of 8-26-05; DOE M 470.4-5, Personnel Security, of 
08- 26-05 and Director of Central Intelligence Directive 6/14 of 6-20-
00.

RETRIEVABILITY:
    Records are retrieved by name and/or assigned DOE file number 
(alphanumeric code).

PURPOSE(S):
    For those records described in Categories of Records in the System, 
such records are maintained and used by the Department as an official 
record of all information gathered and evaluated to determine an 
individual's initial and continued DOE access authorization eligibility 
and, if applicable, an individual's eligibility for participation in 
DOE sensitive activities or for access to Sensitive Compartmented 
Information.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
USERS AND THE PURPOSES OF SUCH USES:
    1. A record from this system may be disclosed as a routine use to 
competent medical authority who, under a formal agreement for payment 
of services with the local DOE personnel security element, conducts 
evaluations under Title 10, Code of Federal Regulations, Part 710, to 
determine whether an individual has an illness or mental condition of a 
nature which causes, or may cause, a significant defect in judgment or 
reliability, or is alcohol dependent or suffering from alcohol abuse.
    2. A record from the system may be disclosed as a routine use to a 
federal, state, or local agency to obtain information relevant to a 
Departmental decision concerning the hiring or of a security clearance, 
the letting of a contract, or the issuance of a license, grant, or 
other benefit. The Department must deem such disclosure to be 
compatible with the purpose for which the Department collected the 
information.
    3. A record from this system may be disclosed to a federal 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 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, indicates 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 this system of records may be disclosed to foreign 
governments or international organizations in accordance with treaties, 
international conventions, or executive agreements.
    7. 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.
    8. A record from this system may be disclosed as a routine use when 
(1) it is suspected or confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Department has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security integrity 
if this system or other systems or programs (whether maintained by the 
Department or another agency or entity) that rely upon the compromised 
information; and (3) the disclosure is made to such agencies, entities, 
and persons who are reasonably necessary to assist in connection with 
the Department's efforts to respond to the suspected or confirmed 
compromise and prevent, minimize, or remedy such harm.
    9. A record from this system may be disclosed to a federal agency 
for studies and analyses in support of evaluating and improving the 
effectiveness and efficiency of the investigative and adjudicative 
methodologies. The findings of any such studies or analyses shall not 
be released to the general public until all personal identifiers such 
as name, social security number, and date and place of birth have been 
deleted from them.

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

RETRIEVABILITY:
    Records are retrieved by name and/or assigned DOE file number 
(alphanumeric code).

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:
    Headquarters: Director, Office of Security Operations, U.S. 
Department of Energy, 1000 Independence Avenue SW., Washington, DC 
20585. Field Offices: The Security Officers 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 Title 10, Code of Federal Regulations, Part 1008, a request by an 
individual to determine if a system of records contains information 
about him/her should be directed to the U.S. Department of Energy, 
Headquarters, Privacy Act Officer, or the Privacy Act Officer at the 
appropriate address identified above under ``System Locations.'' For 
records maintained by Laboratories or Field Site Offices, the request 
should be directed to the Privacy Act Officer for the site that has 
jurisdiction over the ``System Location'' as listed in the Correlation. 
The request should include the requester's complete name, time period 
for which records are sought, and the office location(s) where the 
requester believes the records are located.

[[Page 66920]]

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

CONTESTING RECORD PROCEDURES:
    Same as Notification Procedures above.

RECORD SOURCE CATEGORIES:
    Documents completed and/or furnished by subject; Department of 
Energy; Office of Personnel Management; Federal Bureau of 
Investigation; Defense Security Service; medical professionals; and 
confidential sources.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    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 Act. Such information 
has been exempted from the provisions of subsections (c)(3), (d), and 
(e)(1) of the Act. See the Department's Privacy Act regulation at Title 
10, Code of Federal Regulations, Part 1008.

[FR Doc. 2011-27920 Filed 10-27-11; 8:45 am]
BILLING CODE 6450-01-P