[Federal Register Volume 88, Number 242 (Tuesday, December 19, 2023)]
[Notices]
[Pages 87760-87762]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-27847]


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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-1 Grievance Records. This System of 
Records Notice (SORN) is being modified to align with new formatting 
requirements, published by the Office of Management and Budget, and to 
ensure appropriate Privacy Act coverage of business processes and 
Privacy Act information. While there are no substantive changes to the 
``Categories of Individuals'' or ``Categories of Records'' sections 
covered by this SORN, substantive changes have 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 January 18, 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 
[email protected].

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 or by email at 
[email protected], telephone: (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-1 Grievance Records. This notice proposes 
amendments to the System Locations section of that System of Records by 
removing System Locations where DOE-1 is no longer applicable. These 
locations are as follows: Alaska Power Administration, Environmental 
Consolidated Business Center, Southeastern Power Administration, the 
Office of Repository Development, and all National Nuclear Security 
Administration (NNSA) sites. Addresses for the National Energy 
Technology Laboratory's (NETL) sites in Pittsburgh, Morgantown, and 
Albany have been updated. Addresses for NETL's sites in Oklahoma and 
Alaska have been removed as they no longer require coverage. Finally, 
the Office of River Protection, Richland Operations Office, and 
Southwestern Power Administration addresses have been updated. The 
system manager's office title has been changed to ``Office of Policy, 
Labor and Employee Relations.'' The data element ``Social Security 
numbers'' has been removed from the ``Categories of Records in the 
System'' and ``employee identification numbers'' has been added. 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 Freedom of Information Act (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-1 Grievance Records.

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.

[[Page 87761]]

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, 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, Idaho Operations Office, 1955 Fremont 
Avenue, Idaho Falls, ID 83415.
    U.S. Department of Energy, National Energy Technology Laboratory 
(Pittsburgh), 626 Cochran 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, 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, Savannah River Operations Office, P.O. 
Box A, Aiken, SC 29801.
    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):
    Office of Policy, Labor and Employee Relations, Office of the Chief 
Human Capital Officer, U.S. Department of Energy, 1000 Independence 
Avenue SW, Washington, DC 20585.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 5 U.S.C. 7121, and 
5 CFR part 771.

PURPOSE(S) OF THE SYSTEM:
    The records in this system are used by management officials in the 
resolution of employee concerns about conditions of employment, working 
conditions, administration of the agency's grievance process, labor-
management relations, work processes, or other similar issues.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former DOE employees including NNSA employees, 
consultants, board members, and applicants, related to grievances filed 
in accordance with the Department's grievance process or pursuant to a 
negotiated grievance procedure.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Grievances; names; unique identifiers for Department employees and 
applicants for employment with the Department (e.g., DOE OneID, 
employee number, and any other government identifier excluding Social 
Security number), work and home address; work and home telephone 
numbers; applicable demographic information; job titles, series, and 
grade levels; organization; supervisors' names and telephone numbers; 
copies of employee records, such as personnel actions, electronic 
official personnel files, performance appraisals, pay and leave 
records, and security clearance documents; management reports; witness 
statements; affidavits; checklists; notes; and relevant correspondence.

RECORD SOURCE CATEGORIES:
    The grievant or complainant, applicable management officials, 
program office records, congressional offices, witnesses, and fact 
finders' notes and reports.

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 to 
union officials acting in their official capacity as a representative 
of the grievant or affected employees under 5 U.S.C. chapter 71.
    2. 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.
    3. A record from this system may be disclosed as a routine use to 
an appropriate Federal, State, or local agency that is authorized to 
review and resolve the issue(s) raised in the grievance.
    4. 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 any other person who possess information pertaining to 
the matter when it is necessary to obtain information or testimony 
relevant to the matters who possess information pertaining to the 
matter when it is relevant and necessary to obtain information or 
testimony relevant to the matter.
    5. 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.
    6. 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.
    7. 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.

[[Page 87762]]

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in this system are on paper or in digital or other 
electronic form. Digital and other electronic images are stored on a 
storage area network in a secured environment. Records, whether paper 
or electronic, may be stored in a separate, secure location at the 
Department of Energy Headquarters or at the Department field sites.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the name of the grievant or the 
employing organizational element, type of grievance/matter being 
grieved, or other unique identifier, such as employee identification 
number.

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 and DOE-approved 
records disposition schedule with a retention of 4 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 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:
     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.
     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 NIST and DOE directives 
and guidance.
     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 and/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 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 Ave. 
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:
    None.

HISTORY:
    This SORN was last published in the Federal Register (FR), 74 FR 
998-999, on January 9, 2009.

Signing Authority

    This document of the Department of Energy was signed on December 
13, 2023, 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 December 14, 2023.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2023-27847 Filed 12-18-23; 8:45 am]
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