[Federal Register Volume 89, Number 52 (Friday, March 15, 2024)]
[Notices]
[Pages 18921-18924]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-05500]


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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-7 Whistleblower Investigation, Hearings, 
and Appeals Records. 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. 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

[[Page 18922]]

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 April 15, 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, by email at 
[email protected], 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-7 Whistleblower Investigation, Hearings, and 
Appeals Records. This 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 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, in alignment with OMB's Memorandum M-17-
12. Additionally, in the seventh routine use, ``Hearing Officers'' has 
been changed to ``Administrative Judges,'' pursuant to recent title 
changes. The URL for this routine has also been updated. In the 
``Categories of Individuals'' section, the citation for the National 
Defense Authorization Act for FY 2000 has been revised from ``42 U.S.C. 
7239'' to ``50 U.S.C. 2702.'' 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-7 Whistleblower Investigation, Hearings, and Appeals Records.

SECURITY CLASSIFICATION:
    Unclassified and classified.

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. Records maintained in a government-approved 
cloud server are accessed through secure data centers in the 
continental United States.
    U.S. Department of Energy, Office of Hearings and Appeals, 1000 
Independence Avenue SW, Washington, DC 20585-1615.

SYSTEM MANAGER(S):
    Headquarters: U.S. Department of Energy, Office of Hearings and 
Appeals, 1000 Independence Avenue SW, Washington, DC 20585-1615.

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(b), 
(c), (i), (p), 5814, 5815, 7251, 7254, 7255, 7257; 50 U.S.C. 2702.

PURPOSE(S) OF THE SYSTEM:
    Records in this system are maintained and used by the DOE to 
document and resolve complaints made by current and former employees, 
contractors, and subcontractors of DOE (including National Nuclear 
Security Administration (NNSA) contractors and subcontractors), who 
allege retaliation by their employer for disclosure of information 
concerning danger to public or worker health or safety, substantial 
violations of law, or gross mismanagement; for participation in 
Congressional proceedings; or for refusal to participate in dangerous 
activities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former employees of DOE, contractors, and 
subcontractors (including NNSA contractors and subcontractors), whose 
complaints are received at the Office of Hearings and Appeals pursuant 
to 10 CFR part 708, and pursuant to Section 3164 of the National 
Defense Authorization Act for FY 2000, Public Law 106-65, codified at 
50 U.S.C. 2702.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Whistleblower reprisal complaints; names, Social Security numbers, 
case numbers, work and home addresses and telephone numbers, job 
titles, series, grade or pay levels; organization information; 
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; reports of investigation; 
and relevant correspondence.

RECORD SOURCE CATEGORIES:
    The complainant; individuals and organizations that have pertinent 
knowledge about the subject of the complaint; those authorized by the 
complainant to furnish information; confidential informants; 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 disclosed to any source from 
which additional information is requested when necessary to obtain 
information relevant to the processing of a whistleblower complaint by 
the Office of Hearings and Appeals. The source will be provided such 
information from the System of Records only to the extent necessary to 
identify the individual, inform the source of the purpose(s) of the 
request, and to identify the type of information requested, as 
appropriate to the necessary information to process the complaint.
    2. 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.
    3. A record from this system may be disclosed as a routine use for 
the

[[Page 18923]]

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 necessary to obtain information or testimony relevant to the 
matter.
    4. 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.
    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 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.
    7. Decisions, opinions, reports of investigation, orders, and other 
determinations signed by investigators, Administrative Judges or the 
Director of the Office of Hearings and Appeals that are records 
contained in this System of Records may be published for the general 
public, for precedential or educational purposes, in paper format and 
electronically on the Office of Hearings and Appeals' website, the 
current address of which is www.energy.gov/oha/office-hearings-and-appeals.
    8. 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.
    9. 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 complainant's name or other personal 
identifier or case number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Retention and disposition of these records are unscheduled. This 
requires the records to be retained as permanent until the National 
Archives and Records Administration approves the draft schedule, which 
will require the records to be retained 7 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 processed, given, 
corrected, or records disclosed or corrected only at the request of the 
proper person.

[[Page 18924]]

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) 
and (e)(1) of the Act; see the DOE Privacy Act regulation at 10 CFR 
part 1008.

HISTORY:
    This SORN was last published in the Federal Register (FR), 74 FR 
1005-1006, on January 9, 2009.

Signing Authority

    This document of the Department of Energy was signed on January 22, 
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 March 11, 2024.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2024-05500 Filed 3-14-24; 8:45 am]
BILLING CODE 6450-01-P