[Federal Register Volume 89, Number 173 (Friday, September 6, 2024)]
[Notices]
[Pages 72830-72833]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-20086]


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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 a notice of a 
modification to an existing Privacy Act system of records. DOE proposes 
to amend System of Records DOE-3 Employee Concerns Program Records. 
This Systems of Records Notice (SORN) is being modified to align with 
new formatting requirements published by the OMB, and to ensure 
appropriate Privacy Act coverage of business processes and Privacy Act 
information. Substantive changes to the ``Purpose(s) of the System,'' 
``Categories of Individuals'' and ``Categories of Records'' sections 
covered by this SORN have been made to align with DOE Order 442.1B. 
Department of Energy Employee Concerns Program, which was approved by 
the Department on January 31, 2019. Substantive changes have also 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 October 7, 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-3 Employee Concerns Program Records. This notice 
proposes amendments to the ``System Location'' section of that system 
of records by updating system locations to which this DOE-3 is 
applicable. 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 a routine use intended to assist 
DOE with responding to a suspected or confirmed breach of its records 
containing 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 two new routine uses. First, this notice 
clarifies that a record from the system may be used to document and 
address employee concerns pursuant to DOE Order 442.1B, Department of 
Energy Employee Concerns Program (and successor documents) and 
complaints filed with the Employee Concerns Program pursuant to 
provisions of 10 CFR part 708, DOE Contractor Employee Protection 
Program. In addition, 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-3 Employee Concerns Program Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Systems to which this SORN is applicable 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 Headquarters, 1000 Independence Avenue 
SW, Washington, DC 20585.
    U.S. Department of Energy, National Nuclear Security 
Administration, 1000 Independence Avenue SW, Washington, DC 20585.
    U.S. Department of Energy, Office of Legacy Management, 1000

[[Page 72831]]

Independence Avenue SW, Washington, DC 20585.
    U.S. Department of Energy, Idaho Operations Office, 1955 Fremont 
Avenue, Idaho Falls, ID 83415.
    U.S. Department of Energy, Golden Field Office, Room C302-5, 15301 
Denver West Parkway, Golden, CO 80401.
    U.S. Department of Energy, National Energy Technology Laboratory 
(Alaska), 222 W. 7th Avenue, Suite 108, Anchorage, AK 99501.
    U.S. Department of Energy, National Energy Technology Laboratory 
(Albany), 1450 Queen Avenue SW, Albany, OR 97321.
    U.S. Department of Energy, National Energy Technology Laboratory 
(Houston), 1011 Highway 6 S., Suite 309, Houston, TX 77077.
    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 
(Pittsburgh), 626 Cochran Mill Road, Pittsburgh, PA 15236.
    U.S. Department of Energy, Carlsbad Field Office, Skeen/Whitlock 
Building, 4021 National Parks Hwy, 2nd Floor, Room Number T295B, 
Carlsbad, NM 88220.
    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, Portsmouth/Paducah Project Office, 1017 
Majestic Drive, Lexington, KY 40513.
    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, West Valley Demonstration Project, 9030 
Route 219, West Valley, NY 14171.
    U.S. Department of Energy, Bonneville Power Administration, 901 NE 
11th Ave., Portland, OR 97232.
    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, Western Area Power Administration, 12155 
W. Alameda Pkwy., Lakewood, CO 80228.
    U.S. Department of Energy, Strategic Petroleum Reserve Project 
Management Office, 900 Commerce Road East, New Orleans, LA 70123.
    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, Argonne Site Office, 
9800 S Cass Ave (B201), Lemont, IL 60439.
    U.S. Department of Energy, Office of Science, Ames Site Office, 
9800 S Cass Ave (B201) Room 360B, Lemont, IL 60439.
    U.S. Department of Energy, Office of Science, Princeton Site 
Office, 9800 S Cass Ave (B201) Room 360B, Lemont, IL 60439.
    U.S. Department of Energy, Office of Science, Berkeley Site Office, 
Lawrence Berkeley National Laboratory, 1 Cyclotron Road, Mailstop 90-
1023, Berkeley, CA. 94720-8123.
    U.S. Department of Energy, Office of Science, Brookhaven Site 
Office, 53 Bell Avenue, Bldg. 464, Upton, NY 11973.
    U.S. Department of Energy, Office of Science, Fermi Site Office, MS 
118, P.O. Box 2000, Kirk Road and Pine Street, Batavia, IL 60510.
    U.S. Department of Energy, Office of Science Consolidated Service 
Center, P.O. Box 2001, Oak Ridge, TN 37831.
    U.S. Department of Energy, Office of Science, ORNL Site Office, US 
DOE--OSO, P.O. Box 2008 MS-6269, Oak Ridge, TN 37831.
    U.S. Department of Energy, Office of Science, Pacific Northwest 
Site Office, 3200 Innovation Blvd., Richland, WA 99354.
    U.S. Department of Energy, Office of Science, SLAC Site Office, 
2575 Sand Hill Road, MS-8A, Menlo Park, CA 94025.
    U.S. Department of Energy, Office of Science, Thomas Jefferson Site 
Office, 12000 Jefferson Avenue, Suite 14, Newport News, VA 23606.
    U.S. Department of Energy, NNSA John A. Gordon, Albuquerque 
Complex, 24600 20th Street SE, Albuquerque, NM 87116.
    U.S. Department of Energy, Pantex Site Office, P.O. Box 30030, 
Amarillo, TX 79120.
    U.S. Department of Energy, Kansas Field Office, 2000 East 95th 
Street, Kansas City, MO 64131.
    U.S. Department of Energy, Los Alamos Field Office 2900 E. Road, 
Los Alamos, NM 87544.
    U. S. Department of Energy, Livermore Site Office, P.O. Box 808, L-
293, Livermore, CA 94551-0808.
    Nevada Field Office, 232 Energy Way North, Las Vegas, NV 89030.
    Sandia Site Office, 24600 20th Street SE, Albuquerque, NM 87116.
    U.S. Department of Energy, Savannah River Site Office, Road 1A, 
Aiken, SC 29801.
    U.S. Department of Energy, Y-12 Site Office, P.O. Box 2009, Oak 
Ridge, TN 37831-8245.
    National Nuclear Security Administration, Los Alamos Acquisition 
and Project Management Office, NA-95, c/o Los Alamos National 
Laboratory, 30 Bikini Atoll, TA 50 Building 9008 Los Alamos, NM 87545.
    National Nuclear Security Administration, Savannah River 
Acquisition and Project Management Office, P.O. Box A, Aiken, SC 29802.
    National Nuclear Security Administration, Naval Reactors 
Laboratory, Building A4, 814 Pittsburgh-McKeesport Boulevard, West 
Mifflin, PA 15122.

SYSTEM MANAGER(S):
    Headquarters: Office of Environment, Health, Safety and Security, 
U.S. Department of Energy, 1000 Independence Avenue SW, Washington, DC 
20585.
    Field Offices: The managers of the Employee Concerns Programs at 
the ``System Locations'' listed above are the system managers for their 
respective portions of this system.

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(p); 
42 U.S.C. 7254; 42 U.S.C. 5801(a).

PURPOSE(S) OF THE SYSTEM:
    Records in this system are maintained and used by the Department to 
(i) document and address employee concerns about an activity, policy or 
practice of DOE or its contractors or subcontractors, including but not 
limited to environmental, safety, health, security, quality, and 
management issues or harassment, intimidation, retaliation/reprisal or 
discrimination for raising an employee concern, and (ii) document and 
address complaints under 10 CFR part 708 that are filed with the 
Employee Concerns Program.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former DOE (including NNSA) employees, and DOE and DOE/
NNSA contractor and subcontractor employees who have filed employee 
concerns or complaints with DOE Employee Concerns Program offices, or 
individuals who have participated or provided information in an 
employee concerns process or complaints under 10 CFR part 708 that have 
been filed with Employee Concerns Program.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Employee concerns; complaints filed pursuant to 10 CFR part 708 
with the Employee Concern Program; names,

[[Page 72832]]

Social Security numbers, work and home addresses, telephone numbers; 
job titles, series, grade or pay levels; organization; 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; inspection reports; audit reports; 
financial records; medical records; contractor/corporate-owned records; 
documents related to environment, health, safety, and security 
conditions; and relevant correspondence.

RECORD SOURCE CATEGORIES:
    The concerned employee or complainant; witnesses; management 
officials; program office records; 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 used to address employee 
concerns pursuant to DOE Order 442.1B, Department of Energy Employee 
Concerns Program (and successor documents), and complaints filed with 
the Employee Concerns Program pursuant to provisions of 10 CFR part 
708, DOE Contractor Employee Protection Program.
    2. 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.
    3. 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.
    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 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.
    6. 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.
    7. 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.
    8. 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 name of the concerned employee or 
complainant or other personal identifier.

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-approved records 
disposition schedule with a retention of 4 or 75 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 a 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 
the 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 or administer the system.

[[Page 72833]]

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 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); 
5 U.S.C. 552a (e)(1) of the Act; see the Department's Privacy Act 
regulation at 10 CFR part 1008.

HISTORY:
    This SORN was last published in the Federal Register (FR), 74 FR 
1000-1002, on January 9, 2009.

Signing Authority

    This document of the Department of Energy was signed on August 29, 
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 September 3, 2024.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2024-20086 Filed 9-5-24; 8:45 am]
BILLING CODE 6450-01-P