[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF ENERGY
Table of Contents
DOE-1 DOE Personnel and General Employment Records
DOE-2 DOE Personnel: Supervisor-Maintained Personnel Records
DOE-5 Personnel Records of Former Contractor Employees
DOE-8 Intergovernmental Personnel Act (IPA) Contracts
DOE-9 Members of DOE Advisory Committees
DOE-11 Emergency Locator Records
DOE-12 Nationwide Traineeship Reporting System
DOE-13 Payroll and Leave Records
DOE-14 Report of Compensation
DOE-18 Accounts Payable Financial System
DOE-19 Accounts Receivable Financial System
DOE-21 Emergency Defense Mobilization Files
DOE-22 Plant Services History
DOE-23 Property Accountability System
DOE-24 Land Records
DOE-25 Employee Parking Records
DOE-26 Official Travel Records
DOE-27 Foreign Travel Records
DOE-28 General Training Records
DOE-30 Nuclear Qualification Examination Records (Deleted)
DOE-31 Firearms Qualification Records
DOE-33 Personnel Medical Records
DOE-34 Employee Assistance Program (EAP) Records.
DOE-35 Personnel Radiation Exposure Records
DOE-38 Occupational and Industrial Accident Records
DOE-40 Contractor Employees Insurance Claims
DOE-41 Legal Files (Claims, Litigations, Criminal Violations,
Patents, and Others)
DOE-43 Personnel Security Clearance Files
DOE-44 Special Access Authorization for Categories of Classified
Information
DOE-45 Weapon Data Access Control System
DOE-46 Clearance Board Cases
DOE-47 Security Investigations
DOE-48 Security Education and/or Infraction Reports
DOE-50 Personnel Assurance Program Records
DOE-51 Employee and Visitor Access Control Records
DOE-52 Alien Visits and Participation
DOE-53 Access Authorization for ADP Equipment
DOE-54 Investigative Files of Inspector General
DOE-55 Freedom of Information and Privacy Act Requests for Records
DOE-56 Congressional Constituent Inquiries
DOE-57 Congressional Profiles
DOE-58 General Correspondence Files
DOE-59 Mailing Lists for Requesters of Energy Related Information
DOE-60 Environmental Impact Document Monitoring, Processing, and
Correspondence Tracking System (IMPACT) (Deleted)
DOE-61 Census of High Energy Physicists
DOE-62 Historical Files--Published Information Concerning Selected
Persons in the Energy Field
DOE-63 Electric Rate Demonstration Data Base (Deleted)
DOE-65 Energy Extension Service Records
DOE-66 Power Sales to Individuals
DOE-71 The Radiation Accident Registry
DOE-72 The Department of Energy Radiation Study Registry
DOE-73 The US-DTPA Registry
DOE-74 Bonneville Power Administration Conservation Program
DOE-75Call Detail Records
DOE-76 California, Nevada, and Utah Milk Directory (Proposed)
DOE-77 Physical Fitness Test Records (Proposed)
DOE-81 Counterintelligence Administrative and Analytical Records and
Reports
DOE-82 Grant and Contract Records for Research Projects, Science
Education, and Related Activities
DOE-84 Counterintelligence Investigative Records.st
DOE-86 Human Radiation Experiments Records.
DOE-87 Human Radiation Experiments Helpline Records.
DOE-88 Epidemiologic and Other Health Studies, Surveys and
Surveillances
Table of Contents of Reorganization of Field Components
1. Alaska Power Administration
2. Albuquerque Operations Office
3. Bartlesville Energy Technology Center
4. Bonneville Power Administration
5. Central District Office of Enforcement (Reports to Headquarters)
6. Chicago Operations Office
7. Grand Forks Energy Technology Center
8. Headquarters
9. Idaho Operations Office
10. Laramie Energy Technology Center
11. Morgantown Energy Technology Center
12. Nevada Operations Office
13. Northeast District Office of Enforcement (Reports to Chicago
Operations)
14. Oak Ridge Operations Office
15. Pittsburgh Energy Technology Center
16. Region I--Reports to Chicago Operations Office
17. Region II--Reports to Chicago Operations Office
18. Region III--Reports to Chicago Operations Office
19. Region IV--Reports to Savannah River Operations Office
20. Region V--Reports to Chicago Operations Office
21. Region VI--Reports to Albuquerque Operations Office
22. Region VII--Reports to Albuquerque Operations Office
23. Region VIII--Reports to Idaho Operations Office
24. Region IX--Reports to San Francisco Operations Office
25. Region X--Reports to Richland Operations Office
26. Richland Operations Office
27. Rocky Mountain District Office of Enforcement (Reports to Idaho
Operations Office)
28. San Francisco Operations Office
29. Savannah River Operations Office
30. Southeast District Office of Enforcement (Reports to Savannah
River Operations Office)
31. Southeastern Power Administration
32. Southwest District Office of Enformement (Reports to Albuquerque
Operations Office)
33. Southwestern Power Administration
34. Western District Office of Enforcement (Reports to San Francisco
Operations Office)
35. Western Power Administration
DOE-1
System name:
DOE Personnel and General Employment Records.
System location:
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
U.S. Department of Energy, Grand Junction, PO Box 2567, Grand
Junction, CO 81502-2567
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Morgantown Energy Technology Center,
3610 Collins Ferry Road, PO Box 880, Morgantown, WV 26507-0880
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
U.S. Department of Energy, Pittsburgh Energy Technology Center,
PO Box 10940, Pittsburgh, PA 15236-0940
U.S. Department of Energy, Pittsburgh Naval Reactors, PO Box
109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
Categories of individuals covered by the system:
Current and former employees, consultants, board members, and
applicants (only to the extent they are considered for competitive
selection), specifically including all such personnel of the Federal
Energy Regulatory Commission.
Categories of records in the system:
Name, social security number, sex, grade level, occupational
code, Official Personnel Folders (SF-66), Service Record Cards (SF-
7), records on suggestions and awards, training request and
authorization data, training course evaluation statements, appraisals
resulting from annual supervisor-employee review, pay requests and
dispositions, reduction in-force registers (including associated
records of competitive levels and competitive areas), reemployment
and repromotion priority lists, retirement-associated eligibility and
calculations, records on competitive selections (Form 178, Standard
Form 39, and supporting documents), central copy of approved position
descriptions, correspondence related to and copies of employee
appeals, grievances, and complaints, including records of hearings or
examiners reports, lists of separated employees, correspondence from
employees requesting transfer or reassignment, average grade data,
minority group code, data related to and derived from the Payroll/
Personnel System (PAY/PERS) and Energy, Manpower and Personnel
Reporting Information System (EMPRIS).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
2. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
3. A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
4. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
5. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
6. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
7. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
8. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
9. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
10. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
11. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
12. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
13. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer printouts, punched cards, magnetic tape
and disk, and microfilm.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in locked file cabinets in controlled
access rooms. Computerized records are maintained in the DOE computer
center with access limited to those with a need-to-know.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Personnel, HR-32, 1000 Independence Avenue, SW., Washington, DC
20585.
Field Offices: The managers and directors of personnel in the
locations where the records are maintained are the system managers
for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate Field
Office; in accordance with DOE 's Privacy Act regulations (10 CFR
part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, and, if
appropriate, the geographic location(s) and organization(s) where
requester believes such record may be located, social security
number, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, supervisors, other Government agencies,
former employers, and references provided by subject individual.
System exempted from certain provisions of the act:
The Secretary has exempted this system from subsection (c)(3),
(d), (e)(1), (e)(4), (G), (H), (I) and (f) of 5 U.S.C. 552a under the
Privacy Act of 1974. This exemption applies only to information in
this system of records which is exempt pursuant to 5 U.S.C. 552a
(k)(2), and (6).
DOE-2
System name: DOE Personnel: Supervisor-Maintained Personnel
Records.
Security classification:
Unclassified.
System location:
The records are maintained at all DOE offices, by employees'
respective supervisors.
Categories of individuals covered by the system:
Current DOE employees; in a few cases, records include former
employees, assigned military personnel, or applicants for employment.
Categories of records in the system:
The contents vary from office to office, but include all or some
of the following: Copies and summaries of employment history, job
description, education, address, next of kin, telephone number, date
of birth, awards and commendations received, participation in
professional or community activities, training, earnings and leave
data, travel actions, certification or qualification examinations,
injury reports, appraisals, copy of ADP-produced Form 702, copy of
Form 50, assignment records, security infraction notices, records of
supervisor-employee discussions, reprimands, admonitions, adverse
actions, contingency planning data, security clearance status, and
Government property in employee's possession.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer printout, punched cards, magnetic tape,
disk, paper, and microfiche.
Retrievability:
By name.
Safeguards:
Records are usually maintained in files under the control of
supervisory officials.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Personnel, MA-10, 1000 Independence Avenue, SW., Washington, DC
20585.
Field Offices: The managers and directors of personnel in the
locations where the records are maintained are the system managers
for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified in appendix A; in accordance with
DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The great majority of the data comes directly from the
individuals or cognizant supervisory officials; other data comes from
copies of personnel action documents.
Systems exempted from certain provisions of the act:
None.
DOE-5
System name:
Personnel Records of Former Contractor Employees.
System location:
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87115
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83402
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
E, Oak Ridge, TN 37830
U.S. Department of Energy, Pittsburgh Naval Reactors, PO Box
109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
Categories of individuals covered by the system:
Former contractor employees.
Categories of records in the system:
Name, employment history, earnings, medical history, and other
related information.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses of records include employment history verification,
radiation exposure records for medical and litigation purposes, and
issuance of clearances.
1. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
2. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
3. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
4. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
5. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations at 28 CFR 50.2.
6. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
7. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
8. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
9. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
10. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
11. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
12. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
13. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in locked or guarded buildings.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Contractor Human Resource Management, HR-524 U.S. Department of
Energy, 1000 Independence Avenue, SW., Washington, DC 20585
Field Offices: The managers and directors of personnel in the
locations where the records are maintained are the system managers
for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
office in accordance with DOE's Privacy Act regulations (10 CFR part
1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual's employer.
System exempted from certain provisions of the act:
None.
DOE-8
System name: Intergovernmental Personnel Act (IPA) Contracts.
Security classification: Unclassified.
System location:
The locations listed as items 1 through 12, 15 through 17, and 19
through 21 in appendix A.
Categories of individuals covered by the system:
Individuals who are now or have been under IPA contract to DOE.
Categories of records in the system:
Name, address, social security number, telephone number, salary,
and related correspondence.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Transmittal of data to State and local governments or
institutions of higher education to implement IPA contracts.
Additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in lockable metal file cabinets with
access limited to those whose official duties require access.
Retention and disposal:
Records are retained for 5 years and then destroyed.
System manager(s) and address:
U.S. Department of Energy, Director, Office of Personnel, MA-10,
1000 Independence Avenue, SW., Washington, DC 20585.
Field Offices: The directors of personnel for the locations where
the records are maintained are designated the system managers for
their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified in items 1 through 12 and 14
through 21 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, social security number, date of birth,
and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, State or local governments, and
institutions of higher education.
Systems exempted from certain provisions of the act: None.
DOE-9
System name: Members of DOE Advisory Committees.
Security classification: Unclassified.
System location:
U.S. Department of Energy, Office of Organization and Management
Systems, Chief of Advisory Committee Management, MA-243, 1000
Independence Avenue, SW., Washington, DC 20585.
Categories of individuals covered by the system:
All individuals who are members of of a DOE Advisory Committee.
Categories of records in the system:
Name, biographical information, home address and telephone
number, work address and telephone number, type of business or
organizational affiliation, present position with business or other
organization, number of years in present position, other related
experience, congressional district, and photographs.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Federal Advisory Committee Act, 5 U.S.C.
appendix 1, Executive Order 2009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The name and mailing address of any Advisory Committtee member is
provided to anyone requesting it. Additional routine uses listed in
appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in a locked room, with access limited to
those whose official duties require access.
Retention and disposal:
Records are retained in a binder while the individual is a member
of a committee. Upon a member's termination, records are destroyed or
returned to individual.
System manager(s) and address:
U.S. Department of Energy, Director, Office of Organization and
Management Systems, MA-20, 1000 Independence Avenue, SW., Washington,
DC 20585.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified in appendix A; in accordance with
DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, members of Congress, and public interest
groups.
Systems exempted from certain provisions of the act:
None.
DOE-11
System name: Emergency Locator Records.
Security classification:
Unclassified.
System location:
These records are maintained at all DOE locations identitfied as
items 1 through 21 in appendix A.
Categories of individuals covered by the system:
DOE senior staff officials, office directors and key support
staff, DOE contractors, and other various Federal officials involved
in DOE business.
Categories of records in the system:
By name, home telephone number, home address, individual's title,
and the name of person to contact in case of an emergency.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act, Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are made available to the DOE personnel, contractors,
and other Government agency personnel on a need-to-know basis. The
information is also used in order to enable contact with appropriate
personnel in the event of an emergency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name of subject individual.
Safeguards:
Records are located in lockable drawers or file cabinets in
secured rooms with access limited to those whose official duties
require access.
Retention and disposal:
Records are revised when appropriate, at which point the older
records are destroyed, in accordance with DOE 1324.2, ``Records
Disposition.'' Records within the DOE are destroyed by shredding,
burning, or burial in a sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Assistant Secretary for
Management and Administration, MA-1, 1000 Independence Avenue, SW.,
Washington, DC 20585.
Field Offices: The managers and directors of records at the field
locations where the system is maintained are the system managers for
their respective portions of this system.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or Privacy Act Officer at the
appropriate address identified in appendix A; in accordance with
DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual.
Systems exempted from certain provisions of the act:
None.
DOE-12
System name: Nationwide Traineeship Reporting System.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Office of Energy Research, ER-44,
1000 Independence Avenue, SW., Washington, DC 20585
U.S. Department of Energy, Richland Operations Office, PO Box
550, Richland, WA 99562.
Categories of individuals covered by the system:
College graduate students participating in the DOE-sponsored
traineeship/laboratory graduate program.
Categories of records in the system:
Academic background, employment history, traineeship area of
study, and mailing/permanent addresses.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
University traineeship advisers--compliance with contract terms
covering traineeship administration functions. Contractor officials--
for possible employment selection/notification. Additional routine
uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, punched cards, and magnetic tape.
Retrievability:
By name, institution, laboratory, traineeship program class, and
traineeship identification number.
Safeguards:
Records are maintained in a secure building. Access to magnetic
tapes is controlled through established DOE computer center
procedures (personnel screening and physical security). Access is on
a need-to-know basis.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Field Operations Management, ER-40, 1000 Independence Avenue, SW.,
Washington, DC 20585.
Field Office: The director of the Richland Operations Office is
the system manager for his portion of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer,
Richland Operations Office, at the appropriate address identified as
items 1 and 15 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
University traineeship advisors.
Systems exempted from certain provisions of the act:
None.
DOE-13
System name:
Payroll and Leave Records.
System location:
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
U.S. Department of Energy, Grand Junction, PO Box 2567, Grand
Junction, CO 81502-2567
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Morgantown Energy Technology Center,
3610 Collins Ferry Road, PO Box 880, Morgantown, WV 26507-0880
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
U.S. Department of Energy, Pittsburgh Energy Technology Center,
PO Box 10940, Pittsburgh, PA 15236-0940
U.S. Department of Energy, Pittsburgh Naval Reactors, PO Box
109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
Categories of individuals covered by the system:
DOE personnel and consultants, specifically including personnel
and consultants of the Federal Energy Regulatory Commission.
Categories of records in the system:
Time and attendance records, earning records, payroll actions,
deduction information requests, authorizations for overtime, and
night differential, and Office of Personnel Management retirement
records.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Treasury Department--To collect withheld taxes, print payroll
checks and issue savings bonds.
2. Internal Revenue Service--To process Federal income tax.
3. State and Local Governments--To process state and local income
tax processing.
4. Office of Personnel Management--Retirement records and
benefits.
5. Social Security Administration--Social Security records and
benefits.
6. Department of Labor--To process Workmen's Compensation claims.
7. Department of Defense--Military Retired Pay Offices--To adjust
Military Retirement.
8. Savings Institutions--To credit accounts for savings made
through payroll deductions.
9. Employee Unions--To credit accounts for employees with union
dues deductions.
10. Health Insurance Carriers--To process insurance claims.
11. General Accounting Office--Audit--To verify accuracy and
legality of disbursement.
12. Veterans' Administration--To evaluate veteran's benefits to
which the individual may be entitled.
13. States' Departments of Employment Security--To determine
entitlement to unemployment compensation or other state benefits.
14. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
15. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
16. A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
17. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
18. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
19. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
20. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
21. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
22. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
23. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
24. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health, of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
25. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
26. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, punched cards, magnetic tape and disc, and
microfiche.
Retrievability:
By name, social security number, and payroll number.
Safeguards:
Access to magnetic tapes and disc files is controlled through
established DOE computer center procedures (personnel screening and
physical security). Paper records are maintained in locked cabinets
and desks. Access to any record is on a need-to-know basis.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Office of the Chief
Financial Officer, CR-1, 1000 Independence Avenue, SW., Washington,
DC 20585.
Field Offices: The managers and directors of field locations are
the system managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
location; in accordance with DOE's Privacy Act regulations (10 CFR
part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, social
security number, location(s) of employment, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, supervisors, timekeepers, official
personnel records, and the IRS.
System exempted from certain provisions of the act:
None.
DOE-14
System name: Report of Compensation.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 11, 12, 14 through 18
and 21 in Appendix A.
Categories of individuals covered by the system:
Employees of DOE contractors performing and operating onsite
service work in DOE-owned or -controlled facilities, including long-
term architect-engineering, and cost-reimbursement construction
contractors (ref. DOE-PR 9-50.001 of June 30, 1979).
Categories of records in the system:
Name, job title, contractor, current salary (list for 40,000 and
above only), amount reimbursed, and other compensation (actual and
amount reimbursed).
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information is used in reviewing reasonableness of compensation
paid to top level contractor employees. Additional routine uses
listed in Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic tape and paper records.
Retrievability:
By name.
Safeguards:
Computer security procedures for data safekeeping. Associated
records are maintained in locked file cabinets in secured and guarded
buildings with access on a need-to-know basis.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Industrial Relations, MA-70, 1000 Independence Avenue, SW.,
Washington, DC 20585.
Field Offices: The managers and directors of the locations where
the records are maintained are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 6, 8, 11, 12, 14
through 18, and 21 in appendix A; in accordance with DOE's Privacy
Act regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Contractor salary administrative personnel.
Systems exempted from certain provisions of the act:
None.
DOE-18
System name: Accounts Payable Financial System.
Security classification:
Unclassified.
System location:
The locations listed as items 1 through 21 in appendix A.
Categories of individuals covered by the system:
Creditors due money from the agency (including employees), former
employees, and members of the general public.
Categories of records in the system:
Name and address; amount owed and service performed; underpayment
or other accounting information; and invoice number.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Paying creditors and the additional routine uses listed in
Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and machine readable records.
Retrievability:
By name and purchase order or contract number, as appropriate.
Safeguards:
Physical, technical, and administrative security is maintained,
with all storage equipment and rooms locked when not in use. Access
is restricted to authorized personnel.
Retention and disposal:
Records are retained until payment is made and account is
audited. Records retention and disposal authorities are contained in
DOE 1324.2, ``Records Disposition.'' Records within the DOE are
destroyed by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Controller, MA-80, 1000
Independence Avenue, SW., Washington, DC 20585.
Field Offices: The managers and directors of the locations where
the records are maintained are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address indentified as items 1 through 21 in appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part 1008
(45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individual, contracting officer and, as appropriate,
accounting records.
Systems exempted from certain provisions of the act:
None.
DOE 19
System name:
Accounts Receivable Financial System.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Headquarters, 1000 Independence
Avenue, SW., Washington, DC 20585;
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545;
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400;
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208;
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439;
U.S. Department of Energy, Federal Energy Technology Center, PO
Box 880, Morgantown, WV 26507-0880;
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401-3393;
U.S. Department of Energy, Idaho Operations Office, 850 Energy
Drive, Idaho Falls, ID 83401-1563;
U.S. Department of Energy, Naval Petroleum and Oil Shale
Reserves in Colorado, Utah, and Wyoming, 907 N. Poplar, Suite 150,
Casper, WY 82601;
U.S. Department of Energy, Naval Petroleum Reserves in
California, PO Box 11, Tupman, CA 93276;
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518;
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831;
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Suite 700N, Oakland, CA 94612-5208;
U.S. Department of Energy, Ohio Field Office, PO Box 3020,
Miamisburg, OH 45343-3020;
U.S. Department of Energy, Pittsburgh Naval Reactors Office, PO
Box 10940, West Mifflin, PA 15236-0940;
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, Federal Building Lobby, Richland, WA 99352;
U.S. Department of Energy, Rocky Flats Field Office, PO Box
928, Golden, CO 80402-0928;
U.S. Department of Energy, Savannah River Operations Office,
Road 1A, Aiken, SC 29801;
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301;
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Elberton, GA 30635;
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101;
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123;
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401.
Categories of individuals covered by the system:
Persons owing money to DOE.
Categories of records in system:
Name, address, telephone number, taxpayer identification number,
and other applicable debtor identifying information; invoice number;
basis, amount, and status of claim; and history of claim, including
collection actions taken.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Debt Collection Act of 1982, as amended,
Debt Collection Improvement Act of 1996, 31 U.S.C. 3512; 5 U.S.C.
5701-09; Federal Property Management Regulations 101-107; Treasury
Financial Manual; Executive Order 12009 and Executive Order 9397.
Purpose(s):
To record and manage the Department's accounts receivable.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
1. A record from this system of records may be disclosed to other
Federal agencies, consumer reporting agencies for acquiring credit
information, and collection agencies to aid in the collection of
outstanding debts owed to the Federal Government.
2. A record from this system of records may be disclosed to
Defense Manpower Data Center, Department of Defense; United States
Postal Service; and other Federal, State, or local agencies to
identify and locate, through computer matching, individuals indebted
to DOE who are receiving Federal salaries or benefit payments.
Information from the match will be used to collect the debts by
voluntary repayment, by administrative offset, or by salary offset
procedures.
3. A record from this system may be disclosed to the Internal
Revenue Service (1) to collect the debt by offset against the
debtor's tax refunds under the Federal Tax Refund Offset Program and
(2) to obtain the mailing address of a taxpayer to collect a debt
owed to the DOE. Re-disclosure by DOE to a consumer reporting agency
is limited to the purpose of obtaining a commercial credit report on
the particular taxpayer. Such mailing address information will not be
used for any other DOE purpose or disclosed by DOE to another
Federal, State, or local agency which seeks to locate the same
individual for its own debt collection purpose.
4. A record from this system of records may be disclosed to the
Department of the Treasury for the purpose of administrative offset
and debt recovery under section 31001 (m)(1) of the Debt Collection
Improvement Act of 1996 (Pub. L. 104-134).
5. A record from this system of records may be disclosed for
additional routine uses as listed in appendix B of 47 FR 14333, April
2, 1982.
Disclosure to consumer reportig agencies:
Fair Credit Reporting Act
A record from this system may be disclosed to a ``consumer
reporting agency'' as defined by the Fair Credit Reporting Act, 15
U.S.C. 1681a(f), or the Federal Claims Collections Act of 1966, 31
U.S.C. 3701(a)(3), in accordance with Section 3711(f) of Title 31 of
the United States Code.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, automated records, magnetic tape and disk, and
microforms.
Retrievability:
By name, taxpayer identification number, or invoice number.
Safeguards:
Access to records is by authorized personnel only.
Retention and disposal:
The file on each debt is retained until payment is received and
the account is audited. The file is then transferred to the local
records holding area where the file is retained for two years. At the
end of two years, the file is transferred to the servicing Federal
Records Center and retained for four years and three months.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Office of Chief
Financial Officer, CR-1, 1000 Independence Avenue, SW, Washington, DC
20585.
Field Offices: The managers and chief financial officers of the
field locations listed above are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him or her should be directed to the
Director, Freedom of Information and Privacy Acts Division,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified above, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008, 45 FR 61576, September 16,
1980).
b. Requests should include: Complete name, social security
number, the geographic location(s) and organization(s) where the
requester believes such records may be located, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individual who is the subject of the record; contracting
officer, where applicable; and accounting records.
Systems exempted from certain provision of the Act:
None.
DOE-21
System name: Emergency Defense Mobilization Files.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Utility Systems & Emergency
Communication, EP-422, 1000 Independence Avenue, SW., Washington, DC
20585.
Categories of individuals covered by the system:
Members of the National Defense Executive Reserve and other
individuals assigned responsibilities in the event of a national
defense emergency.
Categories of records in the system:
Biographical and related records.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; Defense Production
Act of 1950.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOE officials and officials of other departments and agencies--
use of records to administer the National Defense Executive Reserve
Program.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in lockable drawers or file cabinets in
secured rooms with access limited to those whose official duties
require access.
Retention and disposal:
Records are retained for 2 years following the resignation or
death of the subject individual.
System manager(s) and address:
U.S. Department of Energy, Assistant Secretary, Environmental
Protection, Safety and Emergency Preparedness (or his designee), EP-
1, 1000 Independence Avenue, SW., Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, Washington, DC 20585, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008 (45 FR 61576, September 16,
1980)).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual.
Systems exempted from certain provisions of the act:
None.
DOE-22
System name: Plant Services History.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208.
Categories of individuals covered by the system:
Individuals who have been or are employed by the Division of
Plant Services.
Categories of records in the system:
Records concerning labor performed by the above-defined
individuals, including type of work, rate, pay, travel and per diem
status, and for whom these services were performed.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The primary uses of the records are to provide a detailed record
of costs incurred for labor against any plant services requested on a
monthly basis, to provide backup for charges for work performed for
other Federal agencies under the cross-servicing agreements
authorized by GSA Bulletin FPMR 100.G-23, and to provide backup for
charges against contractors and other vendors for corrective work
performed by the Branch of Plant Services. Additional routine uses
listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic tape.
Retrievability:
By name, position number, and time period involved.
Safeguards:
Records are maintained in a locked building.
Retention and disposal:
Tapes are erased after 10 years.
System manager(s) and address:
Field Offices: U.S. Department of Energy, Director, Division of
Plant Services, Bonneville Power Administration, PO Box 3621,
Portland, OR 97208.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Bonneville Power Administration,
PO Box 3621, Portland, OR 97208, in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Daily time reports and leave applications completed and signed by
subject individuals.
Systems exempted from certain provisions of the act:
None.
DOE-23
System name: Property Accountability System.
Security classification:
Unclassified.
System location:
The locations listed as items 2, 5, 13, 15, 19, 20, and 21 in
appendix A, and the following additional location:
U.S. Department of Energy, Division of Plant Services, EJ,
Bonneville Power Administration, PO Box 491, Vancouver, WA 98660.
Categories of individuals covered by the system:
DOE employees authorized to be custodians of controlled DOE
equipment.
Categories of records in the system:
Contains records concerning the types, quantity, make and models,
and value of equipment assigned to individuals and crews. Also, the
employees assigned equipment, their account numbers, organization,
and location.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Federal Property and Administrative
Services Act of 1949, Section 202(b), 40 U.S.C. 483(b), Executive
Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The primary uses
of the records are (a) to provide inventories to satisfy other FPMR
requirements; (b) to maintain a record of location of emergency
equipment; (c) to control equipment assignments authorized under
union contracts; (d) to provide management information necessary for
the budgeting and allocation of equipment funds; and (e) to provide
evidence of assignment, location, and value in the event that
Government property is stolen. Additional routine uses 1, 4, 8, and 9
listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic disks and paper records.
Retrievability:
By name, position number, and/or employee identification number.
Safeguards:
Access is restricted to authorized personnel.
Retention and disposal:
Tapes are erased after 10 years. Paper records are held no longer
than 6 years after final payment.
System manager(s) and address:
The managers or directors of filed locations 2, 5, 13, 15, 19,
20, and 21, and of the Bonneville office listed above under System
location are the system managers for their respective portions of
this system.
Notification procedure:
a. Request by an individual to determine if a system of records
contains information about him/her should be directed the Privacy Act
Officer at the appropriate address identified as items, 2, 5, 13, 15,
19, 20, and 21 in appendix A; and in accordance with DOE's Privacy
Act regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Systems exempted from certain provisions of the act:
None.
DOE-24
System name: Land Records.
Security classification:
Unclassified.
System location:
Western Area Power Administration, Division of Land, PO Box 3402,
Golden, CO 80401.
Subunits of the Bonneville Power Administrative:
U.S. Department of Energy, Division of Land Resources, PO Box
3621, Portland, OR 97208
U.S. Department of Energy, Lower Columbia Area, PO Box 3621,
Portland, OR 97208
U.S. Department of Energy, Ross Complex, PO Box 491, Vancouver,
WA 98666
U.S. Department of Energy, Upper Columbia Area, U.S. Court
House, Room 561, West 920 Riverside Avenue, Spokane, WA 99201
U.S. Department of Energy, Snake River Area, West 101 Poplar,
PO Box 1518, Walla Walla, WA 99362
Categories of individuals covered by the system:
Individuals and/or companies from whom or to whom WAPA or BPA has
acquired or given interests in land.
Categories of records in the system:
The records contain the individual's name, description of land
tract, type of agreement, rights granted or received, and history of
the transaction.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To answer questions regarding land rights which WAPA or BPA has
granted to individuals or land rights individuals which have granted
to BPA; and as a data source used to update maps. Additional routine
uses listed in Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on computer punched cards and magnetic tapes;
maintained manually in file folders, on cards and on microfilm.
Computer reports and keypunched cards are stored in cabinets; the
land tract register is stored in a safe.
Retrievability:
By line identification, tract number, and contract number; cross
referenced by name of landowner, grantee, or grantor.
Safeguards:
Access to the records is limited to authorized persons. During
nonworking hours, access to the records is restricted by their
storage in locked metal file cabinets or a locked room.
Retention and disposal:
Land records are retained for 10 years after unconditional sale
or release by the Government, of conditions, restrictions, mortgages
or other liens. Records retention and disposal authorities are
contained in DOE 1324.2, ``Records Disposition.'' Records within the
DOE are destroyed by shredding, burning, or burial in a sanitary
landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Bonneville Power Administration,
Director, Division of Land, PO Box 3621, Portland, OR 97208
U.S. Department of Energy, Western Area Power Administration,
Director, Division of Land, PO Box 3402, Golden, CO 80401
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer at the address identified as items 5 and 21 in Appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part 1008
(45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Information in this system comes from individual landowners,
grantees, or grantors; WAPA or BPA officials; and state and local
authorities.
Systems exempted from certain provisions of the act:
None.
DOE-25
System name: Employee Parking Records (this system concerns
parking managed and controlled by DOE under the general direction
of the General Services Administration).
Security classification:
Unclassified.
System location:
The locations listed as items, 1, 3, 5, 16, 17, and 20 in
appendix A.
Categories of individuals covered by the system:
All DOE employees who apply as members of a carpool or vanpool
for DOE parking spaces managed and controlled by DOE under the
general directon of the General Services Administration. Also,
employees of DOE, DOE contractors, and of nearby employers at the
locations listed above.
Categories of records in the system:
Name; Federal service computation date; payroll or other assigned
number; office address and telephone; home address and telephone;
make, year, state of registration, and tag number of pool vehicles;
and number of days per week in the carpool or vanpool, and other
carpooling or vanpooling information.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; Federal Management
Circular 1-74.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Dissemination to individuals seeking to join a carpool or vanpool
which operates from their residence area. Additional routine uses
listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and magnetic tape.
Retrievability:
By name, location of parking assignment, home address, payroll or
other assigned number, and license number.
Safeguards:
Paper records are maintained in a lockable metal file cabinet.
Magnetic tapes are stored in a restricted area. Access is limited to
DOE and contractor personnel who need the information to perform
their official duties.
Retention and disposal:
Parking records are retained until new parking assignments are
made (approximately 6 months). Carpool records are retained for 2
years.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Administrative Services, Washington, DC 20585.
Field Offices: The managers and directors of field locations
listed as items 3, 5, 16, 17, and 20 in appendix A, are the system
managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 5, 16, 17, and 20
in appendix A; in accordance with DOE's Privacy Act regulations (10
CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual.
Systems exempted from certain provisions of the act:
None.
DOE-26
System name: Official Travel Records.
Security classification:
Unclassified.
System location:
The locations listed as items 1 through 21 in appendix A, and the
following additional locations:
U.S. Department of Energy, Clinch River Breeder Reactor Plant
Project, PO Box U, Oak Ridge, TN 37830
U.S. Department of Energy, Naval Petroleum and Oil Shale
Reserve, Colorado, Utah, Wyoming, 400 East First Street, Suite 311,
Casper, WY 82601
U.S. Department of Energy, Naval Petroleum Reserve in
California, PO Box 11, Tupman, CA 93276
U.S. Department of Energy, Strategic Petroleum Reserve Project
Management Office, 900 Commerce Road East, New Orleans, LA 70123
Categories of individuals covered by the system:
DOE employees who have traveled on official business or changed
official duty stations, and other individuals authorized to travel at
Government expense for DOE. Also official guests of DOE.
Categories of records in the system:
Name, address, social security number, destination, itinerary,
mode and purpose of travel, date of travel, expenses (including
amount advanced, if any), amounts claimed, amounts reimbursed, travel
orders, travel vouchers, receipts, and passport record card.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; 5 U.S.C. 5701-5709; Executive Order
12009; Federal Property Management Regulations 101-7; Federal Travel
Regulations; Budget and Accounting Act of 1921; Accounting and
Auditing Act of 1950; Federal Claims Collection Act of 1966.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Transmittal to the U.S. Treasury for payment of claim, to General
Accounting Office for audit and verification of accuracy and legality
of disbursements, to IRS for notification regarding taxable travel
reimbursements. Additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, punched cards, magnetic tape and disk, microfiche,
and computer printouts.
Retrievability:
By name, social security number, travel order number, and date.
Safeguards:
Access to magnetic tapes and disk files is controlled through
established DOE computer center procedures (personnel screening and
physical security). Records are maintained in locked cabinets and
desks with access on a need-to-know basis.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Controller, MA-80, 1000
Independence Avenue, SW, Washington, DC 20585.
Field Offices: The managers and directors of field locations 2
through 21 in appendix A, and the additional locations listed above
under System location are system managers for their respective
portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21 in appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part 1008
(45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, social
security number, location of employment, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individuals, supervisors, and finance (or accounting)
office standard references.
Systems exempted from certain provisions of the act:
None.
DOE-27
System name: Foreign Travel Records.
Security classification:
Classified and unclassified.
System location:
The locations listed as items 1 through 21 in appendix A, and the
following additional location:
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544.
Categories of individuals covered by the system:
DOE employees and contractor employees authorized to travel to
foreign countries.
Categories of records in the system:
Security evaluation of individual's access to classified
information and background data relating to proposed foreign travel;
travel itinerary, and summary report following completion of travel.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; 5 U.S.C. 5701-5709; Executive Order
12009; Federal Property Management Regulations 101-7; Federal Trade
Regulations; Budget and Accounting Act of 1921; Accounting and
Auditing Act of 1950; Federal Claims Collection Act of 1966.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Transmittal to U.S. Treasury for payment of claims, to General
Accounting Office for audit and verification of accuracy and legality
of disbursements, to IRS for notification regarding taxable travel
reimbursements, to State Department for passports, and to law
enforcement and intelligence agencies for post-travel discussions.
Additional routine uses as listed in Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer printouts, punched cards, magnetic tape, disk, paper,
and microfiche.
Retrievability:
By name.
Safeguards:
Access is limited to employees with a need-to-know. Records are
maintained in guarded buildings.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 2
through 21 in appendix A, and the Los Alamos Area Office are the
system managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21 in appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part 1008
(45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete full name, date of
birth, location of employment, and dates of travel.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individuals and supervisors.
Systems exempted from certain provisions of the act:
The Secretary has exempted this system from subsections (c)(3),
(d), (e)(1), (e)(4), (G), (H), (I), and (f) of 5 U.S.C. 552a under
the Privacy Act of 1974 (10 CFR part 1008 (45 FR 61576, September 16,
1980)). This exemption applies only to information in this system of
records which is exempt pursuant to 5 U.S.C. 552a(k) (1), (2) and
(5).
DOE-28
System name:
General Training Records.
Security classification:
Unclassified.
System location:
The locations listed as items 1 through 21 in Appendix A, as well
as the following locations:
U.S. Department of Energy, Allied Bendix Corporation, Kansas
City Division, PO Box 1159, Kansas City, MO 64141.
U.S. Department of Energy, Bettis Atomic Power Laboratory, PO
Box 79, West Mifflin, PA 15122-0079.
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342.
U.S. Department of Energy, Kansas City Area Office, Box 410202,
Kansas City, MO 64141.
U.S. Department of Energy, Knolls Atomic Power Laboratory, PO
Box 1072, Schenectady, NY 12301.
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544.
U.S. Department of Energy, Naval Petroleum Reserves, PO Box 1,
Tupman, CA 93276.
U.S. Department of Energy, Westinghouse Electric Corporation,
Bettis Atomic Power Laboratory, Naval Reactors Facility, PO Box 2068,
Idaho Falls, ID 83403-2068.
U.S. Department of Energy, West Valley Demonstration Project,
PO Box 919, West Valley, New York 14171.
U.S. Department of Energy, Strategic Petroleum Reserve, 900
Commerce Road East, New Orleans, LA 70123.
U.S. Department of Energy, Yucca Mountain Project Office, 2753
South Highland Avenue, Las Vegas, NV 89109.
U.S. Department of Energy, Office of Civilian and Radioactive
Waste Management, 1000 Independence Avenue, SW., Washington, DC
20585.
Categories of individuals covered by the system:
All individuals who have requested and/or participated in
training programs administered by DOE, other agencies, or other
training organizations.
Categories of records in the system:
Name, resume, assigned number, occupational series, training
requests and authorizations, grade, organization, date of birth,
social security number, home address and telephone number and special
interest area, education completed, course name, justification for
attending the course, direct and indirect costs of training, coded
information dealing with purpose, type, source of 170; training
evaluations, course evaluation forms, training examinations, training
attendance records, lesson plans, training assignment sheet, reading
assignment sheets, position qualification statement, self study
sheet, verification records of employment and education, position
descriptions, accounting records and central personnel data file
quarterly training report.
Authority for maintenance of the system:
5 U.S.C. 301, Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; Nuclear Waste
Policy Act of 1982 (Pub. L. 97-425); Nuclear Waste Policy Amendment
Act of 1987 (Pub. L. 100-203); Government Employees Training Act of
1958; Federal Personnel Manual Bulletin 290-15; Federal Personnel
Manual, Chapter 410 and Appendix A thereto.
Purpose(s):
This system of records is maintained to ensure that employees are
receiving appropriate training and certification to perform
successfully in their position. Appropriate local, state and federal
agencies use certain records maintained in this system to ensure
Departmental compliance with other regulatory requirements.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in these records may be transmitted to Federal
agencies, including the Office of Personnel Management, for purposes
of determining eligibility for training and as source documents for
training reports; to training institutions that personnel have
requested to attend; and to other Federal agencies as necessary for
payment of training.
Records may be provided to state and local governments, the
Nuclear Regulatory Commission (NRC), and other Federal agencies that
conduct audits to determine whether DOE and contractor personnel
satisfy quality assurance requirements for activities necessary to
obtain a license from the NRC for the construction, operation and
closing of a nuclear waste repository and/or a Monitored Retrievable
Storage (MRS) facility. These activities will also include research
and development, site characterization, transportation, waste
packaging, handling, design, maintenance, performance confirmation,
inspection, fabrication, and development and production of repository
waste forms.
A record from this system of records may be disclosed to
researchers for the purpose of conducting an epidemiologic study of
workers at a DOE facility if their proposed studies have been
reviewed by the National Academy of Sciences or another independent
organization, and deemed appropriate for such access. A researcher
and all persons not employed by the U.S. Government, unless
specifically mentioned, granted access to this record shall be
required to sign an agreement to protect the confidentiality of the
data and be subject to the same restrictions applicable to DOE
officers and employees under the Privacy Act.
A record from this system of records may be disclosed to federal,
state or local government officials where the regulatory program
being implemented is applicable to the DOE or contractor program and
requires that such access be provided for the conduct of the
regulatory agencies' activities. State and local officials who obtain
access to this record shall be subject to the same restrictions
applicable to DOE officers and employees under the Privacy Act.
A record from this system of records may be disclosed to members
of a DOE advisory committee for purposes of conducting a review of
the DOE epidemiological program. Members of a DOE advisory committee
who obtain access to the records shall be subject to the same
restrictions applicable to DOE officers and employees under the
Privacy Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records; machine readable media or microform.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in secured file cabinets with access
limited to those whose official duties require access. Access to
computer maintained records is by password only.
Retention and disposal:
Training requests and authorizations are retained for 3 years and
then destroyed. Other training records are maintained at a facility
pursuant to the appropriate provisions of an applicable statute or
are incorporated in the individual's personnel folder. Records are
destroyed by magnetic erasure, shredding, burning or burial in a
sanitary landfill or incinerator as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Professional
and Technical Training Development, HR-33, 1000 Independence Avenue,
SW., Washington, DC 20585.
Field Offices: The managers, directors, or administrators of
field locations 2 through 21 in Appendix A and those identified in
this System of Records, are the system managers for their respective
portions of this system.
Notification procedures:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts, Department of
Energy (Headquarters), or the Privacy Act Officer at the appropriate
address identified as items 1 through 21 in Appendix A; in accordance
with DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification Procedures above.
Contesting record procedures:
Same as Notification Procedures above.
Record source categories:
The subject individuals and the individual's supervisors.
System exempted From certain provisions of the act:
None.
DOE-31
System name: Firearms Qualification Records.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 11, 12, and 14 through
18 in appendix A, and the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Pantex Plant,
PO Box 1086, Amarillo, TX 79105
U.S. Department of Energy, Dayton Area Office, Mound
Laboratory, Box 66, Miamisburg, OH 45342
U.S. Department of Energy, Kansas City Area Office, PO Box 202,
200 E. Bannister Road, Kansas City, MO 64141
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Pinellas Area Office, GE Pinellas
Peninsula, PO Box 11500, St. Petersburg, FL 33733
U.S. Department of Energy, Rocky Flats Area Office, PO Box 928,
Golden, CO 80401
U.S. Department of Energy, Sandia Area Office, Technical Area
I, Kirtland Air Force Base-East, Albuquerque, NM 87115
U.S. Department of Energy, San Francisco Livermore Site Office,
Trailer 125, Room 106, Livermore, CA 94550
Categories of individuals covered by the system:
Department of Energy employees and contractor employees who
familiarize themselves or qualify with firearms in the performance of
their regular duties.
Categories of records in the system:
Records of an individual's annual qualification scores; approvals
of gun permits; records concerning accountability of firearms.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Wackenhut Services Inc. (Nevada) Training and Administrative
Personnel-performance of regular duties.
Los Alamos County Sheriff-deputation of individuals.
Los Alamos County Clerk-recording of Deputy Commission.
Los Alamos District Court Clerk-recording of Deputy Commission.
Additional routine uses 1, 2, 3, 5, 8, and 9 listed in Appendix
B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Access is limited to employees having a need-to-know. Records are
stored in security areas under guard and/or alarm protection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Record Disposition.'' Records within the Department of
Energy are destoryed by shredding, burning, or burial in a sanitary
landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices:
The managers and directors of field locations 3, 6, 8, 11, 12,
and 14 through 18 in appendix A, are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 3, 6, 8, 11, 12 and 14
through 18 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Gun permit notifications and firearm qualifications results from
individuals and training personnel.
Systems exempted from certain provisions of the act:
None.
DOE-33
System name:
Personnel Medical Records.
System location:
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Allied-Signal, Kansas City Division,
PO Box 419159, Kansas City, MO 64141
U.S. Department of Energy, Amarillo Area Office, PO Box 30030,
Amarillo, TX 79120-0030
U.S. Department of Energy, Ames Laboratory, Iowa State
University, Ames, Iowa 50011
U.S. Department of Energy, Argonne Area Office, 9800 South Cass
Avenue, Argonne, IL 60439
U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
U.S. Department of Energy, Batavia Area Office, PO Box 2000,
Batavia, IL 60510
U.S. Department of Energy, Bettis Atomic Power Laboratory, PO
Box 79, Pittsburgh, PA 15122-0079
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208
U.S. Department of Energy, Brookhaven Area Office, 53 Bell
Avenue, Bldg 464, Upton, NY 11973
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Continuous Electron Beam Accelerator
Facility, 12000 Jefferson Avenue, Newport News, Virginia 23606
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342-0066
U.S. Department of Energy, EG&G Mound Applied Technologies, PO
Box 3000, Miamisburg, Ohio 45343-3000
U.S. Department of Energy, Environmental Measurements
Laboratory, 376 Hudson Street, New York, NY 10014-3621
U.S. Department of Energy, Fermi National Accelerator
Laboratory, PO Box 500, Batavia, Illinois 60510
U.S. Department of Energy, Fernald Environmental Restoration
Management Corporation, PO Box 398704, Cincinnati, Ohio 45239-8704
U.S. Department of Energy, Fernald Field Office, 7400 Willey
Road, Cincinnati, OH 45030
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
U.S. Department of Energy, Grand Junction, PO Box 2567, Grand
Junction, CO 81502-2567
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Inhalation Toxicology Research
Institute, PO Box 5890, Albuquerque, New Mexico 87185
U.S. Department of Energy, Kansas City Area Office, PO Box
410202, Kansas City, MO 64141-0202
U.S. Department of Energy, Kirtland Area Office, PO Box 5400,
Albuquerque, NM 87185-5400
U.S. Department of Energy, Knolls Atomic Power Laboratory, PO
Box 1072, Schenectady, NY 12301
U.S. Department of Energy, Lawrence Livermore National
Laboratory, PO Box 808, Livermore, California 94551
U.S. Department of Energy, Lawrence Berkeley Laboratory, One
Cyclotron Road, Building 26, Room 143, Berkeley, California 94720
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., Y-12 Plant, PO Box 2009, Oak Ridge, Tennessee 37831-8103
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., K-25 Plant, PO Box 2003, Oak Ridge, Tennessee 37831-7422
U.S. Department of Energy, MK Ferguson of Oak Ridge Company, PO
Box 2011, Oak Ridge, Tennessee 37831-2011
U.S. Department of Energy, Morgantown Energy Technology Center,
3610 Collins Ferry Road, PO Box 880, Morgantown, WV 26507-0880
U.S. Department of Energy, National Institute for Petroleum and
Energy Research, BDM-Oklahoma, Inc., PO Box 2565, Bartlesville,
Oklahoma 74005
U.S. Department of Energy, National Renewable Energy Laboratory
Area Office, 1617 Cole Boulevard, Golden, CO 80401-3393
U.S. Department of Energy, Naval Petroleum and Oil Shale
Reserves, 907 N. Poplar, Suite 150, Casper, WY 82601
U.S. Department of Energy, Naval Petroleum Reserves in
California, 28590 Highway 119, PO Box 11, Tupman, CA 93276
U.S. Department of Energy, Naval Reactors Representative
Office, Naval Base Branch Post Office, General Delivery, Charleston
Naval Shipyard, Charleston, SC 29408-5615
U.S. Department of Energy, Naval Reactors Representative
Office, PO Box 7021, Groton, CT 06340
U.S. Department of Energy, Naval Reactors Representative
Office, Mare Island Naval Shipyard, PO Box 2053, Vallejo, CA 94592
U.S. Department of Energy, Naval Reactors Representative
Office, Newport News Shipbuilding & Dry Dock Company, PO Box 973,
Newport News, VA 23607
U.S. Department of Energy, Naval Reactors Representative
Office, Norfolk Naval Shipyard, PO Box 848, Portsmouth, VA 23705-0848
U.S. Department of Energy, Naval Reactors Representative
Office, Pearl Harbor Naval Shipyard, PO Box 128, Pearl Harbor, HI
96860
U.S. Department of Energy, Naval Reactors Representative
Office, Portsmouth Naval Shipyard, Naval Base Branch, PO Box 2008,
Portsmouth, NH 03801-2008
U.S. Department of Energy, Naval Reactors Representative
Office, Puget Sound Naval Shipyard Substation, PO Box 1A, Bremerton,
WA 98314
U.S. Department of Energy, Nevada Test Site, Mercury, Mercury,
NV 89023
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, New Brunswick Laboratory, 9800 South
Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
U.S. Department of Energy, Phoenix Area Office, PO Box 6457,
Phoenix, AZ 85005
U.S. Department of Energy, Pinellas Area Office, PO Box 2900,
Largo, FL 34649
U.S. Department of Energy, Pittsburgh Naval Reactors Office, PO
Box 109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Pittsburgh Energy Technology Center,
PO Box 10940, Pittsburgh, PA 15236-0940
U.S. Department of Energy, Plasma Physics Laboratory, James
Forrestal Campus, Princeton University, PO Box 451, Princeton, New
Jersey 08543
U.S. Department of Energy, Portsmouth Enrichment Office, PO Box
700, Piketon, OH 45661
U.S. Department of Energy, Princeton Area Office, PO Box 102,
Princeton, NJ 08542
U.S. Department of Energy, Radiological and Environmental
Sciences Laboratory, 785 DOE Place, Idaho Falls, ID 83402
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Rocketdyne--Rockwell Aerospace, 6633
Canoga Avenue, PO Box 7922, Department 056 EA08, Canoga Park,
California 91309-7922
U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
U.S. Department of Energy, Sandia National Laboratories, PO Box
5800, Albuquerque, NM 87115
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Stanford Linear Accelerator Center,
PO Box 4349, Stanford, California 94309
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123
U.S. Department of Energy, Waste Isolation Pilot Plant,
Westinghouse Electric Company, Waste Isolation Division, PO Box 2078,
Carlsbad, New Mexico 88220
U.S. Department of Energy, Weldon Spring Site Remedial Action
Project, 7295 Highway 94 South, St. Charles, Missouri 63304
U.S. Department of Energy, West Valley Nuclear Service Company,
Inc., 10282 Rock Springs Road, PO Box 191, MS: F, West Valley, New
York 14171
U.S. Department of Energy, Waste Isolation Pilot Project
Office, PO Box 3090, Carlsbad, NM 88221
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
U.S. Department of Energy, Westinghouse Electric Corporation,
Bettis Atomic Power Laboratory, Naval Reactors Facility, PO Box 2068,
Idaho Falls, ID 83403-2068
Categories of individuals covered by the system:
Present and former DOE employees and DOE contractor employees.
This system includes individuals admitted to or treated at Kadlec
Hospital, Richland, prior to September 9, 1956.
Categories of records in the system:
Medical histories on employees resulting from medical examination
and radiation exposure. In cases of injury, description of injury
occurrence and treatment. In addition, medical records of periodic
physical examinations and psychological testing, blood donor program
records, audiometric testing, routine first aid, and other visits.
Also, hospital in-patients at Kadlec Hospital. Records kept on the
results of work place and medical monitoring of individuals for
exposure to chemical and physical agents (not covered in DOE-35) and
related work history data.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Physicians, U.S. Department of Labor, various state
departments of labor and industry groups, and contractors use
information (a) to ascertain suitability of an employee for job
assignments with regard to health, (b) to provide benefits under
Federal programs or contracts, and (c) to maintain a record of
occupational injuries or illnesses and the performance of regular
diagnostic and treatment services to patients.
2. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
3. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
4. A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
5. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
6. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
7. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
8. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
9. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
10. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
11. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
12. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
13. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
14. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer printouts, magnetic tape, paper, computer disc, and
microfilm.
Retrievability:
By name, social security number, and plant area.
Safeguards:
Active records are maintained in locked file cabinets in locked
buildings. Inactive records are maintained in locked storage vaults.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Assistant Secretary for
Environment, Safety, Health, EH-1, Washington, DC 20585.
Field Offices: The managers and directors of field locations
where the records are maintained are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
office in accordance with DOE's Privacy Act regulations (10 CFR part
1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Applicable location or
locations where individual is or was employed, full name or where
requester believes such record may be located, social security
number, employer(s), and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individual who is the subject of the record, physicians,
medical institutions, Office of Workers Compensation Programs,
military retired pay systems records, Federal civilian retirement
systems, Office of Personnel Management retirement life insurance and
health benefits records system, and the Office of Personnel
Management personnel management records systems.
System exempted from certain provisions of the act:
None.
DOE-34
System name:
Employee Assistance Program (EAP) Records.
Security classification:
Unclassified.
System location:
These records are maintained at Department of Energy offices or,
when Departmental service providers (counselors) are off-site, in the
office of the provider.
Categories of individuals covered by the system:
Current and former Department of Energy employees who have
contacted a service provider and have received counseling and/or been
referred out for assistance.
Categories of records in the system:
This system includes records generated in the course of managing
and monitoring employee referrals and participation in the Employee
Assistance Program, such as:
a. Employee profile--Name; social security number; work and home
addresses and phone numbers; job title and grade level; organization;
supervisor's name and phone number; sex; race; marital status; spouse
and family members' names; name, address, and phone number of any
previously seen counselor or treatment facility; security clearance.
b. Interest inventory and/or psychological test results.
c. Issue(s) inventory.
d. Case notes.
e. Consent/release forms.
f. Correspondence, including referrals to community resources
and/or treatment facilities.
g. Medical and/or psychological reports.
All employee counseling records are owned by the Department.
Authority for maintenance of the system:
Pub. L. 91-616, Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment, and Rehabilitation Act of 1970; Pub. L. 102-
143, The Omnibus Transportation Employee Testing Act of 1991; Title
5, United States Code, sections 301, 7901, and 7904; Title 5, Code of
Federal Regulations, part 792; and section 641 of the Department of
Energy Organization Act, codified at Title 42, United States Code,
section 7251, incorporating Title 42, United States Code, section
2201 and Title 15, United States Code, section 764.
Purpose(s):
These records are used by the Department of Energy to maintain
documentation on employees seeking assistance on behavioral problems
or issues. Records from this system will be used to provide
information to the employee assistance program provider, program
coordinator, program evaluators to assist the operation of the
program and, in cases of employee supervisor initiated referrals and
others, if the employee waives confidentiality, records will also be
provided to the employee's supervisor.
The information will also be provided to appropriate Departmental
management officials regarding possible health, safety, or security
risks.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records regarding drug and alcohol use are subject to the
confidentiality and disclosure provisions at Title 42, United States
Code, Section 290dd-2, and the regulations at Title 42, Code of
Federal Regulations, Part 2. All other counseling records will be
treated with the same degree of confidentiality, with the exception
that they may be disclosed:
1. To Department contractors who provide services to the Employee
Assistance Program, their officers and employees, in performance of
their contracts, and their officers and employees who have a need for
the record in the performance of their duties subject to the same
limitations applicable to DOE officers and employees under the
Privacy Act.
2. To appropriate community officials if the employee is
suspected of child, spousal, or elder abuse.
3. To any person or entity to the extent necessary to prevent an
imminent or potential crime which directly threatens loss of life or
serious bodily injury.
4. To qualified personnel for the purpose of conducting
scientific research, management audits, financial audits, or program
evaluation, but such personnel may not identify, directly or
indirectly, any individual patient in any report, or otherwise
disclose patient identities in any manner.
5. To the Department of Justice or other appropriate Federal
agencies in defending claims against the United States, when the
claim results from action against an individual based upon the
individual's behavior, or mental or physical condition, or is alleged
to have arisen because of activities of any Federal agency in
connection with the individual.
6. To the United States Enrichment Corporation to enable the
Corporation to perform functions transferred to it from the
Department of Energy.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records may be stored in any form, including hard copy and
automated.
Retrievability:
By employee's name or other personal identifier, such as, social
security number.
Safeguards:
Records must be maintained in locked file cabinets or offices.
Access to records is to authorized personnel only.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration.
System manager(s) and address:
a. Headquarters: Deputy Assistant Secretary for Human Resources,
U.S. Department of Energy, 1000 Independence Avenue, SW, Washington,
DC 20585.
b. Field Offices: Personnel Officers at all other Departmental
locations including the Office of Inspector General.
Notification procedures:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to either the
Director, FOIA/Privacy Act Division, Office of the Executive
Secretariat, HR-78, U.S. Department of Energy, 1000 Independence
Avenue, SW, Washington, DC 20585, for Headquarters, or the Privacy
Act Officer at each field location in accordance with the
Department's Privacy Act regulations (Title 10, Code of Federal
Regulations, Part 1008, 45 FR 61576, September 16, 1980, or its
successor issuance).
Requests should include the requester's complete name, social
security number, the geographic location(s) where the requester
believes the records may be located, and time period.
Record access procedures:
With proper identification in accordance the Department's Privacy
Act regulations, a current or former employee may obtain a copy of
his/her employee assistance file, unless, in the opinion of the
service provider, the medical or psychological information contained
in it would be inappropriate for release directly to the individual.
In such a case, the requester should provide the name of his/her
attending counselor so the file can be sent directly to the counselor
and the information released pursuant to the Privacy Act, Title 5,
United States Code, Section 552a(f)(3).
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
a. The subject employee.
b. The employee's supervisor(s).
c. The employee assistance program coordinator.
d. Staff of the applicable servicing personnel office.
e. Staff of the applicable personnel security office.
f. Therapists or institutions providing treatment.
Systems exempted from certain provisions of the act:
None.
DOE-35
System name:
Personnel Radiation Exposure Records.
System location:
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Allied-Signal, Kansas City Division,
PO Box 419159, Kansas City, MO 64141
U.S. Department of Energy, Amarillo Area Office, PO Box 30030,
Amarillo, TX 79120-0030
U.S. Department of Energy, Ames Laboratory, Iowa State
University, Ames, Iowa 50011
U.S. Department of Energy, Argonne Area Office, 9800 South Cass
Avenue, Argonne, IL 60439
U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
U.S. Department of Energy, Batavia Area Office, PO Box 2000,
Batavia, IL 60510
U.S. Department of Energy, Bettis Atomic Power Laboratory, PO
Box 79, Pittsburgh, PA 15122-0079
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208
U.S. Department of Energy, Brookhaven Area Office, 53 Bell
Avenue, Bldg 464, Upton, NY 11973
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Continuous Electron Beam Accelerator
Facility, 12000 Jefferson Avenue, Newport News, Virginia 23606
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342-0066
U.S. Department of Energy, EG&G Mound Applied Technologies, PO
Box 3000, Miamisburg, Ohio 45343-3000
U.S. Department of Energy, Environmental Measurements
Laboratory, 376 Hudson Street, New York, NY 10014-3621
U.S. Department of Energy, Fermi National Accelerator
Laboratory, PO Box 500, Batavia, Illinois 60510
U.S. Department of Energy, Fernald Environmental Restoration
Management Corporation, PO Box 398704, Cincinnati, Ohio 45239-8704
U.S. Department of Energy, Fernald Field Office, 7400 Willey
Road, Cincinnati, OH 45030
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
U.S. Department of Energy, Grand Junction, PO Box 2567, Grand
Junction, CO 81502-2567
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Inhalation Toxicology Research
Institute, PO Box 5890, Albuquerque, New Mexico 87185
U.S. Department of Energy, Kansas City Area Office, PO Box
410202, Kansas City, MO 64141-0202
U.S. Department of Energy, Kirtland Area Office, PO Box 5400,
Albuquerque, NM 87185-5400
U.S. Department of Energy, Knolls Atomic Power Laboratory, PO
Box 1072, Schenectady, NY 12301
U.S. Department of Energy, Lawrence Livermore National
Laboratory, PO Box 808, Livermore, California 94551
U.S. Department of Energy, Lawrence Berkeley Laboratory, One
Cyclotron Road, Building 26, Room 143, Berkeley, California 94720
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., Y-12 Plant, PO Box 2009, Oak Ridge, Tennessee 37831-8103
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., K-25 Plant, PO Box 2003, Oak Ridge, Tennessee 37831-7422
U.S. Department of Energy, MK Ferguson of Oak Ridge Company, PO
Box 2011, Oak Ridge, Tennessee 37831-2011
U.S. Department of Energy, Morgantown Energy Technology Center,
3610 Collins Ferry Road, PO Box 880 Morgantown, WV 26507-0880,
U.S. Department of Energy, National Institute for Petroleum and
Energy Research, BDM-Oklahoma, Inc., PO Box 2565, Bartlesville,
Oklahoma 74005
U.S. Department of Energy, National Renewable Energy Laboratory
Area Office, 1617 Cole Boulevard, Golden, CO 80401-3393
U.S. Department of Energy, Naval Petroleum and Oil Shale
Reserves, 907 N. Poplar, Suite 150, Casper, WY 82601
U.S. Department of Energy, Naval Petroleum Reserves in
California, 28590 Highway 119, PO Box 11, Tupman, CA 93276
U.S. Department of Energy, Naval Reactors Representative
Office, Naval Base Branch Post Office, General Delivery, Charleston
Naval Shipyard, Charleston, SC 29408-5615
U.S. Department of Energy, Naval Reactors Representative
Office, PO Box 7021, Groton, CT 06340
U.S. Department of Energy, Naval Reactors Representative
Office, Mare Island Naval Shipyard, PO Box 2053, Vallejo, CA 94592
U.S. Department of Energy, Naval Reactors Representative
Office, Newport News Shipbuilding & Dry Dock Company, PO Box 973,
Newport News, VA 23607
U.S. Department of Energy, Naval Reactors Representative
Office, Norfolk Naval Shipyard, PO Box 848, Portsmouth, VA 23705-0848
U.S. Department of Energy, Naval Reactors Representative
Office, Pearl Harbor Naval Shipyard, PO Box 128, Pearl Harbor, HI
96860
U.S. Department of Energy, Naval Reactors Representative
Office, Portsmouth Naval Shipyard, Naval Base Branch, PO Box 2008,
Portsmouth, NH 03801-2008
U.S. Department of Energy, Naval Reactors Representative
Office, Puget Sound Naval Shipyard Substation, PO Box 1A, Bremerton,
WA 98314
U.S. Department of Energy, Nevada Test Site, Mercury, Mercury,
NV 89023
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, New Brunswick Laboratory, 9800 South
Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
U.S. Department of Energy, Phoenix Area Office, PO Box 6457,
Phoenix, AZ 85005
U.S. Department of Energy, Pinellas Area Office, PO Box 2900,
Largo, FL 34649
U.S. Department of Energy, Pittsburgh Naval Reactors Office, PO
Box 109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Pittsburgh Energy Technology Center,
PO Box 10940, Pittsburgh, PA 15236-0940
U.S. Department of Energy, Plasma Physics Laboratory, James
Forrestal Campus, Princeton University, PO Box 451, Princeton, New
Jersey 08543
U.S. Department of Energy, Portsmouth Enrichment Office, PO Box
700, Piketon, OH 45661
U.S. Department of Energy, Princeton Area Office, PO Box 102,
Princeton, NJ 08542
U.S. Department of Energy, Radiological and Environmental
Sciences Laboratory, 785 DOE Place, Idaho Falls, ID 83402
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Rocketdyne--Rockwell Aerospace, 6633
Canoga Avenue, PO Box 7922, Department 056 EA08, Canoga Park,
California 91309-7922
U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
U.S. Department of Energy, Sandia National Laboratories, PO Box
5800, Albuquerque, NM 87115
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Stanford Linear Accelerator Center,
PO Box 4349, Stanford, California 94309
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123
U.S. Department of Energy, Waste Isolation Pilot Plant,
Westinghouse Electric Company, Waste Isolation Division, PO Box 2078,
Carlsbad, New Mexico 88220
U.S. Department of Energy, Weldon Spring Site Remedial Action
Project, 7295 Highway 94 South, St. Charles, Missouri 63304
U.S. Department of Energy, West Valley Nuclear Service Company,
Inc., 10282 Rock Springs Road, PO Box 191, MS: F, West Valley, New
York 14171
U.S. Department of Energy, Waste Isolation Pilot Project
Office, PO Box 3090, Carlsbad, NM 88221
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
U.S. Department of Energy, Westinghouse Electric Corporation,
Bettis Atomic Power Laboratory, Naval Reactors Facility, PO Box 2068,
Idaho Falls, ID 83403-2068
Categories of individuals covered by the system:
U.S. Department of Energy employees and contractor employees, and
any other persons having access to certain DOE facilities.
Categories of records in the system:
U.S. Department of Energy and contractor personnel and other
individuals' radiation exposure records, and other records, in
connection with registries of uranium, transuranics, or other
elements encountered in the nuclear industry.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. U.S. Navy uses these records to monitor radiation exposure of
Naval and other personnel.
2. Nuclear Regulatory Commission uses these records to monitor
radiation exposure of DOE contractor personnel. U.S. Department of
Energy and its contractors and consultants, other contractors, and
organizations, including various states' departments of labor and
industry groups, use these records to monitor radiation exposure.
3. Department of Defense uses these records for the purpose of
identifying DOD and DOD-contractor personnel exposed to ionizing
radiation during nuclear testing and for conducting epidemiological
studies of radiation effects on individuals so identified.
4. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
5. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
6. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer printouts, paper records, index cards, magnetic tape,
punched cards, microfilm, and disc.
Retrievability:
By name, alphanumeric code, and social security number.
Safeguards:
Records are maintained in locked file cabinets, locked safes,
guarded areas, and secured buildings, with access on a need-to-know
basis.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Assistant Secretary for
Environment, Safety, Health, EH-1, Washington, DC 20585.
Field Offices: The managers and directors of field locations
where the records are maintained are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
location, in accordance with DOE's Privacy Act regulations (10 CFR
part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, and
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, accident-incident investigations, film
badges, dosimetry records, and previous employee records.
System exempted from certain provisions of the act:
None.
DOE-38
System name:
Occupational and Industrial Accident Records.
System location(s):
U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Allied-Signal, Kansas City Division,
PO Box 419159, Kansas City, MO 64141
U.S. Department of Energy, Amarillo Area Office, PO Box 30030,
Amarillo, TX 79120-0030
U.S. Department of Energy, Ames Laboratory, Iowa State
University, Ames, Iowa 50011
U.S. Department of Energy, Argonne Area Office, 9800 South Cass
Avenue, Argonne, IL 60439
U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
U.S. Department of Energy, Batavia Area Office, PO Box 2000,
Batavia, IL 60510
U.S. Department of Energy, Bettis Atomic Power Laboratory, PO
Box 79, Pittsburgh, PA 15122-0079
U.S. Department of Energy, Bonneville Power Administration, PO
Box 3621, Portland, OR 97208
U.S. Department of Energy, Brookhaven Area Office, 53 Bell
Avenue, Bldg. 464, Upton, NY 11973
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Continuous Electron Beam
Accelerator Facility, 12000 Jefferson Avenue, Newport News, Virginia
23606
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342-0066
U.S. Department of Energy, EG&G Mound Applied Technologies, PO
Box 3000, Miamisburg, Ohio 45343-3000
U.S. Department of Energy, Environmental Measurements
Laboratory, 376 Hudson Street, New York, NY 10014-3621
U.S. Department of Energy, Fermi National Accelerator
Laboratory, PO Box 500, Batavia, Illinois 60510
U.S. Department of Energy, Fernald Environmental Restoration
Management Corporation, PO Box 398704, Cincinnati, Ohio 45239-8704
U.S. Department of Energy, Fernald Field Office, 7400 Willey
Road, Cincinnati, OH 45030
U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
U.S. Department of Energy, Grand Junction, PO Box 2567, Grand
Junction, CO 81502-2567
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Inhalation Toxicology Research
Institute, PO Box 5890, Albuquerque, New Mexico 87185
U.S. Department of Energy, Kansas City Area Office, PO Box
410202, Kansas City, MO 64141-0202
U.S. Department of Energy, Kirtland Area Office, PO Box 5400,
Albuquerque, NM 87185-5400
U.S. Department of Energy, Knolls Atomic Power Laboratory, PO
Box 1072, Schenectady, NY 12301
U.S. Department of Energy, Lawrence Livermore National
Laboratory, PO Box 808, Livermore, California 94551
U.S. Department of Energy, Lawrence Berkeley Laboratory, One
Cyclotron Road, Building 26, Room 143, Berkeley, California 94720
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., Y-12 Plant, PO Box 2009, Oak Ridge, Tennessee 37831-8103
U.S. Department of Energy, Lockheed Martin Energy Systems,
Inc., K-25 Plant, PO Box 2003, Oak Ridge, Tennessee 37831-7422
U.S. Department of Energy, MK Ferguson of Oak Ridge Company, PO
Box 2011, Oak Ridge, Tennessee 37831-2011
U.S. Department of Energy, Morgantown Energy Technology Center,
3610 Collins Ferry Road, PO Box 880, Morgantown, WV 26507-0880
U.S. Department of Energy, National Institute for Petroleum and
Energy Research, BDM-Oklahoma, Inc., PO Box 2565, Bartlesville,
Oklahoma 74005
U.S. Department of Energy, National Renewable Energy Laboratory
Area Office, 1617 Cole Boulevard, Golden, CO 80401-3393
U.S. Department of Energy, Naval Petroleum and Oil Shale
Reserves, 907 N. Poplar, Suite 150, Casper, WY 82601
U.S. Department of Energy, Naval Petroleum Reserves in
California, 28590 Highway 119, PO Box 11, Tupman, CA 93276
U.S. Department of Energy, Naval Reactors Representative
Office, Naval Base Branch Post Office, General Delivery, Charleston
Naval Shipyard, Charleston, SC 29408-5615
U.S. Department of Energy, Naval Reactors Representative
Office, PO Box 7021, Groton, CT 06340
U.S. Department of Energy, Naval Reactors Representative
Office, Mare Island Naval Shipyard, PO Box 2053, Vallejo, CA 94592
U.S. Department of Energy, Naval Reactors Representative
Office, Newport News Shipbuilding & Dry Dock Company, PO Box 973,
Newport News, VA 23607
U.S. Department of Energy, Naval Reactors Representative
Office, Norfolk Naval Shipyard, PO Box 848, Portsmouth, VA 23705-0848
U.S. Department of Energy, Naval Reactors Representative
Office, Pearl Harbor Naval Shipyard, PO Box 128, Pearl Harbor, HI
96860
U.S. Department of Energy, Naval Reactors Representative
Office, Portsmouth Naval Shipyard, Naval Base Branch, PO Box 2008,
Portsmouth, NH 03801-2008
U.S. Department of Energy, Naval Reactors Representative
Office, Puget Sound Naval Shipyard Substation, PO Box 1A, Bremerton,
WA 98314
U.S. Department of Energy, Nevada Test Site, Mercury, Mercury,
NV 89023
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, New Brunswick Laboratory, 9800 South
Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
U.S. Department of Energy, Phoenix Area Office, PO Box 6457,
Phoenix, AZ 85005
U.S. Department of Energy, Pinellas Area Office, PO Box 2900,
Largo, FL 34649
U.S. Department of Energy, Pittsburgh Naval Reactors Office, PO
Box 109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Pittsburgh Energy Technology Center,
PO Box 10940, Pittsburgh, PA 15236-0940
U.S. Department of Energy, Plasma Physics Laboratory, James
Forrestal Campus, Princeton University, PO Box 451, Princeton, New
Jersey 08543
U.S. Department of Energy, Portsmouth Enrichment Office, PO Box
700, Piketon, OH 45661
U.S. Department of Energy, Princeton Area Office, PO Box 102,
Princeton, NJ 08542
U.S. Department of Energy, Radiological and Environmental
Sciences Laboratory, 785 DOE Place, Idaho Falls, ID 83402
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Rocketdyne--Rockwell Aerospace, 6633
Canoga Avenue, PO Box 7922, Department 056 EA08, Canoga Park,
California 91309-7922
U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
U.S. Department of Energy, Sandia National Laboratories, PO Box
5800, Albuquerque, NM 87115
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
U.S. Department of Energy, Southeastern Power Administration,
Samuel Elbert Building, Public Square, Elberton, GA 30635
U.S. Department of Energy, Southwestern Power Administration,
PO Box 1619, Tulsa, OK 74101
U.S. Department of Energy, Stanford Linear Accelerator Center,
PO Box 4349, Stanford, California 94309
U.S. Department of Energy, Strategic Petroleum Reserve Project
Office, 900 Commerce Road East, New Orleans, LA 70123
U.S. Department of Energy, Waste Isolation Pilot Plant,
Westinghouse Electric Company, Waste Isolation Division, PO Box 2078,
Carlsbad, New Mexico 88220
U.S. Department of Energy, Weldon Spring Site Remedial Action
Project, 7295 Highway 94 South, St. Charles, Missouri 63304
U.S. Department of Energy, West Valley Nuclear Service Company,
Inc., 10282 Rock Springs Road, PO Box 191, MS: F, West Valley, New
York 14171
U.S. Department of Energy, Waste Isolation Pilot Project
Office, PO Box 3090, Carlsbad, NM 88221
U.S. Department of Energy, Western Area Power Administration,
PO Box 3402, Golden, CO 80401
U.S. Department of Energy, Westinghouse Electric Corporation,
Bettis Atomic Power Laboratory, Naval Reactors Facility, PO Box 2068,
Idaho Falls, ID 83403-2068
Categories of individuals covered by the system:
DOE employees, contractor employees, and any other persons having
access to DOE facilities who have had accidents on DOE facilities.
Also individuals involved in accidents with employees or contractor
employees or other persons having access to DOE facilities.
Categories of records in the system:
Accident/incident information, occupational injury and illness
experience, property damage experience, and motor vehicle accidents.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Pertinent provisions of 29 CFR 1904.7 apply to the records
maintained in this system of records.
1. Physicians: For purpose of treating patients.
2. Property owners and insurance companies: For purpose of
processing insurance claims.
3. DOE contractors and consultants, state departments of labor
and industries and other state agencies, U.S. Department of Labor,
National Drivers Registry, and Department of Transportation: For
purposes of processing insurance claims and accident reporting.
4. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
5. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
6. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
7. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
8. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
9. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
10. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
11. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
12. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
13. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
14. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health, the
National Center for Environmental Health, of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
15. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
16. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic tape, punched cards, paper records, and microfilm.
Retrievability:
By name and by alphabetic, numeric, or alphanumeric code.
Safeguards:
Records are maintained in locked file cabinets, locked safes,
guarded areas, and secured buildings with access limited to personnel
with a need to know.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Assistant Secretary for
Environment, Safety and Health, EH-1, Washington, DC 20585.
Field Offices: The managers and directors of field offices in the
locations where the records are maintained are the system managers
for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
location; in accordance with DOE's Privacy Act regulations (10 CFR
part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, social
security number, and/or birth date, geographic location of the
accident, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, the individual's supervisor, medical
officers or personal physicians, accident investigators,
investigation boards, investigating law enforcement officers, the
National Drivers Registry, and previous employer records.
System exempted from certain provisions of the act:
None.
DOE-40
System name:
Contractor Employees Insurance Claims.
System location:
U.S. Department of Energy, Headquarters, Washington, DC 20585
U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831
U.S. Department of Energy, Oakland Operations Office, 1301 Clay
Street, Oakland, CA 94612-52019
U.S. Department of Energy, Pittsburgh Naval Reactors Office, PO
Box 109, West Mifflin, PA 15122-0109
U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
U.S. Department of Energy, Savannah River Operations Office, PO
Box A, Aiken, SC 29801
U.S. Department of Energy, Schenectady Naval Reactors Office,
PO Box 1069, Schenectady, NY 12301
Categories of individuals covered by the system:
Claimants under worker's compensation insurance and third-party
claimants against DOE contractors.
Categories of records in the system:
Accident reports, physician statements, pictures, maps, sketches,
claimant and witness statements, doctor and hospital bills, reports
from engineering firms, and claims activity reports.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Insurance companies--in administering claims against DOE
Contractors and DOE.
2. State and local agencies--for consideration of insurance
claims.
3. Physicians--for claims evaluations.
4. Lawyers--for claims evaluations.
5. State industrial commissions--for claim evaluations.
6. Claims--adjustment services firms--for claim evaluations.
7. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
8. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information, such as current
licenses, if necessary, to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant, or other benefit.
9. A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
10. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
11. A record maintained by this agency to carry out its functions
which relates to civil and criminal proceedings may be disclosed to
the news media in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
12. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
13. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
14. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
15. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
16. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
17. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
18. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
19. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and computer printouts.
Retrievability
By contractor, name and claim number.
Safeguards:
Records are maintained in a locked building.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office
Contractor Human Resource Management, HR-524, Washington, DC 20585.
Field offices: The managers and directors of field locations
where the records are maintained are the systems managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, FOIA and Privacy Act Division, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate field
location, in accordance with DOE's Privacy Act regulations (10 CFR
part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Claimants, witnesses, and insurance company claim files.
System exempted from certain provisions of the act:
None.
DOE-41
System name: Legal Files (Claims, Litigations, Criminal
Violations, Patents, and Others).
Security classification:
Unclassified.
System location:
All DOE locations listed in appendix A.
Categories of individuals covered by the system:
DOE related debtors and bankrupts; claimants with respect to
radiation, tort, patent, contract employee compensation and workmen's
compensation matters; injured parties, litigants and complaints
generally; inventors; those against whom claims have been filed;
persons suspected of violating DOE regulations and criminal laws.
Categories of records in the system:
Claims relating to personal injury, radiation injury, property
damage and other tort matters, and contract matters; litigation
records, accident reports; addendums to inspection reports;
employment records; consultants agreements; cases alleging
discrimination; conflict of interest files; criminal litigation
records; Personal Security Review Board cases; medical records;
photographs; telephone records; investigations; government orders;
inventions; and correspondence and other data relating to the
foregoing.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Department of Justice; GAO; state and local law enforcement
agencies; civil and criminal courts; administrative arbitrators;
litigants; investigators; Congress; attorneys; physicians;
consultants; insurance carriers--for appraisal, evaluation,
settlement and denial of claims and other matters and as a basis for
administrative and legal action and all matters pertaining thereto,
including civil and criminal remedies.
United States Enrichment Corporation to perform functions related
to activiies transferred from the Department of Energy in the Energy
Policy Act of 1992.
The additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name and control card locator.
Safeguards:
Records are maintained in vaults and locked safes (under
surveillance during business hours).
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Office of General
Counsel, GC-41, 1000 Independence Avenue, SW., Washington, DC 20585.
Field Offices: The regional counsels are the system managers for
their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21 in appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part 1008
(45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individuals, inspection reports, other agencies, Office
of General Counsel attorneys, other agency officers and staff,
contractors, investigators, and auditors.
Systems exempted from certain provisions of the act:
This system has been exempted 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 DOE Privacy Act
regulations at (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
DOE-43
System name: Personnel Security Clearance Files.
Security classification:
Classified and unclassified materials.
System location:
The locations listed as items 1, 3, 5, 6, 8, 11, 12, 14 through
18 and 21, in appendix A of 47 FR 14284, dated April 2, 1982.
Categories of individuals covered by the system:
Employees and applicants for employment with DOE and DOE
contractors; consultants, other individuals requiring access to
classified information and facilities; access permittees who are
authorized access.
Categories of records in the system:
Results of investigations concerning individuals processed for
access authorization (clearances).
Personnel security folders:
Name, grade, organization, date and place of birth, and social
security number. Contains requests for security clearance, OPM
Standard Forms 85, 86, 87, and 171, and OS Forms DPS 24 and 24A;
results of national agency check and inquiries and a record of
authorized individuals who have had access to the folder. May also
contain action checklist, termination checkout sheet, OPM Standard
Forms 50, 52, or 73 as well as notification to Office of Personnel
Management of agency action on case.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; Executive Order
10450 and 9830; Federal Personnel Manual, chapters 731 and 736.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record from this system may be disclosed as a routine use to
competent medical authority to determine whether an individual has an
illness or mental condition which causes, or may cause, a significant
defect in the judgment or reliability of this individual.
A record from this system of records may be disclosed to
researchers for the purpose of conducting an epidemiologic study of
workers at a DOE facility if their proposed studies have been
reviewed by the National Academy of Sciences and deemed appropriate
for such access. A researcher granted access to these records shall
be required to sign an agreement to protect the confidentiality of
the data and be subject to the same restrictions applicable to DOE
officers and employees under the Privacy Act.
A record from this system of records may be disclosed to members
of an advisory committee for purposes of conducting a review of the
Department of Energy epidemiologic program. Members of an advisory
committee who obtain access to the records shall be subject to the
same restrictions applicable to DOE officers and employees under the
Privacy Act.
The additional routine uses listed in appendix B of 47 FR 14284,
dated April 2, 1982.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, disc, magnetic tape, computer printouts and
microfishe.
Retrievability:
By name and numeric code.
Safeguards:
Access is limited to employees having a need-to-know. Records are
stored in locked file cabinets in locked buildings.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
5, 6, 8, 11, 12, 14 through 18 and 21 and appendix A of 47 FR 14284,
dated April 2, 1982, listed above are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Chief,
Freedom of Information and Privacy Acts, Department of Energy
(Headquarters), or the Privacy Act Officer at the appropriate address
identified as items 1, 3, 5, 6, 8, 11, 12, 14 through 18 in appendix
A of 47 FR 14284, dated April 2, 1982, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008 (45 FR 61576, September 16,
1980)).
b. Required identifying information: Complete name, date of
birth, social security number, clearance processing location, and
time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Personnel Security Questionnaire and fingerprint card executed by
the subject individual; background investigation reports by Federal
Bureau of Investigation, Office of Personnel Management, and other
Government agencies conducting background investigations; summaries
and transcripts of interviews with the individual; interrogatory
letters to the individual; local police department reports; and
security infraction reports received from the individual's
supervisor.
Systems exempted from certain provisions of the act:
The Secretary has exempted this system from subsection 5 U.S.C.
552a under the Privacy Act of 1974. This exemption applies only to
information in this system of records which is exempt pursuant to 5
U.S.C. 552a(k) (1), (2) and (5). The DOE exemption regulation appears
at 10 CFR 1008.12(b), 45 FR 61576, September 16, 1980.
DOE-44
System name: Special Access Authorization for Categories of
Classified Information.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 9, 11, 12, 15, 16, and
17 in appendix A, and the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Pantex Plant,
PO Box 1086, Amarillo, TX 79105
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342
U.S. Department of Energy, Kansas City Area Office, PO Box 202,
Kansas City, MO 64141
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Pinellas Area Office, PO Box 11500,
St. Petersburg, FL 33733
U.S. Department of Energy, Rocky Flats Area Office, PO Box 298,
Golden, CO 80401
U.S. Department of Energy, Sandia Area Office, PO Box 5400,
Albuquerque, NM 87115
Categories of individuals covered by the system:
Individuals authorized to access special categories of
information and compartmentalized DOE facilities and/or areas.
Categories of records in the system:
Letters and memoranda of authorization to access special
categories of classified information.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOE contractors--for purposes of performing contractual
functions. NATO, National Security Agency, and CIA--for determining
individuals who have access to classified information generated by
these agencies. The additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files; also magnetic tape (at Headquarters).
Retrievability:
By name.
Safeguards:
Access is limited to employees with a need-to-know. Records are
stored in security areas under either guard or alarm protection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
6, 8, 9, 11, 12, 15, 16, and 17 in appendix A, are the system
managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 6, 8, 9, 11, 12,
15, 16, and 17 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures: Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Individual reports from Federal investigation agencies; letters
and/or plans from DOE operating offices, operating divisions, and
contractor facilities.
Systems exempted from certain provisions of the act:
The Secretary has exempted this system from subsections of 5
U.S.C. 552a under the Privacy Act of 1974. This exemption applies
only to information in this system of records which is exempt
pursuant to 5 U.S.C. 552a(k) (1), (2) and (5). The DOE exemption
regulation appears at 10 CFR 1008.12(b), 45 FR 61576, 61583,
September 16, 1980.
DOE-45
System name: Weapon Data Access Control System.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 11, 12, 13, 16, and 17, in
appendix A, and the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Panter Point,
P.O. Box 1086, Amarillo, TX 79105
U.S. Department of Energy, Kansas City Area Office, PO Box 202,
Kansas City, MO 64141
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Pinellas Area Office, PO Box 11500,
St. Petersburg, FL 33733
U.S. Department of Energy, Rocky Flats Area Office, PO Box 928,
Golden, CO 80401
U.S. Department of Energy, Sandia Area Office, PO Box 5406,
Albuquerque, NM 87115
Categories of individuals covered by the system:
DOE, DOD, and other Government agency empoloyees, Government
contractors and consultants requiring access to classified weapons
data and/or DOE nuclear weapons program facilities.
Categories of records in the system:
Name, social security number, date of birth, citizenship,
employer, type of clearance, number and date of clearance, categories
of information requested and authorized, locations to be visited and
dates of visit, purpose of visit, point of contact, and Government
agency certifying need-to-know.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOE and DOD contractors--to determine whether persons have
appropriate security clearances to gain access to classified weapons
data. Additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Microfiche, paper, magnetic tapes, and computer printouts.
Retrievability:
By name and by specific weapon program.
Safeguards:
Records are maintained in buildings with controlled access.
Retention and disposal:
Headquarters master copy of visit request is retained for 3
years. Records retention and disposal authorities are contained in
DOE 1324.2, Records Disposition. Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Military Application, DP-22, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
11, 12, 16, and 17 in appendix A, and additional locations listed are
the system managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 11, 12, 16 and 17
in appendix A; in accordance with DOE's Privacy Act regulations (10
CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individuals, Government agencies, and Government contractors.
Systems exempted from certain provisions of the act:
None.
DOE-46
System name: Clearance Board Cases.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 6, and 17.
Categories of individuals covered by the system:
DOE employees, access permittees, consultants and prospective
employees, and contractors and contractor access permittees.
Categories of records in the system:
Results of investigations concerning individuals processed for
access authorizations (clearances).
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Personnel involved in administrative review-information used for
reference during review board hearings. Additional routine uses
listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name.
Safeguards:
Access is limited to employees having a need-to-know. Records are
stored in security areas under guard and/or guard protection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 6
and 17 in appendix A, are the system managers for their respective
portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 6, and 17 in
accordance with DOE's Privacy Act regulations (10 CFR part 1008 (45
FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Personnel Security Questionnaire and Fingerprint Card executed by
the individual; background investigation reports by Federal Bureau of
Investigation, Office of Personnel Management and other Government
agencies; summaries and transcripts of interviews with the
individual; transcripts of Administrative Review Board hearings with
the individual; correspondence to the individual concerning
administrative processing of clearance action; and local and state
police agency reports.
Systems exempted from certain provisions of the act:
The Secretary has exempted this system from subsections (c)(3),
(d), (e)(1), of 5 U.S.C. 552a under the Privacy Act of 1974. This
exemption applies only to information in this system of records which
is exempt pursuant to 5 U.S.C. 552a(k) (1), (2) and (5).
DOE-47
System name: Security Investigations.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 15, 16, 17, and 21 in
appendix A, and the following additional location: U.S. Department of
Energy, Los Alamos Area Office, 528 35th Street, Los Alamos, NM
87544.
Categories of individuals covered by the system:
DOE employees, specifically including employees of the Federal
Energy Regulatory Commission; contractor employees, private citizens.
Categories of records in the system:
Reports to determine cause and circumstance of accidents and/or
incidents.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; Executive Orders
10450 and 9830; Federal Personnel Manual, Chapters 731 and 736.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Property Owners and Insurance Companies--Insurance claims. DOE
Fire and Safety and Administrative Personnel--Evaluation of fire and
safety incidents. Additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Access is limited to individuals having a need-to-know. Records
are maintained in locked and guarded buildings.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
6, 8, 15, 16, 17, and 21 in appendix A, are the system managers for
their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 6, 8, 15, 16, 17,
and 21 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, date of
birth, employer, dates of employment, and social security number
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, other sources contacted during security
investigations, and official records.
Systems exempted from certain provisions of the act:
Internal memoranda specifically identified as OS Forms DPS 24 and
24A are exempted from certain of the Privacy Act's requirements, in
accordance with 5 U.S.C. 552a(k)(2), (5). Additionally, with regard
to certain records pursuant to 5 U.S.C. 552a(k)(5), this system is
exempt from 5 U.S.C. 552a(d), to the extent that disclosure would
reveal a source who furnished information under an express promise of
confidentiality, or prior to September 27, 1975, under an express or
implied promise of confidentiality.
DOE-48
System name: Security Education and/or Infraction Reports.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 12, 14 through 18 in
appendix A, and the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Pantex Plant,
PO Box 1086, Amarillo, TX 79105
U.S. Department of Energy, Dayton Area Office, PO Box 66,
Miamisburg, OH 45342
U.S. Department of Energy, Kansas City Area Office, PO Box 202,
Kansas City, MO 64141
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Pinellas Area Office, PO Box 11500,
St. Peterburg, FL 33733
U.S. Department of Energy, Rocky Flats Area Office, PO Box 928,
Golden, CO 80401
Categories of individuals covered by the system:
DOE employees having access authorization (clearance) to
classified information and/or materials.
Categories of records in the system:
Records of security education lectures, and investigative and
summary reports of security infraction incidents.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name.
Safeguards:
Access is limited to employees with a need-to-know. Records are
stored in security areas.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
8, 11, 12, and 14 through 18 in appendix A, are the system managers
for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 9, 12, 13, 15, 16,
18, and 19 in appendix A, in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Training officers; security personnel; individual's supervisor;
and local, state, and Federal authorities.
Systems exempted from certain provisions of the act:
None.
DOE-50
System name: Personnel Assurance Program Records.
Security classification:
Unclassified.
System location:
The locations listed as items 3, 11, and 16 in appendix A, and
the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Pantex Plant,
PO Box 1086, Amarillo, TX 79605
U.S. Department of Energy, Sandia Area Office, PO Box 5800,
Albuquerque, NM 87115
Categories of individuals covered by the system:
DOE or contractor employees performing work which affords both
technical knowledge and access to assembled nuclear explosives or
certain nuclear weapon components.
Categories of records in the system:
Results of medical examination, employment review, credit/
consumer reports; data pertaining to access authorizations
(clearances); and training records pertaining to individual's duties
involving assembled nuclear explosives or certain nuclear weapon
components.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name.
Safeguards:
Access is limited to employees having a need-to-know. Records are
stored in locked file cabinets in secured buildings.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Filed Offices: The managers and directors of field locations 3,
11, and 16 in appendix A, are the system managers for their
respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, at the appropriate address
identified as items 3, 11, and 16 in appendix A, in accordance with
DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Medical records, occupational training records, and personnel
security records.
Systems exempted from certain provisions of the act:
None.
DOE-51
System name: Employee and Visitor Access Control Records.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 7, 8, 11, 12, 14 through 18
in appendix A, and the following additional locations:
U.S. Department of Energy, Amarillo Area Office, Pantex Plant,
PO Box 1086, Amarillo, TX 79105
U.S. Department of Energy, Dayton Junction Office, PO Box 66,
Miamisburg, OH 45342
U.S. Department of Energy, Kansas City Area Office, PO Box 202,
Kansas City MO 64141
U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
U.S. Department of Energy, Pinellas Area Office, PO Box 11500,
St. Petersburg, FL 33733
U.S. Department of Energy, Rocky Flats Area Office, PO Box 928,
Golden, CO 80401
U.S. Department of Energy, Sandia Area Office, PO Box 5400,
Albuquerque, NM 87115
Categories of individuals covered by the system:
Individuals visiting DOE facilities, DOE employees seeking access
to DOE facilities and classified records.
Categories of records in the system:
Records of individuals visiting DOE and employee identification
files (including photographs) maintained for access purposes.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOE contractors--to control access to classified information and
areas. Department of Defense contractors--to authorize access to
classified information and areas. Additional routine uses as listed
in Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files and microfiche.
Retrievability:
By name.
Safeguards:
Access is limited to employees with a need-to-know. Records are
stored in guarded security areas.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors at the locations where
the records are maintained are the system managers for their
respective portions of this system.
Notification procedure:
a. Request by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 7, 8, 11, 12, and
14 through 18 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individual, Department of Defense, DOE offices and
contractors, National Aeronautics and Space Administration, and other
Government agencies.
Systems exempted from certain provisions of the act:
None.
DOE-52
System name: Aliens Visits and Participation.
Security classification:
Unclassified.
System location:
The locations listed as items 1, 3, 6, 8, 11, 12, 13, 15, 16, and
17 in appendix A, and the following additional location: U.S.
Department of Energy, Dayton Area Office, PO Box 66, Miamisburg, OH
45342.
Categories of individuals covered by the system:
Resident and nonresident aliens who visit and participate at DOE
offices and contractor facilities.
Categories of records in the system:
Federal agency checks and DOE records regarding alien visits and
participation at DOE offices and/or contractor facilities.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Engery Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name and visit number.
Safeguards:
Access is limited to employees with a need-to-know. Records are
stored in security areas under guard and/or alarm protection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Office of
Safeguards and Security, DP-34, Washington, DC 20545.
Field Offices: The managers and directors of field locations 3,
6, 8, 11, 12, 13, 15, 16, and 17 in appendix A, are the system
managers for their respective portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1, 3, 6, 8, 11, 12, 13,
15, 16, and 17 in appendix A; in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Full name, nationality, and
date and location of visit.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individual; reports from Federal investigation agencies;
and letters and/or plans from DOE operating offices, operating
divisions, and contractor facilities.
Systems exempted from certain provisions of the act:
None.
DOE-53
System name: Access Authorization for ADP Equipment.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, ADP Services Staff, EI-10, Energy
Information Administration, 1000 Independence Avenue, SW.,
Washington, DC 20585.
Categories of individuals covered by the system:
Users of the Energy Information Administration computer system,
including DOE employees and contractor employees (including employees
and contractor employees of the Federal Energy Regulatory
Commission), and other authorized users of the system.
Categories of records in the system:
Name, user identification number, office address and telephone
number, organizational code, computer usage figures, data accessed,
and other management-related information.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009; OMB Circular A-71;
Department of Commerce Federal Information Processing Standards
Publications (FIPS PUBS) on computer security; GSA Procurement
Regulations Amendment 155, adding Section 1-1.327.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used by the ADP Services Staff to control and manage
Energy Information Administration computer resources and to insure
that sensitive information is properly safeguarded. Additional
routine uses as listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Disk, computer tape, and printouts.
Retrievability:
Name, user identification number, and project number.
Safeguards:
Records are maintained in the Forrestal Building with 24-hour
guard service. Access is limited to authorized personnel on a need-
to-know basis.
Retention and disposal:
Updated on a regular basis. Older records are destroyed.
System manager(s) and address:
U.S. Department of Energy, Director ADP Services Staff, EI-10,
Energy Information Administration, Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, Washington, DC 20585, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008, 45 FR 61576, September 16,
1980).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individual, with some information assigned by the ADP
Services Staff.
Systems exempted from certain provisions of the act:
None.
DOE-54
System name: Investigation Files of the Office of Inspector
General.
System classification:
Generally unclassified. Classified material is sometimes
maintained.
System location:
Official case files and working files are located at:
U.S. Department of Energy, Office of Inspector General,
Headquarters, Forrestal Building, 1000 Independence Avenue, SW.,
Washington, DC 20585
U.S. Department of Energy, Office of Inspector General, PO Box
54000, Albuquerque, New Mexico 87115
U.S. Department of Energy, Office of Inspector General, PO Box
1328, Oak Ridge, Tennessee 37831-1328
U.S. Department of Energy, Office of Inspector General, PO Box
754, Richland, Washington, 99352
Categories of individuals covered by the system:
Subjects of an investigation, witnesses in an investigation,
sources of investigative information, investigative personnel, and
other individuals involved in an Office of Inspector General
investigation.
Categories of records in the system:
Criminal, civil, and administrative investigative records and
files.
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
Purpose(s):
Pursuant to the Inspector General Act of 1978, 5 U.S.C. App. 3,
the records in this system are used by the IG in furtherance of the
responsibilities of the Inspector General. These responsibilities
include conducting and supervising investigations relating to
Departmental programs and operations; promoting economy, efficiency,
and effectiveness in the administration of such programs and
operations, and preventing and detecting fraud and abuse in such
programs and operations.
The records are used in investigations of individuals and
entities suspected of having committed illegal or unethical acts and
in any resulting criminal prosecutions, civil proceedings, or
administrative actions.
Routine uses of records maintained in the system, including
categories or users and purposes of such uses:
Pursuant to the Inspector General Act of 1978, as amended, 5
U.S.C. App. 3, the information contained in the investigative files
is collected and maintained in carrying out the duties and
responsibilities of the Inspector General to investigate, prevent and
detect fraud and abuse in departmental programs and operations.
Material gathered is used for prosecutive, civil or administrative
actions.
If information contained in an investigative file indicates a
violation or a potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program pursuant thereto, all information in the
investigative file may be referred as a routine use to the
appropriate agency, whether Federal, State, local, or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto. Records also may
be disclosed in accordance with the routine uses 2 through 10 as
listed in appendix B of 47 FR 14333, April 2, 1982.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, micrographic and/or magnetic medium.
Retrievability:
By name, case number, and title of investigative report.
Safeguards:
Files are maintained within a cipher and key-locked storage room.
Classified information is maintained in locked General Services
Administration approved class 6 security containers. Data maintained
on personal computers can be accessed only by authorized staff using
established procedures.
Retention and disposal:
Records retention land disposal authorities are contained in DOE
Order 1324.2, RECORDS DISPOSITION. Records within the DOE are
destroyed by shredding, burning, or burial in a sanitary landfill, as
appropriate. Automated files are erased through approved security
processes.
System manager(s) and address:
Assistant Inspector General for Investigations, U.S. Department
of Energy, Forrestal Building, Room 5B-250, 1000 Independence Avenue,
SW., Washington, DC 20585.
Notification procedures:
The Department of Energy has exempted the system from this
requirement. See the Exemption section of this notice.
Record access procedures:
Same as Notification Procedures above.
Contesting record procedures:
Same as Notification Procedures above.
Record source categories:
Subject individuals; individuals and organizations that have
pertinent knowledge about the subject; those authorized by the
individual to furnish information; confidential informants; FBI; and
other Federal, State, and local agencies.
System exempted from certain provisions of the act:
Under subsection (j)(2) of the Privacy Act, this system has been
exempted from the following subsections:
5 U.S.C. 552a(c) (3) and (4)
5 U.S.C. 552a(d)
5 U.S.C. 552a(e) (1), (2), and (3)
5 U.S.C. 552a(e) (4) (G) and (H)
5 U.S.C. 552a(e) (5) and (8)
5 U.S.C. 552a(f)
5 U.S.C. 552a(g)
See DOE's Privacy Act regulation at 10 CFR 1008.12(a), 45 FR
61576, 61582, September 16, 1980. This section applies to information
in the system that relates to criminal law enforcement and meets the
criteria of the (j)(2) exemption. Under subsections (k)(1), (2), and
(5) of the Act, this system has been exempted from the following
subsection:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4) (G) and (H)
5 U.S.C. 552a(f)
See DOE's Privacy Act regulation at 10 CFR 1008.12(b). This
section applies to information in the system that meets the criteria
of the (k) (2) and (5) exemptions.
The detailed reasons for the exemptions under 5 U.S.C. 552a (j)
(2) and (k) (2) as applicable follow:
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency
must give an individual named in a record an accounting which
reflects the disclosure of the record to other persons or agencies.
This accounting must state the date, nature, and purpose of each
disclosure of the record and the name and address of the recipient.
The application of this provision would alert subjects of an
investigation to the existence of the investigation or that such
persons are subject of that investigation. Since release of such
information to subjects of an investigation would provide the
subjects with significant information concerning the nature of the
investigation, it could result in the altering or destruction of
documentary evidence, improper influencing of witnesses, and other
activities that could impede or compromise the investigation.
(2) 5 U.S.C. 552a(c)(4), (d), (e)(4) (G) and (H), (f) and (g)
relate to the following: An individual's right to be notified of the
existence of records pertaining to such individual; requirements for
identifying an individual who requests access to records; agency
procedures relating to access to records and the content of
information contained in such records; and the civil remedies
available to the individual in the event of adverse determinations by
an agency concerning access to or amendment of information contained
in record systems. This system is exempt from the foregoing
provisions for the following reasons: To notify an individual at the
individual's request of the existence of records in an investigative
file pertaining to such individual or to grant access to an
investigative file could interfere with investigative and enforcement
proceedings, deprive co-defendants of a right to a fair trial or
other impartial adjudication, constitute an unwarranted invasion of
personal privacy of others, disclose the identity of confidential
sources, and reveal confidential information supplied by these
sources and disclose investigative techniques and procedures. As for
the civil remedies provisions of (g), since DOE is claiming that this
system of records is exempt from subsections (c) (3) and (4), (d),
(e) (1), (2), and (3), (e)(4) (G) and (H), (e) (5) and (8), and (f)
of the Act, the provisions of subsection (g) of the Act would be
inapplicable and are exempted to the extent that this system of
records will be exempted from those above-listed subsections of the
Act.
(3) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is
needed:
a. It is not always possible to detect relevance or necessity of
specific information in the early stages of a criminal or other
investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relates to matters incidental to the main purpose
of the investigation but which may relate to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(4) 5 U.S.C. 552a(e)(2) requires an agency to collect information
to the greatest extent practicable directly from the subject
individual when the information may result in adverse determinations
about an individual's rights, benefits, and privileges under Federal
programs. The application of the provision would impair
investigations of illegal acts, violations of the rules of conduct,
violations of the merit system and any other misconduct for the
following reasons:
a. In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules
of conduct, or any other misconduct must be obtained from other
sources.
b. Most information collected about an individual under
investigation is obtained from third parties such as witnesses and
informers. It is not always feasible to reply upon the subject of the
investigation as a source for information regarding his activities.
c. The subject of an investigation will be alerted to the
existence of an investigation if any attempt is made to obtain
information from the subject. This could afford the individual the
opportunity to conceal any criminal activities in order to avoid
apprehension.
d. In an investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in
order to verify the evidence necessary for successful litigation.
(5) 5 U.S.C. 552a(e)(3) requires that an agency must inform the
subject of an investigation who is asked to supply information of:
a. The authority under which the information is sought and
whether disclosure of the information is mandatory or voluntary,
b. The purposes for which the information is intended to be used,
c. The routine uses which may be made of the information, and
d. The effects on the subject, if any, of not providing the
requested information. The reasons for exempting this system of
records from the foregoing provision are as follows:
(i) The disclosure to the subject of the investigation as stated
in b. above would provide the subject with substantial information
relating to the nature of the investigation and could impede or
compromise the investigation.
(ii) If the subject were informed of the information required by
this provision, it could seriously interfere with undercover
activities, require disclosure of undercover agents' identity and
impair their safety, as well as impair the successful conclusion of
the investigation.
(iii) Individuals may be contacted before the subject of an
investigation during preliminary information gathering in
investigations. Informing the individual of the matters required by
this provision would hinder or adversely affect any present or
subsequent investigations.
(6) 5 U.S.C. 552a(e)(5) requires that records be maintained with
such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in making
any determination about an individual. Because the law defines
``maintain'' to include the collection of information, complying with
this provision would prevent the collection of any data not shown to
be accurate, relevant, timely, and complete at the moment of its
collection. In gathering information during the course of an
investigation, it is not possible to determine this prior to
collection of information. Facts are first gathered and then placed
into a logical order which objectively proves or disproves criminal
behavior on the part of the suspect. Material which may seem
unrelated, irrelevant, incomplete, or untimely, may take on added
meaning as an investigation progresses. The restrictions in this
provision could interfere with the preparation of a complete
investigative report.
(7) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable
efforts to serve notice on an individual when any record of such
individual is made available to any person under compulsory legal
process when such process becomes a matter of public record. The
notice requirement of this provision could prematurely reveal an
ongoing criminal investigation to the subject of the investigation.
Reasons for exemptions under 5 U.S.C. 552a(k)(1):
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings
of disclosures of records available to individuals named in the
records at their request. These accountings must state the date,
nature, and purpose of each disclosure of the record and the name and
address of the recipient. The application of this provision would
alert subjects of an investigation to the existence of the
investigation and that such persons are subjects of that
investigation. Such information, if known, might be harmful to
national security.
(2) 5 U.S.C. 552a(d), (e)(4) (G) and (H), and (f) relate to the
following: An individual's right to be notified of the existence of
records pertaining to such individual; requirements for identifying
an individual who requests access to records; and agency procedures
relating to access to records and the content of information
contained in such records. This system is exempt from the foregoing
provisions for the following reasons: To notify an individual at the
individual's request of the existence of records in an investigative
file pertaining to such individual or to grant access to an
investigative file could interfere with investigations undertaken in
connection with national security; or could disclose the identity of
sources kept secret to protect national security or reveal
confidential information supplied by these sources.
(3) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is needed
when:
a. It is not always possible to detect relevance or necessity of
specific information in the early stages of an investigation
involving national security matters.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violators of laws other than those within
the scope of his jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil war.
d. In interviewing persons or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relates to matters incidental to the main purpose
of the investigation but which also relates to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
Reasons for exemptions under 5 U.S.C. 552a(k)(5)
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings
of disclosures of record available to individuals named in the
records at their request. These accountings must state the date,
nature and purpose of each disclosure of the record and the name and
address of the recipient. The application of this provision would
alert subjects of an investigation to the existence of the
investigation. Since release of such information to subjects of an
investigation would provide the subjects with significant information
concerning the nature of the investigation, it could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise
the investigation.
(2) 5 U.S.C. 552(d), (e)(4) (G) and (H), and (f) relate to the
following: An individual's right to be notified of the existence of
records pertaining to such individual; requirements for identifying
an individual who requests access to records; and the agency
procedures relating to access to records and the content of
information contained in such records. This system is exempt from the
foregoing provisions for the following reasons: To notify an
individual at the individual's request of the existence of records in
an investigative file pertaining to such individual or to grant
access to an investigative file could interfere with investigative
and enforcement proceedings; could interfere with co-defendant's
right to a fair trail; could constitute an unwarranted invasion of
personal privacy of others; could disclose the identity of
confidential sources and reveal confidential information supplied by
these sources; and could disclose investigative techniques and
procedures.
(3) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is needed
when:
a. It is not always possible to detect relevance or necessity of
specific information in the early stages of an investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relates to matters incidental to the main purpose
of the investigation, but which may relate to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
DOE-55
System name: Freedom of Information and Privacy Act Requests for
Records.
Security classification:
Unclassified.
System location:
All DOE locations listed in appendix A, and the following
additional location: U.S. Department of Energy, Brookhaven National
Laboratory, Industrial Medicine Division, Upton, NY 11973.
Categories of individuals covered by the system:
Individuals requesting copies of records from DOE under the
provisions of the Freedom of Information Act and under the Privacy
Act of 1974.
Categories of records in the system:
Name, address, and telephone number; description or
identification of records requested, furnished, and/or denied; dates
of request and responses; amount of fees paid, if any; payment
delinquencies, if any; final determinations of appeals or denials;
and the names and titles of authorizing officials, and officials
responsible for denials. Copies of requested records are not
maintained in this system.
Authority for maintenance of the system:
Freedom of Information Acts; (5 U.S.C. 552) Privacy Act of 1974;
(5 U.S.C. 552a); 5 U.S.C. 301; Department of Energy Organization Act,
including authorities incorporated by reference in Title III of the
Department of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Annual report to
the Congress under section (d) of the Freedom of Information Act.
Additional routine uses listed in appendix B.
These records are available for public inspection at all times.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and microfiche.
Retrievability:
By name of requester.
Safeguards:
Records are located in lockable metal file cabinets with access
limited to those whose official duties require access. Indices of
records held are available for public inspection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2 ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Freedom of
Information and Privacy Acts Activities, MA-43, Washington, DC 20585.
Field Offices: The Privacy Act Officers of field locations 2
through 21 in appendix A, are the system managers for their
respective portions of this system.
Notification procedure: a. Requests by an individual to determine
if a system of records contains information about him/her should be
directed to the Director, Freedom of Information and Privacy Acts
Activities, Department of Energy (Headquarters), or the Privacy Act
Officer at the appropriate address identified as items 2 through 21
in appendix A, in accordance with DOE's Privacy Act regulations (10
CFR part 1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual.
Systems exempted from certain provisions of the act:
None.
DOE-56
System name: Congressional Constituent Inquiries.
Security classification:
Unclassified.
System location:
All DOE locations (except item 11) in appendix A, and the
following additional location: U.S. Department of Energy, Brookhaven
National Laboratory, Industrial Medicine Division, Upton, NY 11973.
Categories of individuals covered by the system:
Individuals on whose behalf there have been Congressional
inquiries and members of Congress making requests on behalf of their
constituents.
Categories of records in the system:
Name and address of constituent and date of letter by a Senator
or member of Congress on behalf of the constituent; materials
forwarded by a member of Congress; and DOE response.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; Department of Energy Organization
Act, including authorities incorporated by reference in Title III of
the Department of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The records are
used to record Congressional inquiries on behalf of constituents, to
ensure proper document control of the response, and to reference DOE
responses to such inquiries. Additional routine uses 4, 7, 9, and 10
as listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name of constituent and name of member of Congress.
Safeguards:
Records are located in lockable metal file cabinets in secured
rooms or secured premises with access limited to those whose official
duties require access.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2 ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
The head of each office which maintains such records.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, (Headquarters) or the Privacy Act Officer at
the appropriate address identified as items 2 through 21 (except item
11) in appendix A, in accordance with DOE's Privacy Act regulations
(10 CFR part 1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individual, member of Congress, and drafter of DOE
response.
Systems exempted from certain provisions of the act:
None.
DOE-57
System name: Congressional Profiles.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Office of Congressional Affairs, CP-
30, Washington, DC 20585.
Categories of individuals covered by the system:
Current members of Congress.
Categories of records in the system:
Name, picture (taken from Congressional Pictorial Directory),
personal background (as developed from published sources),
demographic information by state or district, committee assignments,
and energy interests (as developed from published sources,
information from members's office, abstracts from Congressional
Record, committee hearings and other public sources).
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures to Office of Congressional Affairs personnel and
senior Departmental officials for informational purposes in the
ordinary course of business.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and computer printouts.
Retrievability:
Name, committee membership, state, region, and energy issue
topic.
Safeguards:
Records are maintained in Federal building with 24-hour guard
service. Access is limited to authorized personnel on a need-to-know
basis.
Retention and disposal:
Records are retained as long as the subject individual remains a
member of Congress.
System manager(s) and address:
U.S. Department of Energy, Deputy Assistant Secretary, Office of
Congressional Affairs, CP-30, Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, Washington, DC 20585, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008, 45 FR 61576, September 16,
1980).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Published sources, committee hearings, and the members' offices.
Systems exempted from certain provisions of the act:
None.
DOE-58
System name: General Correspondence Files.
Security classification:
Unclassified.
System location:
All DOE locations listed and the following additional location:
U.S. Department of Energy, Brookhaven National Laboratory, Industrial
Medicine Division, Upton, NY 11973.
Categories of individuals covered by the system:
Individuals communicating by letter with DOE.
Categories of records in the system:
Name, address of correspondent, and copies of the agency
response. This is the portion of DOE's correspondence files that
relates to correspondence with individuals.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; Department of Energy Organization
Act, including authorities incorporated by reference in Title III of
the Department of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by DOE personnel to record written
communications from correspondents outside of DOE, to ensure proper
document control of the DOE response, and as a reference for such
response. Additional routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are located in lockable metal file cabinets in secured
rooms with access limited to those whose official duties require
access.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2 ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
The head of each office which maintains such records.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21, in appendix
A, in accordance with DOE's Privacy Act regulations (10 CFR part
1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individuals and drafter of DOE response.
Systems exempted from certain provisions of the act:
None.
DOE-59
System name: Mailing Lists for Requesters of Energy Related
Information.
Security classification:
Unclassified.
System location:
All DOE locations listed in appendix A.
Categories of individuals covered by the system:
Persons requesting energy related information.
Categories of records in the system:
Each of DOE's mailing lists contains the name and address of the
subject individual; some mailing lists may also indicate specific
interests of or publications requested by the individual.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are released to contractors handling bulk and single
copy mailings for DOE. Names and addresses of such contractors may be
requested from the appropriate system manager. Additional routine
uses 8 and 9 as listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, punched cards, magnetic tape and disk, and
microfiche.
Retrievability:
Records are retrieved by record identification code number; by
type of information being disseminated (e.g., solar, nuclear, etc);
or by the occupation, profession, or other stated interest of an
individual.
Safeguards:
Access is limited to employees with a need-to-know in the
performance of their duties. Records are maintained in buildings with
controlled access. Computer information is controlled through
established DOE computer center procedures of personnel screening and
physical security.
Retention and disposal:
The lists are cotinually updated.
System manager(s) and address:
Headquarters: U.S. Department of Energy, Director, Printing and
Graphics, MA-45, Washington, DC 20585.
Field Offices: The managers and directors of field locations 2
through 21 in appendix A are system managers for their respective
portions of this system.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21 in appendix
A, in accordance with DOE's Privacy Act regulations (10 CFR part
1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, the
geographic location(s) or organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The subject individual, generally as the result of a request for
information by that individual.
Systems exempted from certain provisions of the act:
None.
DOE-61
System name: Census of High Energy Physicists.
Security classification:
System location:
U.S. Department of Energy, Office of Energy Research, ER-1, 1000
Independence Avenue, SW., Washington, DC 20585.
Categories of individuals covered by the system:
Scientists and graduate students in the field of high energy
physics.
Categories of records in the system:
Name, date of birth, education, employment history, research
support agencies, and technical specialities.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Physicists, research organizations and various Government
organizations engaged in physics research--to obtain information on
individuals and organizations engaged in high energy physics
research. Additional routine uses 2, 3, 4, 6, 8, and 9 listed in
appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic tape and disk.
Retrievability:
By name, employer, or any other combination of data.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
U.S. Department of Energy, Associate Director, High Energy and
Nuclear Physics, ER-20, Washington, DC 20545.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, Washington, DC 20585, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008, 45 FR 61576, September 16,
1980).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
High energy physics research group leaders and laboratory
directors. Other personnel in the field of high energy physics.
Systems exempted from certain provisions of the act: None.
DOE-62
System name: Historical Files--Published Information Concerning
Selected Persons in the Energy Field.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, History Division, Office of the
Executive Secretariat, 1000 Independence Avenue, SW., Washington, DC
20585.
Categories of individuals covered by the system:
Selected senior staff officials of the Manhattan Project, Atomic
Energy Commission, Nuclear Regulatory Commission, Energy Research and
Development Administration, DOE, and other selected individuals
prominent in the energy field.
Categories of records in the system:
Newspaper and magazine articles, press releases, announcements,
and speeches.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used to prepare histories in responding to
informational inquiries from members of the public including the
media, and in responding to requests from DOE officials.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in a locked vault with access dependent
upon the permission of the Historian's Office.
Retention and disposal:
Records are retained indefinitely with no plans for their
disposal.
System manager(s) and address:
U.S. Department of Energy, History Division, Office of the
Executive Secretariat, 1000 Independence Avenue, SW., Washington, DC
20585.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy, Washington, DC 20585, in accordance with DOE's
Privacy Act regulations (10 CFR part 1008, 45 FR 61576, September 16,
1980).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
DOE press releases, DOE News Clips (a daily compilation of energy
related newspaper and magazine articles), and other published
sources.
Systems exempted from certain provisions of the act: None.
DOE-65
System name: Energy Extension Service Records.
Subsystem A:
Energy Extension Service Client Names.
Subsystem B:
Energy Extension Service--Listing of State EES Employees,
Contractors, and Volunteers.
Security classification:
Subsystems A and B; Unclassified.
System location:
Subsystem A: For each state or territory participating in this
program, the records will be located in the office(s) designated by
the state or territory to implement the program. A list of
participating states and territories and the corresponding offices
implementing the program is available from the Evaluation
Coordinator, Energy Extension Service, Office of Conservation and
Renewable Energy, Washington, DC 20585.
Subsystem B: Office of the Evaluation Coordinator, Energy
Extension Service, Office of Conservation and Renewable Energy.
Categories of individuals covered by the system:
Subsystem A: State Energy Extension Service employees,
contractors, and volunteers participating in the pilot projects
implementing the Energy Extension Service program
Categories of records in the system:
Subsystem A: Names, addresses, and telephone numbers.
Subsystem B: Names, addresses, telephone numbers, and project
roles.
Authority for maintenance of the system:
Subsystems A and B: 5 U.S.C. 301; Department of Energy
Organization Act, including authorities incorporated by reference in
Title III of the Department of Energy Organization Act; Executive
Order 12009; National Energy Extension Service Act (Title V of the
Energy Research and Development Administration Authorization Act of
1977).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Subsystem A:
States: Use the records for the administration of the subject
programs. Also will, in some cases, use the DOE evaluations derived
from the records (described immediately below) for evaluation and
administration of the subject programs.
DOE: Client names, addresses, and telephone numbers will be used
to select a sample for a telephone survey of users of the Energy
Extension Service. The survey will provide information on client
evaluation of the service and on energy conserving activities which
clients may have taken as a result of the availability of the
service. The prime contractor for the survey is ICF, Inc., which will
receive the requisite records from the State EES's and, in turn, make
them available to Westat, Inc., the subcontractor which will actually
perform the evaluation. DOE will receive only information which is
distinguishable between persons, but which is not identifiable to
specific persons. However, DOE anticipates that it will retain the
capability to disclose to a participating state not only the
evaluation but also the corresponding client identities for clients
of that particular state.
Subsystem B:
DOE: Uses the records to evaluate the implementation of the
program by participating states and territories.
Subsystems A and B:
The additional routine uses 1, 2, 3, 4, 7, 8, and 9 as listed in
Appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Subsystems A and B: Paper records.
Retrievability:
Subsystems A and B: By name.
Safeguards:
Subsystem A: The agreements with the states stipulate that the
offices maintaining the records will exercise all diligence in
controlling access to them with only authorized personnel and routine
users allowed access. All personnel who handle or process these
records are instructed and cautioned as to the confidentiality of the
data and its proper disposition.
Subsystem B: Records are retained in lockable metal file cabinets
with access limited to authorized personnel on a need-to-know basis.
Retention and disposal:
Subsystem A:
The records will be retained as long as they are useful in
implementing the program.
Subsystem B:
The records will be retained only for the time necessary to
evaluate the states' implementation of the Energy Extension Service
pilot projects.
System manager(s) and address:
Subsystems A and B:
U.S. Department of Energy, Evaluation Coordinator, Energy
Extension Service, Office of Conservation and Renewable Energy,
Washington, DC 20585.
Notification procedure:
Subsystems A and B: Requests by an individual to determine if a
system of records contains informatin about him/her should be
directed to the Director, Freedom of Information and Privacy Acts
Activities, Department of Energy, Washington, DC 20585, in accordance
with DOE's Privacy Act regulations (10 CFR part 1008, 45 FR 61576,
September 16, 1980).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subsystem A: Subject individuals.
Subsystem B: The state or territory implementing the program and
the subject individuals.
Systems exempted from certain provisions of the act:
Subsystems A and B: None.
DOE-66
System name: Power Sales to Individuals.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Western Area Power Administration, PO
Box 3402, Golden, CO 80401.
Also, records in this system are located at various regional
offices of the Western Area Power Administration.
Categories of individuals covered by the system:
Individuals purchasing power from the Western Area Power
Administration.
Categories of records in the system:
Executed contracts, agreements, amendments, extensions, and
related correspondence.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act, including
authorities incorporated by reference in Title III of the Department
of Energy Organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in appendix B.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By name.
Safeguards:
Records are maintained in a locked facility with access limited
to authorized personnel on a need-to-know basis.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
U.S. Department of Energy, Administrator, Western Area Power
Administration, PO Box 3402, Golden, CO 80401
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Western Area Power Administration, PO Box 3402, Golden,
CO 80401, in accordance with DOE's Privacy Act regulations (10 CFR
part 1008, 45 FR 61576, September 16, 1980).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Subject individuals.
Systems exempted from certain provisions of the act:
None.
DOE-71
System name:
The Radiation Accident Registry.
System location:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Categories of individuals covered by the system:
Those persons accidentally exposed to acute doses of ionizing
radiation as defined by exposure dose criteria agreed to by the DOE
and the Nuclear Regulatory Commission (NRC) by an interagency
agreement. The dose criteria established by this agreement include
one or more of the following: Greater than or equal to 25 REM
(Roentgen Equivalent in Man) to the whole body, active blood forming
organs or gonads; greater than or equal to 600 REM to skin of the
whole body or extremities; greater than or equal to 75 REM to other
tissues or organs from an external source; and greater than or equal
to 1/2 NCRP maximum permissible organ burden internally; all those
medical misadministrations of radioisotopes that result in a dose or
organ burden equal to or greater than those given above.
To those individuals known to have been involved in an event in
which one or more other persons received a dose equal to or in excess
of the DOE/NRC criteria but whose personal dose was less than these
criteria. The histories of these individuals contribute control
population data.
Categories of records in the system:
Official accident reports including reports of those accidents
that have occurred within the jurisdiction of the NRC and have been
transferred to the DOE for the Accident Registry according to the
DOE/NRC agreement; names, addresses, social security numbers, date of
birth, and sex; medical records compiled at the time of the accident
(such records include physician and hospital records, diagnostic and
laboratory test reports, radiographs, EKGs, and radiation exposure
report); medical records of illnesses, examinations, including
routine follow-up examinations, and investigations that have occurred
since the radiation exposure; photographs or facsimiles of radiation-
induced injuries; search and contact information for registrants not
identified and/or located; consent to release information forms
completed by registrants; death certificates; anecdotal information;
correspondence relating to the accident and/or the individuals
involved.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To provide a current record of radiation accidents for use by
the DOE, and its contractors and consultants; to identify specific
populations for use in epidemiological and clinical studies; and to
conduct medical surveillance during the lifetime of the registrants.
2. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
3. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
4. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
5. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
6. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
7. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
8. A record in this system of records which contains medical and/
or psychological information may be disclosed, as a routine use, to
the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
Policies, and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer tapes, computer printouts, punched cards,
disc, magnetic tape, and microfilm.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in locked security areas in locked file
cabinets. Access is limited to individuals whose official duties
require access.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Oak Ridge Operation Office, PO Box
2001, Oak Ridge, TN 37831, in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Name, social security
number, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individual, medical records, physicians, medical
institutions, and reports of incident/accident/accident
investigations from private and public sources, radiation dosimetry
records, security clearance records, and employment records.
System exempted from certain provision of the Act:
None.
DOE-72
System name:
The Department of Energy Radiation Study Registry.
System location:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Categories of individuals covered by the system:
Registrants are those present and former employees of contractors
of the DOE and its predecessor organizations including the Manhattan
District, USAEC, and ERDA, and present and former civilian employees
in the DOE Naval Reactor Program who received a whole body exposure
of ionizing radiation equal to or in excess of 5 REM in any 1 year.
Categories of records in the system:
Rosters of names of individuals meeting the above criteria for
inclusion in the Registry submitted through the DOE field operation
officers from DOE owned and operated facilities and sites. In
addition to names of such individuals, these rosters include social
security number or other identifying information, sex, race, date of
birth, date and/or place of death, first date of hire, last date of
termination, continuity of hire, year in which they received first
dose greater than or equal to 5 REM, actual radiation dose in excess
of 5 REM, and total career radiation exposure dose.
Original or copied lifetime medical records from plant and
private physicians and hospitals including routine physical
examinations, reports of diagnostic and laboratory tests,
radiographs, EKG's, etc., or abstracted portions of such records as
are required for the purposes of this study.
Search and contact information for registrants who are no longer
employed at qualified sites or who are deceased.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To provide a current record of registrants for use by DOE, its
contractors, and consultants; to identify specific populations for
use in epidemiological and clinical studies; to conduct medical
surveillance during the lifetime of the registrants.
2. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
3. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
4. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
5. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
6. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
7. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
8. A record in this system of records which contains medical and/
or psychological information may be disclosed, as a routine use, to
the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer tapes, computer printouts, punched cards,
discs, magnetic tape, and microfilm.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in locked security areas in locked file
cabinets. Access is limited to individuals whose official duties
require access.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Oak Ridge Operations Office, PO
Box 2001, Oak Ridge, TN 37831, in accordance with DOE's Privacy Act
regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
b. Required identifying information: Complete name, social
security number, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individual, medical records, physicians, medical
institutions, and reports of incident/accident investigations from
private and public sources, radiation dosimetry records, security
clearance records, and employment records.
System exempted from certain provisions of the act:
None.
DOE-73
System name:
The US-DTPA Registry.
System location:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Categories of individual covered by the system:
Registrants are those individuals who, because of real or
suspected internal contamination with transuranic elements, have
received diethylenetriaminepentaacetic acid (DTPA), in the calcium or
zinc form during the course of chelation therapy. Administration of
the agent DTPA is limited to physicians who are co-investigators with
the DOE contractor staff on the Investigative New Drug License of the
Food and Drug Administration.
Categories of records in the system:
The records compiled by the physician administering DTPA in the
event of an exposure that was known to have or was suspected of
having caused transuranic contamination internally requiring
chelation therapy with DTPA. These records include a description of
the exposure, the results of serial bioassays and investigations
conducted to evaluate the level of internal contamination and the
efficacy of subsequent chelation by DTPA. The form of DTPA and the
route and frequency of administration are recorded together with any
untoward effects of the therapy.
Name, social security numbers or other identifiers and vital
status of treated persons. The last known address and the name of the
private physicians of individuals who have relocated or who are no
longer within the practice of the administering physician(s) are
included in the DTPA Registry to facilitate the search and contact of
these individuals; medical records of illnesses, examinations,
including routine follow-up examinations, investigations, etc., that
have occurred since the initial administration of DTPA; and death
certificate.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To provide a current record of individuals treated with DTPA
for use by the DOE and its contractors and consultants; identify by
epidemiological methods any long-term untoward effects associated
with DTPA therapy; to provide information to FDA in accord with the
IND license and issuances.
2. A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health and the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to Memoranda of Understanding between the
Department and the Department of Health and Human Services or its
components.
3. Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record to: Federal, state and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
4. A record from this system of records may be disclosed to
members of DOE advisory committees, the Department of Health and
Human Services Advisory Committee on Projects Related to Department
of Energy Facilities and to designated employees of Federal, State,
or local government or government-sponsored entities authorized to
provide advice to the Department concerning health, safety or
environmental issues. All recipients of such records are required to
comply with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the purpose of providing advice to the
Department or to the Department of Health and Human Services.
5. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
6. A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
7. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
8. A record in this system of records which contains medical and/
or psychological information may be disclosed, as a routine use, to
the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 552a(f)(3)
and applicable DOE regulations.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer tapes, computer printouts, punched cards,
discs, magnetic tape, and microfilm.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in locked security areas in locked file
cabinets. Access is limited to individuals whose official duties
require access.
Retention and disposal:
Records retention and disposal authorities are contained in the
General Records Schedule and DOE records schedules which have been
approved by the National Archives and Records Administration. Records
within the DOE are destroyed by shredding, burning, or burial in a
sanitary landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Oak Ridge Operations Office, PO Box
2001, Oak Ridge, TN 37831.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Oak Ridge Operations Office, PO
Box 2001, Oak Ridge, TN 37831, in accordance with the DOE's Privacy
Act regulations (10 CFR part 1008 (45 FR 61576, September 16, 1980)).
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individual, medical records, physicians, medical
institutions, and reports of incident/accident investigations from
private and public sources, radiation dosimetry records, security
clearance records, and employment records.
System exempt from certain provisions of the act:
None.
DOE-74
System name: Bonneville Power Administration Conservation
Program.
Security classification:
Unclassified
System location:
U.S. Department of Energy, Bonneville Power Administration,
Division of Programs (KP), PO Box 3621, Portland, OR 97208, and
utilities or other entities which may participate in the program.
Categories of individuals covered by the system:
Any participant in a Bonneville conservation program will be
included in the system of records. For example, participants include
but are not limited to, residential consumers, commercial consumers,
contractors, utility personnel, and personnel of other implementing
entities.
Categories of records in the system:
Information about individual energy consumption including names,
addresses, and other demographic data; characteristics of buildings;
characteristics about natural phenomenon (such as wind, sunlight,
geothermal activity, etc.); structual aspects related to thermal
efficiency; information as to type, location, and number of installed
measures; performance data; information relating to BPA financial
assistance to consumers; and information as to auditor/analyst
training.
Authority for maintenance of the system:
Bonneville Project Act of 1937, 16 U.S.C. Chapter 12B (1976), as
amended by the Flood Control Act of 1944 (16 U.S.C. 825s), the
Federal Columbia River Transmission System Act of 1974 (16 U.S.C.
Chapter 838), and the Pacific Northwest Electric Power Planning and
Conservation Act (Pub. L. 96-501).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information will be maintained by BPA, a utility, or other entity
administering the program and will be used to determine eligibility
for and to account for BPA payments; evaluate the electric energy
displacement for conservation and direct application renewable
resource measures; to evaluate the performance of specific measures;
to assess potential regional impact of individual pilot measures; to
make recommendations to consumers concerning energy efficiency; to
assist in preparing detailed resource assessments; to assist in
installation or repair of measures; and to assist in verification or
correction of services rendered under this program. Information may
also be released to the public in aggregated form for purposes of
survey and program analysis. Except in cases 1, 7, and 8, above,
information will not be released in other than aggregated form
without the prior consent of the individual.
BPA will use this information in statistical form to evaluate the
overall effectiveness of the program, and to provide and make
available a public data base which will be used to plan and analyze
appropriate conservation and direct application renewable resource
measures for firms and residents of the Pacific Northwest.
The utility or other entity administering the program will make
information available in aggregated form to Federal, state, and local
agencies and organizations with an interest in conservation and
direct application renewable resource measures; and to BPA for audit
and program evaluation purposes. When necessary for accomplishing a
measure, the utility or other entity will make information available
to contractors for use in preparing and submitting bids for work, and
to repair person called upon to evaluate, correct deficiencies in, or
otherwise repair installed measures. The utility or other entity may
disclose site or building-specific information to subsequent
purchasers.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer tapes, and disk.
Retrievability:
Records maintained by the utility are indexed by a utility
account number assigned to each utility customer. Records are indexed
by other assigned numbers when maintained at a location other than a
utility.
Safeguards:
Access to and use of these records is limited to those persons
whose official duties require such access. All files are locked or
otherwise secure when unattended.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
U.S. Department of Energy, Director, Division of Programs (KP),
Bonneville Power Administration, PO Box 3621, Portland, OR 97208.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Bonneville Power Administration,
PO Box 3621, Portland, OR 97208, in accordance with the DOE's Privacy
Act regulations (10 CFR part 1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, social
security number, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The information in this system is solicited from the individual
to whom the record pertains. Information will also be gathered from
data collection and other monitoring equipment such as electric
meters, flowmeters, air quality monitors, and so forth. Information
will be gathered by representatives of the utilities or by others at
BPA's request.
Systems exempted from certain provisions of the act: None.
DOE-75
System name: Call Detail Records.
Security classification:
Unclassified.
System location:
Records are stored at the U.S. Department of Energy (DOE)
Headquarters and field locations of DOE with on-premise telephone
systems.
Categories of individuals covered by the system:
Employees of DOE and those employees of other Federal agencies
and contractors who are located on the DOE premises and who have
assigned station numbers in the on-premise telecommunications system.
Categories of records in the system:
Originating and terminating call data records relating to use of
the U.S. Department of Energy telephones, including: Calling station
number: Date, time call originated, duration of call, and called
number; directory records indicating assignment of telephone numbers
to employees; and records relating to location of telephones. Reports
may be generated from stored call detail records and may include, but
are not limited to, station usage summaries, trunk usage summaries,
traffic and network busy hour studies, on-net and off-net pricing,
exception reports, bill certification, and cost allocation.
Authority for maintenance of the system:
5 U.S.C. 301; Section 644 of the DOE organization Act (Pub. L.
95-91), including authorities incorporated by reference in Title III
of the DOE organization Act; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To representatives of the General Services Administration who are
conducting records management inspections under the authority of 44
U.S.C. 2904 and 2906. Additional routine uses 1, 2, 4, 8, and 9
listed in appendix B 47 FR 14333.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to ``consumer reporting
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on either (1) paper, (2) magnetic tapes,
(3) hard disks, or (4) microfilm.
Retrievability:
Records are retrieved by individual telephone extension number.
Safeguards:
Manual and machine readable records are treated as sensitive
unclassified materials. Records are stored in unlocked cabinets in
offices within secured buildings and access is on a need-to-know
basis.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records are destroyed by magnetic
erasure, shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
U.S. Department of Energy, Manager, Information Exchange
Services, Office of Information, Technology, Services and Operations,
AD-252.4 GTN, Washington, DC 20585, (301) 353-2711
Notification procedure:
a. Request by an individual to determine if this system of
records contains information about him/her should be directed to the
Privacy Act Officer, U.S. Department of Energy, Washington, DC 20585,
in accordance with DOE's Privacy Act regulations (10 CFR part 1008,
September 16, 1980, 45 FR 61576).
b. Requests should include the individual's full name, station
telephone number, and time period covered.
Record access procedures:
Same as notification procedures above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibility for
placement of special local and long-distance calls.
Systems exempted from certain provisions of the act:
None.
DOE-76
System name: California, Nevada, and Utah Milk Directory.
Security classification:
Unclassified.
System location:
U.S. Department of Energy, Nevada Operations Office, PO Box
14100, Las Vegas, NV 89114.
Categories of individuals covered by the system:
Ranchers, farmers, and dairymen in Nevada and certain countries
in California and Utah.
Categories of records in the system:
Information on dairy herd and family milk cow owners including
location, owners' names, and telephone numbers.
Authority for maintenance of the system:
5 U.S.C. 301; Department of Energy Organization Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system are used to identify and notify
farmers, ranchers, and dairymen in Nevada and certain counties in
California and Utah if there is accidental leakage of radioactivity
in the atmosphere, so that milk samples can be taken and analyzed to
determine whether radiation levels are excessive.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, punched cards, magnetic tape and disk, and
computer printouts and plots.
Retrievability:
By location.
Safeguards:
Access to magnetic tapes and disk files is controlled through
established computer center procedures (personnel screening and
physical controls). Records are maintained in limited access areas
with visibility limited to those having a need-to-know.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records are destroyed by shredding,
burning, or burial in a sanitary landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Nevada Operations Office, PO Box
14100, Las Vegas, NV 89114.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the Privacy
Act Officer, Department of Energy, Nevada Operations Office, PO Box
14100, Las Vegas, NV 89114, in accordance with the DOE's Privacy Act
regulations (10 CFR part 1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, social
security number, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
Information in this system comes from individual ranch, farm, and
dairy owners.
Systems exempted from certain provisions of the act:
None.
DOE-77
System name: Physical Fitness Test Records.
Security classification:
Unclassified.
System location:
The locations listed as items 1 through 21 in appendix A.
Categories of individuals covered by the system:
DOE contractor employees (armed uniform guards).
Categories of records in the system:
Record of individual's ability to complete the physical fitness
test as set forth in applicable DOE directives.
Authority for maintenance of the system:
Authorities vested in and transferred to the Secretary of Energy,
under the Department of Energy Organization Act, Pub. L. 95-91.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system provide information on security
guards' ability to annually perform fitness tests. Records are
disclosed to administrative and training personnel of the contracted
protective force management or the responsible Federal force managed
in the performance of regular duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper file, manually retrieved.
Retrievability:
By name.
Safeguards:
Access limited to employees having need-to-know. Records are
stored in locked file cabinets in secured building under guard
protection.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records disposition.'' Records within the DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate.
System manager(s) and address:
U.S. Department of Energy, Director, Office of Safeguards and
Security, DP-34, Washington, DC 20545.
Notification procedure:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Activities,
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified as items 1 through 21, in appendix
A; in accordance with DOE's Privacy Act regulations (10 CFR part
1008, 45 FR 61576, September 16, 1980).
b. Required identifying information: Complete name, the
geographic location(s) and organization(s) where requester believes
such record may be located, date of birth, and time period.
Record access procedures:
Same as Notification procedures above.
Contesting record procedures:
Same as Notification procedures above.
Record source categories:
The individuals themselves, their supervisors, physicians, and
persons administering the tests.
Systems exempted from certain provisions of the act:
None.
DOE-81
System name:
Counterintelligence Administrative and Analytical Records and
Reports
Security classification:
Classified and unclassified.
System location:
The locations listed as items 1, 3, 8, 11, 12, 15, 16, and 17 in
Appendix A, and the following additional locations:
--U.S. Department of Energy, Office of Counterintelligence,
Headquarters, Forrestal Building, Washington, DC 20585
--U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
--U.S. Department of Energy, Pinellas Area Office, PO Box
11500, St. Petersburg, FL 33733
--U.S. Department of Energy, Sandia Area Office, PO Box 5400,
Albuquerque, NM 87115
--National Security Technology, Pacific Northwest Laboratory
--Nonproliferation, Arms Control, and International Security
Directorate, Lawrence Livermore National Laboratory
--International Technology Division, Los Alamos National
Laboratory
--Systems Research Center (5900), Sandia National Laboratory,
Albuquerque
--International Technology Programs Division, Oak Ridge K-25
Site
--Special Programs Group (SRTC), Savannah River Laboratory
--Defense Programs Technology, Idaho National Engineering
Laboratory
--Special Technologies Laboratory (STL), Santa Barbara
Categories of individuals covered by the system:
Current and former DOE employees, contractor employees, and
consultants; persons suspected of violating DOE regulations or laws;
and, where there are indications of contact with a current or former
DOE employee, contractor employee or consultant, persons who are:
a. Reasonably believed to be officers or employees of, or
otherwise acting for or on behalf of, a foreign power;
b. Members of an organization reasonably believed to be owned or
controlled directly or indirectly by, a foreign power;
c. Reasonably believed to be targets, hostages, or victims of
international terrorist organizations; or
d. Reasonably believed to be engaged in or about to engage in
clandestine intelligence activities, sabotage, assassinations, or
international terrorist activities involving DOE programs, personnel,
facilities, information or materials.
Categories of records in the system:
Analytical, training and investigative records, reports and
files; travel reports; reports on foreign contacts; records, reports
and files received from other DOE elements and other Federal
agencies.
Authority for maintenance of the system:
5 U.S.C. 301; Atomic Energy Act of 1954, as amended; Department
of Energy Organization Act, including authorities incorporated by
reference in Title III of the Department of Energy Organization Act;
Executive Order 12333; Federal Personnel Manual, Chapters 731 and
736.
Purpose(s):
Pursuant to E.O. 12333, the Department of Energy Procedures for
Intelligence Activities, and DOE Order 5670.3, the records in this
system are used in furtherance of the responsibilities of the Office
of Counterintelligence (OCI), which include analysis of the foreign
intelligence threat; conducting administrative inquiries and
investigations to identify and neutralize the foreign intelligence
threat to classified and sensitive DOE programs, personnel,
information and activities; reporting on foreign contacts and travel,
including briefings and debriefings; conducting counterintelligence
investigations and producing intelligence on hostile and foreign
intelligence entities; counterintelligence related training; and
other activities relating to OCI's responsibilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system will be used by the Office
of Counterintelligence for administrative and analytical purposes.
Information maintained in this system of records shall be disclosed
to:
--The FBI when such records indicate a violation or probable
violation of the law;
--Other counterintelligence agency components with whom the
Office of Counterintelligence is preparing joint analysis of
counterintelligence-related threats which may impact the Department
of Energy;
--In the event that information within this system of records
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, the relevant records
in the system of records may be referred to the appropriate Federal,
State, local, or foreign agency, charged with the responsibility of
investigating or prosecuting such violations or charged with
enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto;
--A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as current licenses, if necessary, to
obtain information relevant to an agency decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant or other benefit;
--A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of any 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter;
--A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings;
--Records maintained by this agency to carry out its functions
which relate to civil and criminal procedings may be disclosed to the
news media in accordance with guidelines contained in Department of
Justice regulations 28 CFR 50.2;
--A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations;
--A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular;
--A record from this system of records may be disclosed, as a
routine use, to DOE contractors in performance of their contracts,
provided the officers and employees have a need for the record in the
performance of their duties; DOE contractor officers and employees
are subject to the same limitations applicable to DOE officers and
employees under the Privacy Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and files, computer discs, data bases and
printouts.
Retrievability:
By name, social security number or other personal identifying
data.
Safeguards:
Access is limited to DOE employees and contractor employees
having a need to know as well as authorized Federal agencies or
components thereof. Records are maintained in secured, locked and
guarded buildings.
Retention and disposal:
Records retention and disposal authorities are contained in DOE
1324.2, ``Records Disposition.'' Records within DOE are destroyed by
shredding, burning, or burial in a sanitary landfill, as appropriate.
System manager(s) and address:
Director, Analytical Division, Office of Counterintelligence, NN-
30, U.S. Department of Energy, Forrestal Building, Room G-226, 1000
Independence Avenue SW, Washington, DC 20585.
Notification procedures:
a. Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Branch, U.S.
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified under ``System Location'' above or
as items 1, 3, 8, 11, 12, 15, 16 or 17 in appendix A; in accordance
with DOE's Privacy Act regulations (10 CFR part 1008 (45 FR 61576,
September 16, 1980)).
b. Required identifying information: Completed Privacy Act
Request Form, which includes full name, date of birth, geographic
location(s) and organization(s) where requester believes such record
may be located, and time period.
Record access procedures:
Same as Notification Procedures above.
Contesting record procedures:
Same as Notification Procedures above.
Record source categories:
The subject individual, present and former DOE employees and
contractor employees; publicly available material; other agencies
within the Intelligence Community; other offices and elements within
DOE; the FBI, and other federal, state and local law enforcement
agencies; sources contacted during administrative inquiries and
investigations; and official records.
System exempted from certain provisions of the act:
This system is exempted under subsections (k) (1), (2) and (5) of
the Privacy Act, 5 U.S.C. 552a, to the extent that information within
the system meets the requirements of those subsections of the Act.
The Secretary has further exempted this system from subsections (c)
(3)and (4), (d), (e)(1), (e)(4) (G) and (H), and (f) of 5 U.S.C. 552a
under the Privacy Act of 1974, to the extent the information in this
system of records is exempt pursuant to 5 U.S.C. 552a(k) (1), (2) and
(5). See DOE Privacy Act Regulations at 10 CFR 1008.12(b).
Subsection (k)(1), 5 U.S.C. 552a(k)(1), permits an agency head to
exempt those systems of records which are ``specifically authorized
under criteria established by an Executive Order to be kept secret in
the interest of national defense or foreign policy and are in fact
properly classified pursuant to such Executive Order.'' See 5 U.S.C.
552(b)(1)(A). Subsection (k)(2), 5 U.S.C. 552a(k)(2), allows the
exemption of records compiled in the course of an investigation of an
alleged or suspected violation of laws and regulations.
Subsection (k)(5), 5 U.S.C. 552a(k)(5), allows the exemption of
``investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access
to classified information, but only to the extent that disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the
identity of the source would be held in confidence, or, prior to the
effective date of this section, under an implied promise that the
identity of the source would be held in confidence.'' See DOE's
Privacy Act Regulations at 10 CFR 1008.12(b), 45 FR 61576, September
16, 1990, and refer to Proposed Amendment to the Department of
Energy's Privacy Act Regulations published elsewhere in this issue.
DOE-82
System name: Grant and Contract Records for Research Projects,
Science Education, and Related Activities.
Security classification:
None.
System location:
Office of Energy Research, U.S. Department of Energy (DOE).
Categories of individuals covered by the system:
Individuals on whom records are maintained: (1) Principal
Investigator, i.e., the scientist or other individual designated by
the applicant or proposer to direct the project; (2) DOE Project
Officer, i.e., the individual at DOE who is responsible for the
review and evaluation of the application or proposal and the
monitoring of a resulting grant or contract; and (3) Peer Reviewer,
i.e., the individual who provides a written review or evaluation of
the application or proposal to the DOE Project Officer.
Categories of records in the system:
Records maintained in this system include grant applications,
contract proposals, technical reviews by peer reviewer, records of
grant and contract awards, and any other pertinent information needed
for the approval of a grant or contract.
Authority for maintenance of the system:
5 U.S.C. 301, Section 644, Department of Energy Organization Act,
including authorities incorporated by reference in Title III of the
Department of Energy Organization Act.
Purpose(s):
The purpose of the system is to track and monitor the receipt,
review, and disposition of grant applications and contract proposals
from universities, non-profit organizations, large and small
businesses, other Federal agencies, State and local governments, and
individuals seeking Federal financial support for research projects,
training, and related activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record in this system may be disclosed to expert peer reviewers
selected by DOE for their expertise in specific research areas to
evaluate the application or proposal in accordance with established
evaluation criteria.
A record from this system may be disclosed to DOE contractors in
performance of their contracts if they have a need for the record in
the performance of their duties subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
A record in this system may be disclosed to a member of Congress
submitting a request involving a principal investigator or a peer
reviewer when the individual is a constituent of the member and has
requested assistance from the member with respect to the records
maintained about the individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on paper, hard disk, or diskette.
Retrievability:
Records are retrieved by application or proposal number, award
number, applicant, name of principal investigator, peer reviewer, or
DOE project officer.
Safeguards:
Manual and machine readable records are treated as sensitive,
unclassified materials. Records are stored in unlocked cabinets in
offices within secured buildings, and access is on a need-to-know
basis.
Retention and disposal:
Records are retained and disposed of in accordance with
authorities contained in DOE Order 1324.2, ``Records Disposition.''
System manager(s) and address:
U.S. Department of Energy, Director, Acquisition and Assistance
Management Division, Office of Management, Office of Energy Research,
Washington, DC 20585, (301) 903-5544.
Notification procedure:
Requests by an individual to determine if this system of records
contains information about him or her should be directed to the
Privacy Act Officer, U.S. Department of Energy, Washington, DC 20585,
in accordance with DOE's Privacy Act regulations (10 CFR part 1008,
September 16, 1980, 45 FR 61576). Requests should include the
individual's full name; applicant, proposer, or awardee organization
name and address; the date the application or proposal was submitted
to DOE; and the dates of any resulting grant or contract awards.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures.
Record source categories:
Grant applications and contract proposals.
System exempted from certain provisions of the act:
None.
DOE-84
System name:
Counterintelligence Investigative Records.
Security classification:
Classified and unclassified.
System location:
The locations listed as items 1, 3, 8, 11, 12, 15, 16, and 17 in
Appendix A, and the following additional locations:
--U.S. Department of Energy, Office of Counterintelligence,
Headquarters, Forrestal Building, Washington, DC 20585
--U.S. Department of Energy, Los Alamos Area Office, 528 35th
Street, Los Alamos, NM 87544
--U.S. Department of Energy, Pinellas Area Office, PO Box
11500, St. Petersburg, FL 33733
--U.S. Department of Energy, Sandia Area Office, PO Box 5400,
Albuquerque, NM 87115
--National Security Technology, Pacific Northwest Laboratory
--Nonproliferation, Arms Control, and International Security
Directorate, Lawrence Livermore National Laboratory
--International Technology Division, Los Alamos National
Laboratory
--Systems Research Center (5900), Sandia National Laboratory,
Albuquerque
--International Technology Programs Division, Oak Ridge K-25
Site
--Special Programs Group (SRTC), Savannah River Laboratory
--Defense Programs Technology, Idaho National Engineering
Laboratory
--Special Technologies Laboratory (STL), Santa Barbara
Categories of individuals covered by the system:
Current and former DOE employees, contractor employees, and
consultants; persons suspected of violating DOE regulations or
criminal laws; and where there are indications of contact with a
current or former DOE employee, contractor employee or consultant, by
persons who are:
a. Reasonably believed to be officers or employees of, or
otherwise acting for or on behalf of, a foreign power;
b. Members of an organization reasonably believed to be owned or
controlled directly or indirectly by, a foreign power;
c. Reasonably believed to be targets, hostages, or victims of
international terrorist organizations; or
d. Reasonably believed to be engaged or about to engage in
clandestine intelligence activities, sabotage, assassinations, or
international terrorist activities involving DOE programs, personnel,
facilities, information, or materials.
Categories of records in the system:
Law enforcement records, reports and files; reports on foreign
contacts; records, reports and files received from other DOE elements
and other Federal agencies related to intelligence activities.
Authority for maintenance of the system:
Executive Order 12333 and the Atomic Energy Act of 1954, as
amended.
Purpose(s):
Pursuant to E.O. 12333 and DOE Order 5670.3,
``Counterintelligence Programs,'' the records in this system are used
by the OCI when participating in joint law enforcement
counterintelligence-related investigations with the FBI or other
Federal law enforcement agencies or components thereof in order to
detect and prevent foreign intelligence threats directed at or
involving DOE classified and sensitive information, programs,
facilities, personnel, and other Department resources.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information maintained in this system will be used by the OCI
when participating in a counterintelligence-related joint law
enforcement investigation. Information collected in such
investigations may be used for prosecutive actions.
Information maintained in this system of records shall be
disclosed to:
--The FBI when such records indicate a violation or probable
violation of the law;
--Other law enforcement agencies or components thereof with
whom the Office of Counterintelligence is participating in a joint
counterintelligence law enforcement investigation;
--In the event that information within this system of records
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, the relevant records
in the system of records may be referred to the appropriate Federal,
State, local, or foreign agency, charged with the responsibility of
investigating or prosecuting such violations or charged with
enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto;
--A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as current licenses, if necessary, to
obtain information relevant to an agency decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant or other benefit;
--A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of any 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter;
--A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings;
--Records maintained by this agency to carry out its functions
which relate to civil and criminal procedings may be disclosed to the
news media in accordance with guidelines contained in Department of
Justice regulations 28 CFR 50.2;
--A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations;
--A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular;
--A record from this system of records may be disclosed, as a
routine use, to DOE contractors in performance of their contracts,
provided the officers and employees have a need for the record in the
performance of their duties; DOE contractor officers and employees
are subject to the same limitations applicable to DOE officers and
employees under the Privacy Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, computer discs, and microfilm.
Retrievability:
By name and social security number.
Safeguards:
Records are maintained in locked cabinets, computers restricted
to coded entry, and computers secured for classified information.
Access to computer records is by password only and may only be
accessed by authorized staff in accordance with established
procedures.
Retention and disposal:
Records retention land disposal authorities are contained in DOE
Order 1324.2 RECORDS DISPOSITION. Records within the DOE are
destroyed by shredding, burning, or burial in a sanitary landfill, as
appropriate. Automated files are erased through approved security
procedures.
System manager(s) and address:
Director, Analytical Division, Office of Counterintelligence NN-
20, U.S. Department of Energy, Forrestal Building, Room G-226, 1000
Independence Avenue SW, Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if a system of records
contains information about him/her should be directed to the
Director, Freedom of Information and Privacy Acts Branch, U.S.
Department of Energy (Headquarters), or the Privacy Act Officer at
the appropriate address identified under ``System Location'' above or
as items 1, 3, 8, 11, 12, 15, 16 or 17 in appendix A, in accordance
with DOE's Privacy Act Regulations, 10 CFR part 1008, 45 FR 61576,
September 16, 1980.
Record access procedures:
Required identifying information: Full name, date of birth,
geographic location(s), and organization(s) where requester believes
such record may be located, and time period. Preferred method for
providing this information is to use DOE F 1800 ``Privacy Act
Information Requests'' form. If the requester does not use this
official form, the request should then bear at the top of the request
the words ``Privacy Act,'' ``Privacy Act Access,'' or ``Privacy Act
Amendment,'' in accordance with DOE Order 1800.1A, II-1, ``Action on
Initial Requests.''
Contesting record procedures:
Same as Notification Procedures above.
Record source categories:
The subject individual, present and former DOE employees and DOE
contractor employees; publicly available material; other agencies
within the Intelligence Community; other offices within the DOE; the
FBI, and other federal, state and local law enforcement agencies; and
sources contacted during investigations.
System exempted from certain provisions of the act:
This system is exempt pursuant to subsections (j)(2) and (k) (1),
(2) and (5) of the Privacy Act, 5 U.S.C. 552a, to the extent that
information within the system meets the requirements of those
subsections of the Act. Under subsection (j)(2) of the Privacy Act,
this system has been exempted from subsections (c) (3) and (4), (d),
(e) (1), (2), and (3), (e)(4) (G) and (H), (e)(8), (f) and (g) of 5
U.S.C. 552a. See DOE's Privacy Act Regulations at 10 CFR 1008.12(a),
45 FR 61576, 61582, September 16, 1980.
To the extent the information in this system of records is exempt
pursuant to 5 U.S.C. 552a(k) (1), (2) and (5), the system has been
further exempted from subsections (c)(3) and (4), (d), (e)(1), (e)(4)
(G) and (H) and (f) of 5 U.S.C. 552a under the Privacy Act of 1974.
See DOE's Privacy Act Regulations at 10 CFR 1008.12(b), 45 FR 61576,
September 16, 1990, and refer to Proposed Amendment to the Department
of Energy's Privacy Act Regulations published elsewhere in this
issue.
DOE-86
System name:
Human Radiation Experiments Records.
Security classification:
None.
System location:
U. S. Department of Energy, Office of Human Radiation
Experiments, Washington, DC 20585
Coordination and Information Center, 3084 S. Highland St., Las
Vegas, Nevada 89109
Categories of individuals covered by the system:
The records pertain to persons who participated in the
organizing, conducting, and financing of the Human Radiation
Experiments and environmental releases of radiation described in
Executive Order 12891, 59 FR 2935 (January 20, 1994). See appendix A.
The records also pertain to persons who were subjects of the
experiments or were affected by the releases. Generally, the records
pertain to persons in the following categories:
(1) Former and current employees of the DOE, its predecessor
agencies and their contractors and subcontractors;
(2) Members of the public;
(3) Persons exposed to radiation as a result of proximity to
nuclear facilities or the intentional or accidental release of
radiation.
Categories of records in the system:
Data consists of records pertaining to the planning, organizing,
financing, conducting, effects and results of experiments and
environmental releases, gathered from DOE, its predecessor agencies
and their contractors and subcontractors. Such records include
correspondence, memoranda, published and unpublished reports, notes,
logs, proposals, contracts, minutes of meetings of the Atomic Energy
Commission and its advisory committees and subcommittees dealing with
radiation, correspondence with members of the public, transcripts of
interviews of persons associated with the organizing, financing and
conducting of the experiments, reports of Congressional hearings,
personal notes, diaries and papers, archival collections, interagency
memoranda and agreements, consent forms, medical and laboratory
reports, transcripts of medical conferences, and newspaper and
magazine articles.
Authority for maintenance of the system:
5 U.S.C. 301; authority incorporated by reference in Title III of
the Department of Energy Organization Act at 42 U.S.C. 7151;
including 42 U.S.C. 2201(c) and 42 U.S.C. 5813 and 5817.
Purpose(s):
The records will enable DOE to create a central source of data
concerning the experiments and releases, and to provide information
to the public and to individuals that were subjects of the
experiments or affected by the environmental releases. The records
will also be used to assist the Advisory Committee on Human Radiation
Experiments evaluate the scientific, medical and ethical aspects of
the experiments.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To assist the Advisory Committee on Human Radiation
Experiments perform its assigned task of evaluating the scientific
and ethical aspects of the Human Radiation Experiments and
environmental releases, a record from this system of records may be
disclosed to that Committee to provide it with information concerning
experiments or releases of radiation that were sponsored, financed or
conducted by DOE, its predecessors, or other Federal agencies, and
their contractors and subcontractors. See Executive Order 12891, 59
FR 2935, (January 20, 1994); appendix A.
2. A record from this system of records pertaining to a
particular Human Radiation Experiment or environmental release may be
disclosed to another Federal agency if it appears from the record, or
other available information, that the other Federal agency conducted
the Human Radiation Experiment or environmental release or that
referral to the other Federal agency is appropriate for remedial
purposes.
3. A record from this system of records may be disclosed for
epidemiological, industrial safety or hygiene studies conducted by
DOE's contractors and subcontractors to ascertain or determine: (1)
How radiation exposure effects the health and well being of
individuals or groups of individuals; and (2) the risks of working
with, or being in proximity to, nuclear equipment, devices and
facilities and how such risks may be ameliorated.
4. A record from this system of records may be disclosed to the
Centers for Disease Control and Prevention, other Federal and state
health agencies, and Federal and state agencies involved with
industrial or employee safety to be used for epidemiological or
industrial safety or hygiene studies to ascertain or determine: (1)
How radiation exposure effects the health and well being of
individuals or groups of individuals; and (2) the risks of working
with, or being in proximity to, nuclear equipment, devices and
facilities, and how such risks may be ameliorated.
5. A record from this system of records may be disclosed to the
Department of Justice when: (a) The DOE or any component thereof; (b)
any DOE employee, or employee of a DOE predecessor agency, in an
official capacity; (c) the United States Government; (d) any current
or former DOE contractor, or employee of such contractor, is a party
to or has an interest in litigation and DOE determines that the
records are both relevant and necessary and the use of such records
by the Department of Justice is deemed by DOE to be compatible with
the purpose for which DOE collected the records.
6. A record from this system of records may be disclosed to a
court or adjudicative body in a proceeding when: (a) DOE, any
predecessor agency, or any component thereof; (b) any current or
former DOE, or predecessor agency, employee in an official capacity,
or in an individual capacity where DOE has agreed to represent the
employee; (c) the United States Government; or, (d) any current or
former DOE contractor, or employee of such contractor is a party to,
or has an interest in, the proceeding and the DOE determines that the
records are both relevant to and necessary for the proceeding and
that such use is deemed by DOE to be compatible with the purpose for
which DOE collected the records.
7. When a record on its face or in conjunction with other records
indicates a violation or potential violation of law, whether civil,
criminal or regulatory in nature and whether arising by general
program statute or particular program pursuant thereto, the relevant
records may be referred as a routine use to the appropriate agency,
whether Federal, foreign, state, local or tribal, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
8. A record in this system of records may be disclosed as a
routine use to a Member of Congress submitting a written request
involving the individual when the individual is a constituent of the
member and has requested assistance from the member with respect to
the subject matter of the record.
9. A record from this system of records may be disclosed to the
Archivist of the United States, the National Archives and Records
Administration or to the General Services Administration for records
management conducted under 44 U.S.C. 2904 and 2906.
10. A record from this system may be disclosed to DOE's
contractors in performance of their contracts, and their officers and
employees who have a need for the record in the performance of their
duties, subject to the same limitations applicable to DOE's officers
and employees under the Privacy Act.
11. A record from this system of records may be disclosed to
officials and contractor personnel of the Agency for Toxic Substances
and Disease Registry in carrying out that agency's authorized
activities at DOE's facilities pursuant to section 104(i) of the
Comprehensive Environmental Response, Compensation, and Liability
Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on electromagnetic or optical storage
media, and paper records.
Retrievability:
These records are entered into a database. Accordingly,
retrievability may be by name, or other personal identifier, as
dictated by the needs of the particular researcher.
Safeguards:
Data is kept in secured areas that are locked when not in regular
use and buildings with controlled access. Hard copy data are stored
in locked files. Appropriate safeguards for electronic information
are built into program software as warranted by sensitivity of the
data.
Retention and disposal:
Records are retained and disposed of in accordance with
authorities contained in DOE Order 1324.2 ``Records Disposition.''
System manager(s) and address:
U.S. Department of Energy, Director, Office of Human Radiation
Experiments, Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if this system of records
contains information about him or her should be directed to the
Privacy Act Officer, U.S. Department of Energy, Washington, DC 20585,
in accordance with DOE's Privacy Act regulation (10 CFR part 1008,
September 16, 1980, 45 FR 61576). Requests should include the
individual's current full name and address, the individual's name and
address at the time of any specific events of interest to the
requester, and, if the requester is a current or former employee of a
DOE contractor, the contractor's name, the individual's employment
dates, and the individual's social security number.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures.
Record source categories:
Persons conducting or otherwise having a role in the organization
and financing of experiments or releases, present and former DOE and
predecessor agency contractors and subcontractors, physicians,
medical records, dosimetry records, subject individuals, DOE and its
predecessor agency officials and operating offices.
Systems exempted from certain provisions of the act:
None.
Appendix A
As defined in Executive Order 12891, 59 FR 2935 (January 20,
1994) Human Radiation Experiments include:
(1) Experiments on individuals involving intentional exposure to
ionizing radiation. This category does not include common and routine
clinical practices, such as established diagnosis and treatment
methods, involving incidental exposures to ionizing radiation;
(2) Experiments involving intentional environmental releases of
radiation that (A) were designed to test human health effects of
ionizing radiation; or (B) were designed to test the extent of human
exposure to ionizing radiation;
(3) The experiment into the atmospheric diffusion of radioactive
gases and test of detectability, commonly referred to as the ``Green
Run test,'' conducted by the former Atomic Energy Commission and the
Air Force in December 1949 in Hanford, Washington;
(4) Two radiation warfare field experiments conducted at the
Atomic Energy Commission's Oak Ridge office in 1948 involving gamma
radiation released from non-bomb point sources at or near ground
level;
(5) Six tests conducted during 1949-1952 of radiation warfare
ballistic dispersal devices containing radioactive agents at the U.S.
Army's Dugway, Utah, site;
(6) Four atmospheric radiation-tracking tests in 1950 at Los
Alamos, New Mexico; and
(7) Other similar human experiments that may later be identified
by the Human Radiation Interagency Working Group.
DOE-87
System name:
Human Radiation Experiments Helpline Records.
Security classification:
None.
System location:
U. S. Department of Energy, Office of Human Radiation
Experiments, Washington, DC 20585
Categories of individuals covered by the system:
This system of records contains records pertaining to persons in
the following categories who contacted the DOE or the Interagency
Helpline (operated by the DOE), after December 1, 1993, to determine
or report their, or their relatives', possible exposure to radiation
as a result of Human Radiation Experiments or environmental releases
conducted or sponsored by the Government or to report possible
exposure to radiation as a result of other Government or non-
government activities:
(1) Members of the public;
(2) Former members of the armed forces;
(3) Employees of the DOE, its predecessor agencies, and their
contractors and subcontractors;
(4) Persons exposed to radiation as a result of proximity to
nuclear facilities or the intentional or accidental release of
radiation.
Categories of records in the system:
Data provided by persons contacting the DOE or the Interagency
Helpline after December 1, 1993, to report or inquire about exposure
to radiation consists of records of telephone conversations and
correspondence. Records in this system also include correspondence
between the callers, Members of Congress, attorneys who represent
them, and with Federal agencies that conducted pertinent Human
Radiation Experiments or environmental releases or administer
remedial programs.
Authority for maintenance of the system:
5 U.S.C. 301; authority incorporated by reference in Title III of
the Department of Energy Organization Act at 42 U.S.C. 7151;
including 42 U.S.C. 2201(c) and 42 U.S.C. 5813 and 5817.
Purpose(s):
The records will be used by DOE as a source of information to
assist the Advisory Committee on Human Radiation Experiments in the
evaluation of the Human Radiation Experiments and environmental
releases. See Executive Order 12891, 59 FR 2935, (January 20, 1994).
Additionally, based upon the information reported by the persons that
contacted DOE or the Interagency Helpline after December 1, 1993, to
inquire about or report participation in the experiments or the
effects of the environmental releases, DOE intends to gather
pertinent information about the experiments and releases from other
sources, in order to provide that information to the inquirers. The
DOE will also refer particular cases to other Federal agencies which
may have conducted pertinent experiments or releases or may
administer remedial programs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To assist the Advisory Committee on Human Radiation
Experiments perform its assigned task of evaluating the scientific
and ethical aspects of the Human Radiation Experiments and
environmental releases, a record from this system of records may be
disclosed to that Committee to provide it with information concerning
experiments or releases of radiation that were sponsored, financed or
conducted by DOE, its predecessors, or other Federal agencies, and
their contractors and subcontractors. See Executive Order 12891, 59
FR 2935, (January 20, 1994); appendix A.
2. A record in this system of records may be disclosed as a
routine use to a Member of Congress submitting a written request
involving the individual when the individual is a constituent of the
member and has requested assistance from the member with respect to
the subject matter of the record.
3. A record from this system may be disclosed 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,
subject to the same limitations applicable to DOE's officers and
employees under the Privacy Act, as amended, 5 U.S.C. 552a.
4. A record from this system of records pertaining to a
particular Human Radiation Experiment or environmental release may be
disclosed to another Federal agency if it appears from the record, or
other available information, that the other Federal agency conducted
the Human Radiation Experiment or environmental release or that
referral to the other Federal agency is appropriate for remedial
purposes.
5. A record from this system of records may be disclosed to the
Department of Justice when: (a) DOE, any predecessor agency, or any
component thereof; (b) any DOE or predecessor agency employee, in an
official capacity; (c) the United States Government; (d) any current
or former DOE, or predecessor agency, contractor, or any of their
employees, is a party to, or has an interest in, litigation and DOE
determines that the records are both relevant to and necessary for
the litigation, and the use of such records by the Department of
Justice is deemed by DOE to be compatible with the purpose for which
DOE collected the records.
6. A record from this system of records may be disclosed to a
court or adjudicative body in a proceeding when: (a) DOE, any
predecessor agency, or any component thereof; (b) any current or
former DOE, or predecessor agency, employee in an official capacity,
or in an individual capacity where DOE has agreed to represent the
employee; (c) the United States Government; or (d) any current or
former DOE contractor, or employee of such contractor is a party to,
or has an interest in, the proceeding and DOE determines that the
records are both relevant to and necessary for the proceeding and
that such use is deemed by DOE to be compatible with the purpose for
which DOE collected the records.
7. When a record on its face or in conjunction with other records
indicates a violation or potential violation of law, whether civil,
criminal or regulatory in nature and whether arising by general
program statute or particular program pursuant thereto, the relevant
records may be referred as a routine use to the appropriate agency,
whether Federal, foreign, state, local or tribal, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto, if DOE determines that
the records are both relevant to and necessary for such investigation
or prosecution and the use of such records by the appropriate agency
is deemed by DOE to be compatible with the purpose for which DOE
collected the records.
8. A record from this system of records may be disclosed to the
Archivist of the United States, the National Archives and Records
Administration or to the General Services Administration for records
management conducted under 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on electromagnetic or optical storage
media, and paper records.
Retrievability:
Telephone calls have been placed in a database from which
information is retrieved by the caller's name. Correspondence is
retrieved by name of the person to whom the correspondence pertains
or of the person submitting the correspondence.
Safeguards:
Data is kept in secured areas that are locked when not in regular
use and buildings with controlled access. Hard copy data are stored
in locked files. Appropriate safeguards for electronic information
are built into program software as warranted by sensitivity of the
data.
Retention and disposal:
Records are retained and disposed of in accordance with
authorities contained in the DOE Order 1324.2 ``Records
Disposition.''
System manager(s) and address:
U.S. Department of Energy Director, Office of Human Radiation
Experiments, Washington, DC 20585.
Notification procedure:
Requests by an individual to determine if this system of records
contains information about him or her should be directed to the
Privacy Act Officer, U.S. Department of Energy, HR-78, Washington, DC
20585, in accordance with the DOE's Privacy Act regulation (10 CFR
part 1008, September 16, 1980, 45 FR 61576). Requests should include
the individual's current full name and address, the individual's name
and address at the time of any possible participation in the Human
Radiation Experiments or environmental release as defined in Appendix
A, and, if the requester is a current or former employee of a
Department contractor, the contractor's name, the individual's
employment dates, and the individual's social security number.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures.
Record source categories:
Subject individuals, family members, their attorneys, Senators
and Representatives.
Systems exempted from certain provisions of the act:
None.
DOE-88
System name:
Epidemiologic and Other Health Studies, Surveys and
Surveillances.
Security classification:
None.
System location:
U.S. Department of Energy, Office of Environment, Safety and
Health, Office of Health Studies (EH-62), Germantown, MD 20874-1290.
Portions may also be located with contractors, other entities
involved in conducting or managing health studies, surveys, and
surveillances, or other Department offices listed below:
1. U.S. Department of Energy, Alaska Power Administration, 2770
Sherwood Lane, Juneau, AK 99801-8545
2. U.S. Department of Energy, Albuquerque Operations Office, PO
Box 5400, Albuquerque, NM 87185-5400
3. U.S. Department of Energy, Bartlesville Project Office, 220
North Virginia Avenue, PO Box 1398, Bartlesville, OK 74003
4. U.S. Department of Energy, Bonneville Power Administration,
PO Box 3621, Portland, OR 97208
5. U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
6. U.S. Department of Energy, Golden Field Office, 1617 Cole
Boulevard, Golden, CO 80401
7. U.S. Department of Energy, Grand Junction, PO Box 2567,
Grand Junction, CO 81502-2567
8. U.S. Department of Energy, Headquarters, 1000 Independence
Avenue, SW., Washington, DC 20585
9. U.S. Department of Energy, Idaho Operations Office, 785 DOE
Place, Idaho Falls, ID 83401
10. U.S. Department of Energy, Morgantown Energy Technology
Center, 3610 Collins Ferry Road, PO Box 880, Morgantown, WV 26507-
0880
11. U.S. Department of Energy, Nevada Operations Office, PO Box
98518, Las Vegas, NV 89193-8518
12. U.S. Department of Energy, Oak Ridge Operations Office, PO
Box 2001, Oak Ridge, TN 37831
13. U.S. Department of Energy, Oakland Operations Office, 1301
Clay Street, Oakland, CA 94612-5208
14. U.S. Department of Energy, Ohio Field Office, 1 Mound Road,
Miamisburg, OH 45342
15. U.S. Department of Energy, Pittsburgh Energy Technology
Center, PO Box 10940, Pittsburgh, PA 15236-0940
16. U.S. Department of Energy, Pittsburgh Naval Reactors, PO
Box 109, West Mifflin, PA 15122-0109
17. U.S. Department of Energy, Richland Operations Office, 825
Jadwin Avenue, PO Box 550, Richland, WA 99352
18. U.S. Department of Energy, Rocky Flats Office, PO Box 928,
Golden, CO 80402-0928
19. U.S. Department of Energy, Savannah River Operations
Office, PO Box A, Aiken, SC 29801
20. U.S. Department of Energy, Schenectady Naval Reactors
Office, PO Box 1069, Schenectady, NY 12301
21. U.S. Department of Energy, Southeastern Power
Administration, Samuel Elbert Building, Public Square, Elberton, GA
30635
22. U.S. Department of Energy, Southwestern Power
Administration, PO Box 1619, Tulsa, OK 74101
23. U.S. Department of Energy, Strategic Petroleum Reserve
Project Office, 900 Commerce Road East, New Orleans, LA 70123
24. U.S. Department of Energy, Western Area Power
Administration, PO Box 3402, Golden, CO 80401
Categories of individuals covered by the system:
The system includes data about individuals who were included in
any authorized epidemiologic or other health study, survey, or
surveillance. Such persons include current and former employees of
the Department, its predecessor agencies, and their contractors and
subcontractors, as well as other individuals included in health
studies, surveys, and surveillances pertaining to any potential
health hazard (including electromagnetic fields) associated with
energy production, transmission, or use. Accordingly, persons having
access, or in proximity, to the Department's facilities, persons
involved in or effected by energy production activities, and members
of the general population selected as control groups may also be
included. Personal information in this system of records concerning
current and former employees of the Department, its predecessors, and
their contractors is derived from other Department of Energy systems
of records having routine uses permitting disclosure for health
studies, as well as from other sources.
Categories of records in the system:
The specific types of records collected and maintained are
determined by the needs of the individual study, survey, or
surveillance. Examples include, but are not limited to,
questionnaires, demographic information, work history, medical and
reproductive history, birth data, radiation and other exposure
history, laboratory test results, data from prior studies, surveys,
and surveillances, alcohol and tobacco use history, and illness
absence information. Information may be collected directly from
individuals, as well as extracted as necessary from personnel files
and lists, training files, medical records, legal case files,
bioassay records, industrial hygiene files, payroll and leave
records, radiation and other hazard exposure records, occupational
and industrial accident records, employee insurance claims, personnel
security clearance questionnaires, personnel assurance program
records, and related sources.
Authority for maintenance of the system:
5 U.S.C. 301, Pub. L. 89-554, 89 Stat. 379 (1966); authority
incorporated by reference in Title III of the Department of Energy
Organization Act at 42 U.S.C. 7151 and 7297, Pub. L. 95-91, 91 Stat.
565 (1977), including 42 U.S.C. 2201(c), 2201(i)(3), 5813 and 5817;
Purpose(s):
This system will contain data for epidemiological and other
health studies, surveys and surveillances, performed by the
Department and the Department of Health and Human Services performing
studies for the Department, their contractors, grantees, and
collaborating researchers. The health studies pertain to individual
and aggregate population health risks from exposures to radiation, or
other chemical, physical, or biological hazards that may occur or may
have occurred as a result of the Department's, its predecessor
agencies', and their contractors' operations, or as a result of
energy production, transmission, or use. Individually identifiable
information does not appear in published epidemiological studies or
other published health studies, surveys, and surveillances. However,
the system will contain records compiled in completing published and
unpublished studies, surveys, and surveillances from which
information may be retrieved by name or other personal identifier.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) A record from this system of records may be disclosed to
facilitate health hazard evaluations, epidemiological studies, or
public health activities required by law performed by personnel,
contractor personnel, grantees, and cooperative agreement holders of
components of the Department of Health and Human Services, including
the National Institute for Occupational Safety and Health, the
National Center for Environmental Health of the Centers for Disease
Control and Prevention, and the Agency for Toxic Substances and
Disease Registry pursuant to the Memoranda of Understanding between
the Department and the Department of Health and Human Services or its
components.
(2) Subject to the same Privacy Act limitations applicable to
employees of the Department, a record from this system of records may
be disclosed as a routine use to contractors, grantees, participants
in cooperative agreements, collaborating researchers, or their
employees, in performance of health studies or related health or
environmental duties pursuant to their contracts, grants, and
cooperating or collaborating research agreements. In order to perform
such studies, the Department, its contractors, grantees, participants
in cooperative agreements, and collaborating researchers may disclose
a record: To Federal, State, and local health and medical agencies or
authorities; to subcontractors in order to determine a subject's
vital status or cause of death; to health care providers to verify a
diagnosis or cause of death; or to third parties to obtain current
addresses for participants in health-related studies, surveys and
surveillances. All recipients of such records are required to comply
with the Privacy Act, to follow prescribed measures to protect
personal privacy, and to disclose or use personally identifiable
information only for the above described research purposes.
(3) A record from this system of records may be disclosed to
members of Department advisory committees, the Department of Health
and Human Services Advisory Committee on Projects Related to
Department of Energy Facilities, and to designated employees of
Federal, State, or local government, or government-sponsored
entities, authorized to provide advice to the Department concerning
health, safety, or environmental issues. All recipients of such
records are required to comply with the Privacy Act, to follow
prescribed measures to protect personal privacy, and to disclose or
use personally identifiable information only for the purpose of
providing advice to the Department or to the Department of Health and
Human Services.
(4) A record from this system of records 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 subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
(5) A record from this system of records may be disclosed to the
Department of Justice when: (a) DOE or any component thereof; (b) any
DOE employee, or employee of a DOE predecessor agency, in an official
capacity; (c) the United States Government; (d) any current or former
DOE contractor, or employee of such contractor, is a party to or has
an interest in litigation and DOE determines that the records are
both relevant and necessary and the use of such records by the
Department of Justice is deemed by DOE to be compatible with the
purpose for which DOE collected the records.
(6) A record from this system of records may be disclosed to the
Archivist of the United States, the National Archives and Records
Administration or to the General Services Administration for records
management conducted under 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electromagnetic storage material, microfilm, paper records, and
computer printouts.
Retrievability:
By name, study/surveillance-assigned control number, or social
security number. Some of these records may be entered into a
database. Records in a database may be retrieved by name, or other
personal identifier, as dictated by the needs of the particular
researcher.
Safeguards:
During business hours, records at Department sites are maintained
in secured buildings with access limited to those whose official
duties require access; during nonbusiness hours, the records are in
guarded, secured rooms. Paper records are maintained in labeled
cabinets. Access to secured records is limited to individuals having
a need-to-know as determined by the Department's Office of
Epidemiology and Health Surveillances. Magnetic disk or tape records
will be secured in a computer storage area. Printed or readable
reports will be under the control of a custodian and stored and
processed as sensitive unclassified material.
Retention and disposal:
After data needed for a study or surveillances is collected and
processed, the system manager will give written authorization for
destruction of personal identifiers and source documents, unless the
information is needed for further research or other purposes. Records
retention and disposal authorities are contained in the General
Records Schedule and DOE records schedules which have been approved
by the National Archives and Records Administration. See DOE Order
1324.5B. Records within the DOE are destroyed by shredding, burning,
or burial in a sanitary landfill, as appropriate.
System manager(s) and address:
U.S. Department of Energy, Director, Office of Epidemiologic
Studies, EH-62, Germantown, Md. 20874-1290.
Notification procedures:
a. Requests by an individual to determine if a system or records
contains information about him/her should be directed to: Director,
Freedom of Information and Privacy Act Division, U.S. Department of
Energy, Washington, DC 20585, or the Freedom of Information and
Privacy Officer at the operations offices listed above in accordance
with DOE's Privacy Act regulations (10 CFR part 1008, 45 FR 61576,
September 16, 1980).
b. Required identifying information: Individual's name; address;
employer(s), and employment dates at the time of any exposure that
was, or may have been, the focus of a study, survey, or surveillance;
social security number; current name; address; and telephone number.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures.
Record source categories:
Subject individual and subject individual's employer, including
DOE and its predecessor agencies and their contractors and
subcontractors.
Systems exempted from certain provisions of the act:
None.
Appendix A
As defined in Executive Order 12891, Human Radiation Experiments
include:
(1) Experiments on individuals involving intentional exposure to
ionizing radiation. This category does not include common and routine
clinical practices, such as established diagnosis and treatment
methods, involving incidental exposures to ionizing radiation;
(2) Experiments involving intentional environmental releases of
radiation that (A) were designed to test human health effects of
ionizing radiation; or (B) were designed to test the extent of human
exposure to ionizing radiation;
(3) The experiment into the atmospheric diffusion of radioactive
gases and test of detectability, commonly referred to as the ``Green
Run test,'' conducted by the former Atomic Energy Commission and the
Air Force in December 1949 in Hanford, Washington;
(4) Two radiation warfare field experiments conducted at the
Atomic Energy Commission's Oak Ridge office in 1948 involving gamma
radiation released from non-bomb point sources at or near ground
level;
(5) Six tests conducted during 1949-1952 of radiation warfare
ballistic dispersal devices containing radioactive agents at the U.S.
Army's Dugway, Utah, site;
(6) Four atmospheric radiation-tracking tests in 1950 at Los
Alamos, New Mexico; and
(7) Other similar human experiments that may later be identified
by the Human Radiation Interagency Working Group.
Appendix A
(1) U.S. Department of Energy (Headquarters), 1000 Independence
Avenue, SW, Washington, DC 20585
(2) U.S. Department of Energy, Alaska Power Administration, PO
Box 50, Juneau, AK 99802
(3) U.S. Department of Energy, Albuquerque Operations Office,
PO Box 5400, Albuquerque, NM 87115
(4) U.S. Department of Energy, Bartlesville Energy Technology
Center, PO Box 1398, Bartlesville, OK 74003
(5) U.S. Department of Energy, Bonneville Power Administration,
PO Box 3621, Portland, OR 97208
(6) U.S. Department of Energy, Chicago Operations Office, 9800
South Cass Avenue, Argonne, IL 60439
(7) U.S. Department of Energy, Grand Forks Energy Technology
Center, PO Box 8213, University Station, Grand Forks, ND 58201
(8) U.S. Department of Energy, Idaho Operations Office, 550
Second Street, Idaho Falls, ID 83401
(9) U.S. Department of Energy, Laramie Energy Technology
Center, PO Box 3395, University Station, Laramie, WY 82071
(10) U.S. Department of Energy, Morgantown Energy Technology
Center, PO Box 880, Morgantown, WV 26505
(11) U.S. Department of Energy, Nevada Operations Office, PO
Box 14100, Las Vegas, NV 89114
(12) U.S. Department of Energy, Oak Ridge Operations Office, PO
Box E, Oak Ridge, TN 37830
(13) U.S. Department of Energy, Pittsburgh Energy Technology
Center, PO Box 10940, Pittsburgh, PA 15122-0109
(14) U.S. Department of Energy, Pittsburgh Naval Reactors, PO
Box 109, Pittsburgh, PA 15122
(15) U.S. Department of Energy, Richland Operations Office, PO
Box 550, Richland, WA 99352
(16) U.S. Department of Energy, San Francisco Operations
Office, 1333 Broadway, Oakland, CA 94612
(17) U.S. Department of Energy, Savannah River Operations
Office, PO Box A, Aiken, SC 29801
(18) U.S. Department of Energy, Schenectady Naval Reactors
Office, PO Box 1069, Schenectady, NY 12301
(19) U.S. Department of Energy, Southeastern Power
Administration, Samuel Elbert Building, Elberton, GA 30635
(20) U.S. Department of Energy, Southwestern Power
Administration, PO Box 1619, Tulsa, OK 74101
(21) U.S. Department of Energy, Western Area Power
Administration, PO Box 3402, Golden, CO 80401
Appendix B--Additional Routine Uses.
The following routine uses apply to and are incorporated by
reference into each system of records as stated therein:
1. In the event that a record within this system of records
maintained by this agency 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, the relevant records in the system of records may be
referred as a routine use to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
2. A record from this system of records may be disclosed as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as current licenses, if necessary, to
obtain information relevant to an agency decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit.
3. A record from this system of record may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with 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 by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
4. A record from this system of records may be disclosed, as a
routine use, (a) to appropriate parties engaged in litigation or in
preparation of possible litigation, such as potential witnesses, for
the purpose of securing their testimony when necessary; (b) to
courts, magistrates or administrative tribunals; (c) to parties and
their attorneys for the purpose of proceeding with litigation or
settlement of disputes; and (d) to individuals seeking information by
using established discovery procedures, whether in connection with
civil, criminal, or regulatory proceedings.
5. A record maintained by this agency to carry out its functions
which relates to civil and criminal procedings may be disclosed to
the news medial in accordance with guidelines contained in Department
of Justice regulations 28 CFR 50.2.
6. A record maintained by this agency to carry out its functions
may be disclosed to foreign governments in accordance with treaty
obligations.
7. A record from this system of records may be disclosed to the
Office of Management and Budget in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as
set forth in that Circular.
8. A record form this system of record may be disclosed, as a
routine use, to DOE contractors in performance of their contracts,
and their officers and employee have a need for the record in the
performance of their duties subject to the same limitations
applicable to DOE officers and employees under the Privacy Act.
9. A record in this system of records may be disclosed, as a
routine use, to a member of Congress submitting a request involving
the individual when the individual is a constituent of the member and
has requested assistance from the member with respect to the subject
matter of the record.
10. A record in this system of records which contains medical
and/or psychological information may be disclosed, as a routine use,
to the physician or mental health professional of any individual
submitting a request for access to the record under the Privacy Act
of 1974 and DOE's Privacy Act regulations if, in its sole judgment
and good faith, DOE believes that disclosure of the medical and/or
psychological information directly to the individual who is the
subject of the record could have an adverse effect upon that
individual, in accordance with the provisions of 5 U.S.C. 52a(f)(3)
and applicable DOE regulations.
FEDERAL ENERGY REGULATORY COMMISSION
Where the term ``Commission'' is used, it refers to the Federal
Energy Regulatory Commission unless the term references records which
date prior to October 1, 1977, in which case it refers to the Federal
Power Commission.
Table of Contents of All FERC Systems
Applications for Interlocking Directorates, Public Files, FERC/3.
Applications for Interlocking Directorates, Security Files, FERC/
4.
Biographical Material on Commissioners and Key Staff members,
FERC/6.
Congressional Correspondence Files, Office of Electric Power
Regulation, FERC/7.
Congressional Correspondence Files, Office of the Executive
Director, FERC/8.
Correspondence Files, Office of Pipeline and Producer Regulation,
FERC/9.
Employee Conduct Records, FERC/10.
Advanced Sick Leave Requests File, FERC/14.
Commission Employee Relations Tracking System, FERC/15.
Death Cases File, FERC/16.
Disability Retirements File, FERC/17.
Discontinued Service Retirements File, FERC/18.
Employee Suggestions File, FERC/19.
Employee Training Requests, FERC/20.
Equal Employment Opportunity Discrimination Complaints File,
FERC/21.
Indebtedness Cases File, FERC/22.
Leave Without Pay Requests File, FERC/23.
Miscellaneous Investigation File, FERC/24.
Office of Workers' Compensation Program Claims File, FERC/25.
Performance Management Recognition System Reconsideration File,
FERC/26.
Reconsideration of Refund Decisions File, FERC/27.
Restoration of Annual Leave Requests File, FERC/28.
Unemployment Compensation File, FERC/29.
Within-Grade Increase Denials and Reconsideration File, FERC/30.
Automated Parking System File, FERC/31.
Freedom of Information and Privacy Act Requests Tracking File,
FERC/32.
Freedom of Information and Privacy Act Request File, FERC/33.
Transit Subsidy Program Records, FERC/34.
Security Investigation Tracking System, FERC/35.
Management, Administrative, and Payroll System
MAPS, FERC/36.
FERC/3
System name: Applications for Interlocking Directorates, Public
Files.
System location:
Records Maintenance Center, Public Reference and Files
Maintenance Branch, Associate Executive Directorate for Information
Resources Management, Federal Energy Regulatory Commission, 941 North
Capitol Street, NE, Washington, DC 20426.
Computer Room, Federal Energy Regulatory Commission, 825 North
Capitol Street, NE, Room 3300, Washington, DC 20426.
Categories of individuals covered by the system: Officers and
directors of related public utilities who, in accordance with Section
305(b) of the Federal Power Act, 16 U.S.C. section 825d(b), file for
permission to hold the position of officer or director of more than
one public utility, of a public utility and certain financial
institutions authorized to market public utility securities, and a
company supplying each utility with electrical equipment.
Categories of records in the system: This system of records
includes the following information for each individual: The name of
the applicant; the docket number of the application; the position
applied for; the date of the application and a copy of the
application; the date of the public notice of the application and a
copy of that notice; the date and copy of the order granting or deny
the application; the date of any relevant hearing; and a copy of any
petitions to intervene.
Authority for maintenance of the system: 16 U.S.C. section 825d(b);
16 U.S.C. section 825h; 42 U.S.C. section 7172(a)(2); 44 U.S.C.
section 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The system is used
as a file by staff of the Commission whose official duties involve
the decision of whether to grant the application. The file is also
used as a record of such proceedings. The records are available to
the general public pursuant to the Freedom of Information Act, 5
U.S.C. section 552, as amended.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Original paper records are maintained in boxes and filing
cabinets in the Records Maintenance Center. All records are also
stored on microfilm in the Computer Room.
Retrievability: These records are filed by docket number and are
cross-referenced by the name of the individual whose application is
involved.
Safeguards: No measures are taken to prevent disclosure. The system
contains only information available to the public.
Retention and disposal:
Retention and disposition of these records is handled pursuant to
applicable GSA regulations and applicable internal administrative
directives.
System manager(s) and address:
Public Reference and Files Maintenance Branch, Associate
Executive Directorate for Information Resources Management, Federal
Energy Regulatory Commission, 941 North Capitol Street, NE,
Washington, DC 20426.
Information Management Division, Associate Executive Directorate
for Information Resources Management, 825 North Capitol Street, NE,
Washington, DC 20426.
Notification procedure: All inquiries and requests relating to this
system of records should be addressed to the system manager of the
system.
Record access procedures: All inquiries and requests relating to
this system of records should be addressed to the system manager of
the system.
Contesting record procedures: All inquiries and requests relating
to this sytem of records should be addressed to the system manager of
the system.
Record source categories: Individuals on whom the records are
maintained and the staff of the Commission.
FERC/4
System name: Applications for Interlocking Directorates,
Security Files-FERC.
System location:
Opinions and Corporate Applications Branch, Division of Opinions
and Systems Analysis, Office of Electric Power Regulation, 825 North
Capitol Street, NE, Washington, DC 20426.
Categories of individuals covered by the system: Officers and
directors of regulated public utilities who, in accordance with
section 305(b) of the Federal Power Act, 16 U.S.C. Section 825d(b),
file for permission to hold the position of officer or director of
more than one public utility, of a public utility and certain
financial institutions authorized to market public utility
securities, or of a public utility and a company supplying such
utility with electrical equipment.
Categories of records in the system: This system of records
includes the following information for each individual: A copy of the
application for an interlocking directorate, a copy of any Commission
order granting or denying the application, a copy of the FERC staff
recommendation, and other supplementary information prepared by
Commission staff, if applicable.
Authority for maintenance of the system: 16 U.S.C. section 825d(b);
16 U.S.C. section 825h; 42 U.S.C. section 7172(a)(2); 44 U.S.C.
section 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The system is used
as a working file by the staff of the Commission whose official
duties require access in assisting the Commission in determining
whether to grant the application. It is used as a record of such
proceedings. In the event that a system of records maintained by the
Commission to carry out its functions indicates a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, state, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders on shelves in
a room that is closed to the public.
Retrievability: These records are indexed by the names of
individuals on whom they are maintained.
Safeguards: Access to, and use of, these records is limited to
those persons whose official duties require such access. Personnel
screening of these individuals is employed to minimize unauthorized
disclosure and an accounting is made of removal of the records from
the storage area.
Retention and disposal: These records are maintained for one year
after the applicant dies or ten year after notice of termination of
his or her authorization. The disposition is handled pursuant to
applicable GSA regulations and/or applicable internal administrative
directives.
System manager(s) and address:
Opinions and Corporate Applications Branch, Division of Opinions
and Systems Analysis, Office of Electric Power Regulation, 825 North
Capitol Street, NE, Washington, DC 20426.
Notification procedure: All requests to determine whether this
system contains a record pertaining to a requesting individual should
be made in accordance with the Commission's Rules of Practice and
Procedure, 18 CFR 3b.220(a). Individuals should provide the
appropriate identifying information as required by 18 CFR 3b.220(b).
Record access procedures: Requests for access to records in this
system should be made in accordance with 18 CFR 3b.221. Individuals
should provide the appropriate identifying information as specified
in 18 CFR 3b.222.
Contesting record procedures: Requests to amend records should be
made in accordance with 18 CFR 3b.224.
Record source categories: Individuals to whom the records pertain
and staff of the Commission.
FERC/6
System name: Biographical Material on Commissioners and Key
Staff Members-FERC.
System location: Division of Public and Intergovernmental Affairs,
Office of External Affairs, Federal Energy Regulatory Commission, 825
North Capitol Street, NE, Washington, DC 20426.
Categories of individuals covered by the system: This system of
records contains biographical material on Commissioners and key staff
members of the Commission including: An official photograph, date and
place of birth, marital status, number of children, educational
background, past work experience, honors or awards, published
materials, and military experience and honors.
Authority for maintenance of the system: 15 U.S.C. section 717o; 16
U.S.C. section 825h; 42 U.S.C. section 7172(a)(2); 44 U.S.C. section
3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used by authorized Commission personnel whose official duties require
access in preparation of news releases to announce appointments of
Commissioners and key staff members or promotions of key staff
members, and are available to the general public pursuant to the
Freedom of Information Act, 5 U.S.C. 552.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in folders in file cabinets.
Retrievability: These records are indexed by the names of the
individuals on whom they are maintained.
Safeguards: No measures are taken to prevent disclosure. The system
contains only information available to the public.
Retention and disposal: These records are maintained indefinitely
and updated periodically. Their disposition is handled pursuant to
applicable GSA regulations and/or applicable internal administrative
directives.
System manager(s) and address: Division of Public and
Intergovernmental Affairs, Office of External Affairs, Federal Energy
Regulatory Commission, 825 North Capitol Street, NE, Washington, DC
20426.
Notification procedure: All inquiries and requests relating to this
system of records should be addressed to the system manager of the
system.
Record access procedures: All inquiries and requests relating to
this system of records should be addressed to the system manager of
the system.
Contesting record procedures: All inquiries and requests relating
to this system of records should be addressed to the system manager
of the system.
Record source categories: Individuals on whom the records are
maintained.
FERC/7
System name: Congressional Correspondence Files-FERC.
System location: Division of Investigations, Office of Electric
Power Regulation, Federal Energy Regulatory Commission, 825 North
Capitol Street NE, Washington, DC 20426.
Categories of individuals covered by the system: Members of
Congress and other individuals who have received correspondence
drafted by the staff of the Office.
Categories of records in the system: This file contains copies of
incoming inquiries and outgoing repiles. .
Authority for maintenance of the system: 16 U.S.C. section 825h; 15
U.S.C. section 717o; 42 U.S.C. section 7172(a)(2); 44 U.S.C. section
3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
maintained for use by the staff of the Commission whose official
duties require record access. They are used to assure a complete
record of correspondence by the Commission with Congress relating to
Office of Electric Power Regulation matters.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in folders in file cabinets.
Retrievability: These records are indexed by the names of
corresponding Congressmen.
Safeguards: Access to the files is limited as required by the
Privacy Act to the Commission staff who maintain these files.
Retention and disposal: These records are maintained indefinitely
until the system manager determines that their usefulness to the
Office has ceased. Their disposition is handled pursuant to
applicable GSA regulations and applicable internal Administrative
directives.
System manager(s) and address: Division of Investigations, Office
of Electric Power Regulation, Federal Energy Regulatory Commission,
825 North Capitol Street, NE, Washington, DC 20426.
Notification procedure: All inquiries and requests relating to this
system of records should be addressed to the system manager of the
system.
Record access procedures: All inquiries and requests relating to
this system of records should be addressed to the system manager of
the system.
Contesting record procedures: All inquiries and requests relating
to this system of records should be addressed to the system manager
of the system.
Record source categories: Staff of the Commission and
correspondents.
FERC/8
System name: Congressional Correspondence Files, Office of the
Executive Director-FERC.
System location: Executive Secretariat, Office of External Affairs,
Federal Energy Regulatory Commission, 825 North Capitol Street, NE,
Washington, DC 20426.
Categories of individuals covered by the system: Those current
members of the United States Congress who have corresponded with the
Commission; other correspondents, such as state and local officials,
environmental groups, and citizen groups, whose letters the
Commission believes merit an official response.
Categories of records in the system: Incoming correspondence with
Commission replies.
Authority for maintenance of the system: 15 U.S.C. section 717o; 16
U.S.C. section 825h; 42 U.S.C. section 7172(a)(2); 44 U.S.C. section
3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
maintained for use by the staff of the Commission whose official
duties require access to them.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders in metal file
cabinets.
Retrievability: These records are indexed by the names of the
corresponding Congressmen and other correspondents.
Safeguards: Access to the files is limited as required by the
Privacy Act to the Commission staff who maintain these files.
Retention and disposal: These records are maintained indefinitely
until the system manager determines that their usefulness to the
Commission has ceased. Their disposition is handled pursuant to
applicable GSA regulations and applicable internal administrative
directives.
System manager(s) and address: Executive Secretariat, Office of
External Affiars, Federal Energy Regulatory Commission, 825 North
Capitol Street, NE, Washington, DC 20426.
Notification procedure: All inquiries and requests relating to this
system of records should be addressed to the system manager of the
system.
Record access procedures: All inquiries and requests relating to
this system of records should be addressed to the system manager of
the system.
Contesting record procedures: All inquiries and requests relating
to this system of records should be addressed to the system manager
of the system.
Record source categories: Corresponding Congressmen and other
correspondents, Commission staff who draft replies.
FERC/-9
System name: Correspondence Files--Office of Pipeline and
Producer Regulation--FERC.
System location: Management Planning and Administrative Branch,
Division of Planning and Management, Office of Pipeline and Producer
Regulation, Federal Energy Regulatory Commission, 825 North Capitol
Street, NE, Washington, DC 20426.
Categories of individuals covered by the system: Members of
Congress and other individuals who have received correspondence
drafted by the Office of Pipeline and Producer Regulation.
Categories of records in the system: This file contains copies of
incoming inquiries and outgoing replies drafted by the Office of
Pipeline and Producer Regulation.
Authority for maintenance of the system: 15 U.S.C. section 717o; 42
U.S.C. section 7172(a)(2); 44 U.S.C. section 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
maintained for use by the staff of the Commission whose official
duties require access to the records. They are used to assure a
complete record of correspondence by the Commission relating to
Office of Pipeline and Producer Regulation matters.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in notebook binders in
shelving units.
Retrievability: These records are indexed by the names of the
individuals who have received responses from the Commission.
Safeguards: Access to the files is limited as required by the
Privacy Act to the Commission staff who maintain these files.
Retention and disposal: These records are maintained for two years
and their disposition is handled pursuant to applicable GSA
regulations and applicable internal administrative directives.
System manager(s) and address: Management Planning and
Administration Branch, Division of Planning and Management, Office of
Pipeline Producer Regulation, Federal Energy Regulatory Commission,
825 North Capitol Street, NE, Washington, DC 20426.
Notification procedure: All inquiries and requests relating to this
system of records should be addressed to the system manager of the
system.
Record access procedures: All inquiries and requests relating to
this system of records should be addressed to the system manager of
the system.
Contesting record procedures: All inquiries and requests relating
to this system of records should be addressed to the system manager
of the system.
Record source categories: Staff of the Commission and
correspondents.
FERC-10
System name: Employee Conduct Records--FERC.
System location: Office of the General Counsel, Federal Energy
Regulatory Commission, 825 North Capitol Street, NE, Washington, DC
20426.
Categories of individuals covered by the system: Current and former
members of the Commission, applicants for Commission employment,
current and former employees of the Commission, current and former
special employees of the Commission.
Categories of records in the system: The records of the system
contain a variety of information required by the reporting and
enforcement provisions of the Commission's Standards of Conduct. The
records may include: Debt complaints; reports of misconduct;
interpretation and advisory services; determinations of prohibited
employment, financial interests, or activities and orders relating to
the individual; limitations on work assignments due to requirements
of the Standards of Conduct; other corrective or disciplinary actions
based on violations of the Standards of Conduct; data documenting the
reasons for actions or decisions affecting the individual; and other
related information.
Authority for maintenance of the system: 15 U.S.C. Section 717o; 16
U.S.C. section 825h; 42 U.S.C. section 7172 (a)(2); 44 U.S.C. section
3101; E.O. 11222.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The contents of
these records and files may be used as follows: By the Commission
and/or Office of Personnel Management in connection with counseling
the individual, evaluating the individual's employment, financial
interests, and other activities, and taking appropriate action to
ensure compliance with the Commission's Standards of Conduct; by the
Office of Personnel Management or the General Accounting Office as a
data source during the course of on-site inspections or audits of
Commission operations; to disclose to a Federal, state, or local
agency maintaining civil, criminal, or othe relevant enforcement
information or other pertinent information if necessary in order to
obtain information relevant to an FERC decision concerning the hiring
or retention of an employee, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant, or
other benefit; to disclose to a Federal, state, or local agency in
response to requests involving 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 issuance
of a license, grant, or other benefit by the requesting agency, to
the extent that the information is relevant and necessary to the
requesting agency's decision on the matter; to serve as a data source
for disciplining the individual or other FERC employee in the event
that this record system indicates a violation or potential violation
of law, executive order, or regulation; by authorized Commission
officials and contractors, as a data source for management
information, for the production of summary descriptive statistics and
analytical studies in support of the function for which the records
are collected and maintained, or for related personnel management
functions or manpower studies; in response to inquiries of Congress
made at the request of the individual who is the subject of the
record; and in the event that a system of records maintained by the
Commission to carry out its functions indicators a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, state, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in folders, index cards, and in
metal file cabinets with manipulation-proof combination locks.
Retrievability: Records are indexed by the names of the individuals
on whom they are maintained.
Safeguards: Access to, and use of, these records is limited to
persons who official duties require such access. Personnel screening
is employed to minimize unauthorized disclosure.
Retention and disposal: Records are maintained for six years or
until no longer needed for an ongoing investigation.
System manager(s) and address: Office of the General Counsel, 825
North Capitol Street, NE, Washington, DC 20426.
Notification procedure: All requests to determine whether this
system contains a record pertaining to a requesting individual should
be made in accordance with the Commission's Rules of Practice and
Procedure, 18 CFR 3b.220(a). Individuals should provide the
appropriate identifying information as required by 18 CFR 3b.220(b).
Record access procedures: Requests for access to records in this
system should be made in accordance with 18 CFR 3b.221. Individuals
should provide the appropriate identifying information as specified
in 18 CFR 3b.222.
Contesting record procedures: Requests to amend records should be
made in accordance with 18 CFR 3b.224.
Record source categories: Information contained in this system is
obtained from the individual on whom the record is maintained or
derived from information which he or she supplied; and from
Commission officials.
FERC/14
System name: Advanced Sick Leave Requests File, FERC/14.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees requesting use of advanced sick leave.
Categories of records in the system:
Written employee requests and decision documents from FERC's
Personnel Director.
Authority for maintenance of the system:
5 CFR 630.101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g., letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
FERC Personnel Director, subject employee, personnel specialists.
FERC/15
System name: Commission Employee Relations Tracking System
(CERTS), FERC/15.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 403, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees that are the subject of any one of the following
actions: Disciplinary action, awards grievance, retirement, and
within-grade increase reconsideration.
Categories of records in the system:
Various agency forms, decision documents, grievances, denials,
appeals, requests for reconsideration, and briefs.
Authority for maintenance of the system:
5 CFR parts 430, 451, 531, 630, 752, 771.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of a
particular action or an employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
On a personal computer.
Retrievability:
By name of requester or by type of action.
Safeguards:
A password is required to access the system.
Retention and disposal:
Records created in conjunction with an adverse action are
retained for four years after the case is closed. Other records are
retained for three years. They are then deleted from the automated
data base.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Subject employee, supervisors, office directors, Executive
Director, personnel specialists, Office of the General Counsel staff,
and Merit Systems Protection Board.
FERC/16
System name: Death Cases File, FERC/16.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees who die while employed and whose survivors file a
claim for death benefits.
Categories of records in the system:
Claims forms for various death benefits filed by deceased
employees' survivors.
Authority for maintenance of the system:
5 CFR 831.102 and 5 CFR part 890.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To disclose to a federal, state, or local
agency for a decision by that agency on a claim by the employee. To
provide benefit information to employees' survivors.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Employee/Labor Relations Branch Chief and employees' survivors.
FERC/17
System name: Disability Retirements File, FERC/17.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees who file a claim to retire from Federal service
due to medical disability.
Categories of records in the system:
Various retirement claims forms, supporting medical and other
documentation, and decision documents on the claim from the Office of
Personnel Management.
Authority for maintenance of the system:
5 CFR 831.102.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To disclose to a federal, state, or local
agency for a decision by that agency on a claim by the employee. To
adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable file cabinets in a lockable
(combination lock) room with access limited to those whose official
duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Office of Personnel Management, retiree, supervisors, doctors,
insurance companies, personnel specialists, and the FERC Personnel
Director.
FERC/18
System name: Discontinued Service Retirements File, FERC/18.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426
Categories of individuals covered by the system:
FERC employees retiring due to involuntary separation.
Categories of records in the system:
Retirement application documents, supporting documents.
Authority for maintenance of the system:
5 CFR 831.102.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To disclose to a federal, state, or local
agency for a decision by that agency on a claim by the employee. To
adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinet in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch Staff. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
FERC Personnel Director, subject employee, and personnel
specialists.
FERC/19
System name: Employee Suggestions File, FERC/19.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees submitting suggestions to the FERC suggestion
program.
Categories of records in the system:
Written suggestion, evaluation and decision documents relative to
the suggestion.
Authority for maintenance of the system:
5 CFR 451.107.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To adjudicate appeals, complaints, or
grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
The Office Director of the office to which the suggestion is
directed, employee submitting the suggestion, and personnel
specialists.
FERC/20
System name: Employee Training Requests, FERC/20.
System location:
Associate Executive Directorate for Support Services, Employee
Development Branch, 810 First Street NE, Room 431, Washington, DC
20426.
Categories of individuals covered by the system:
All employees who formally request training.
Categories of records in the system:
Name of employee, office, name of course, vendor, cost, type of
course, and purpose.
Authority for maintenance of the system:
5 CFR part 410.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To prepare the annual OPM report of training activities. To
generate yearly individual training histories. To track office
expenditures.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On 3\1/2\ inch diskettes and training forms with completed course
evaluations by year.
Retrievability:
By employee name, office, course name, or vendor.
Safeguards:
Access only to Employee Development Branch staff.
Retention and disposal:
Training forms and evaluations are boxed by fiscal year and kept
5 years before disposal. The computer disks are being kept until a
system is implemented that will enable FERC to generate a cumulative
record of training.
System manager(s) and address:
Chief of Employee Development Branch, 810 First Street NE, Room
428, Washington, DC 20426.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
See notification procedures above.
Contesting record procedures:
See notification procedures above.
Record source categories:
Agency training officer and subject employee.
FERC/21
System name: Equal Employment Opportunity Discrimination
Complaints File, FERC/21.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
Individuals filing formal EEO Complaints of Discrimination.
Categories of records in the system:
Written complaint, investigate reports, decision documents.
Authority for maintenance of the system:
29 CFR part 1613.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To disclose to a federal, state or local agency for a
decision by that agency on a claim by the employee. To adjudicate
appeals, complaints or grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinet in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for four years after the resolution of a
case. File documents are shredded and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Equal Employment Opportunity Investigator, subject employee,
Executive Director, Office of the General Counsel staff, Equal
Employment Opportunity Commission, and courts.
FERC/22
System name: Indebtedness Cases File, FERC/22.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees about whom creditors submit written complaints of
indebtedness to FERC.
Categories of records in the system:
Written complaints and agency correspondence.
Authority for maintenance of the system:
5 CFR part 735.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letter, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Creditors of employees, personnel specialists, supervisors, and
subject employee.
FERC/23
System name: Leave Without Pay Requests File, FERC/23.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees requesting leave without pay in excess of 12
weeks.
Categories of records in the system:
Written request and decision document from FERC Personnel
Director.
Authority for maintenance of the system:
5 CFR 630.101.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
FERC Personnel Director, subject employee and supervisor.
FERC/24
System name: Miscellaneous Investigation File, FERC/24.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
Employees involved in issues which FERC management judges are
appropriate for inquiry and which do not involve a finalized
grievance or appeal process or formal Inspector General inquiry.
Categories of records in the system:
Formal reports of inquiry and supporting documentation; records
of actions taken resulting from the inquiry, and decision documents.
Authority for maintenance of the system:
5 CFR part 735.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Various FERC officials, complainants, and investigators.
FERC/25
System name: Office of Workers' Compensation Program Claims
File, FERC/25.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees who file compensation claims for expenses or
``lost time'' salary reimbursement due to work-related injury or
illness.
Categories of records in the system:
Employee claim and supporting documents, input from FERC
officials, and Department of Labor decision documents.
Authority for maintenance of the system:
20 CFR part 10.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To disclose to a federal, state, or local
agency for a decision by that agency on a claim by the employee. To
serve as a data source to FERC officials in determining the proper
current personnel action to take concerning the employee. To
adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Department of Labor, subject employee, and FERC officials.
FERC/26
System name: Performance Management Recognition System
Reconsideration File, FERC/26.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees (GM-13 through 15) who contest their performance
ratings.
Categories of records in the system:
Appeal, review, and decision documents.
Authority for maintenance of the system:
5 CFR part 430.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable (combination lock) room with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Third level supervisor of employee, subject employee and
supervisor.
FERC/27
System name: Reconsideration of Refund Decisions File, FERC/27.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees appealing a determination of ineligibility for
refund of Civil Service Retirement deductions.
Categories of records in the system:
Written reconsideration request, agency preliminary decision, and
final OPM decision document.
Authority for maintenance of the system:
5 CFR 842.308.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To disclose to a federal, state, or local
agency for a decision by that agency on a claim by the employee. To
adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinet in lockable
(combination lock) room with access limited to those whose official
duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source procedures:
Office of Personnel Management, subject employee, and personnel
specialists.
FERC/28
System name: Restoration of Annual Leave Requests File, FERC/28.
System location:
Association Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees requesting restoration of excess annual leave lost
due to illness or exigencies of public business.
Categories of records in the system:
Request for restoration and supporting documents and the decision
document.
Authority for maintenance of the system:
5 CFR 630.101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To adjudicate appeals, complaints, or
grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinets in
lockable (combination lock) rooms with access limited to those whose
official duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
FERC Personnel Director, subject employee, supervisors, and the
Executive Director.
FERC/29
System name: Unemployment Compensation File, FERC/29.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
Former FERC employees who have filed for unemployment benefits
from the District of Columbia government.
Categories of records in the system:
Notification of filing from state unemployment compensation
office, former employee's claim, and decision document.
Authority for maintenance of the system:
20 CFR part 609.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a date source for OPM or GAO during the course of on-site
inspections or audits. To adjudicate appeals, complaints, or
grievances.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper (assorted documents, e.g., letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinet in lockable
(combination lock) room with access limited to those whose official
duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employee/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
State Unemployment Services, former employees, and supervisors.
FERC/30
System name: Within-Grade Increase Denials and Reconsideration
File, FERC/30.
System location:
Associate Executive Directorate for Support Services, 810 First
Street, NE, Room 415, Washington, DC 20426.
Categories of individuals covered by the system:
FERC employees who have had their Within-Grade Increases withheld
and/or who have filed requests to have the withholding decision
reconsidered.
Categories of records in the system:
Withholding letter and supporting documenting, written
reconsideration request, review documents, and decision document.
Authority for maintenance of the system:
5 CFR 531.410.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To respond to a member of Congress concerning the status of the
particular action or the employee's general employment history. To
serve as a data source for OPM or GAO during the course of on-site
inspections or audits. To serve as a data source to FERC officials in
determining the proper current personnel action to take concerning
the employee. To adjudicate appeals, complaints, or grievances.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper (assorted documents, e.g. letters, forms, etc.).
Retrievability:
By employee name.
Safeguards:
Records are maintained in lockable metal file cabinet in lockable
(combination lock) room with access limited to those whose official
duties require access.
Retention and disposal:
Records are retained for three years. File documents are shredded
and discarded in burn bags.
System manager(s) and address:
Chief of Employer/Labor Relations and Performance Management
Branch. Same address as system location above.
Notification procedures:
Requests are directed to the System Manager or the FERC Personnel
Director.
Record access procedures:
Same as notification procedures above.
Contesting record procedures:
Same as notification procedures above.
Record source categories:
Subject employee, supervisors, various FERC officials.
FERC/31
System name: Automated Parking System, FERC/31.
System location:
Associate Executive Directorate for Support Services, Management
Service Branch, 825 North Capitol Street, NE, Room 3319, Washington,
DC 20426.
Categories of individuals covered by the system:
All persons applying for parking at 825 and 941 North Capitol
Street, and 810 First Street.
Categories of records in the system:
Name, address (office and home), office phone, vehicle
description and license tag. Information is grouped by parking
application with one applicant and, if applicable, riders.
Authority for maintenance of the system:
41 CFR 101-20.104.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To rank applicants for and assign FERC parking spaces on an
annual basis. To assign parking spaces based on criteria established
in FERC Administrative Directive 5-7C. To produce monthly parking
labels for the parking permits. To notify drivers of emergencies or
violations. To match employees in the same zip code area with
existing carpools.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Installed on one personal computer.
Retrievability:
By name of requester, city, zip code or license plate number.
Safeguards:
Requires special password for access to personal computer.
Retention and disposal:
Records are retained for one year. After one year, they are
deleted from the personal computer and the paper applications are
torn apart and thrown away.
System manager(s) and address:
Parking Coordinator, Management Services Branch, Associate
Executive Directorate for Support Services. Same address as system
location above.
Notification procedures:
The system only contains records that an applicant submits
voluntarily each parking open season; therefore, anyone with
information in the system realizes the fact. Should there be
additional questions, they should be directed to the System Manager.
Record access procedures:
Requests are directed to the System Manager.
Contesting record procedures:
Same as record access procedures above.
Record source categories:
The subject employee.
FERC/32
System name: Freedom of Information Act and Privacy Act Requests
Tracking File,
System location:
Office of External Affairs, 825 North Capitol Street, NE, Room
9205, Washington, DC 20426.
Categories of individuals covered by the system:
All individuals requesting copies of records from FERC under the
provisions of the Freedom of Information Act and the Privacy Act of
1974.
Categories of records in the system:
Computerized log for each request, including the following
information: Requester's name and address, log number, description of
request, billing information, tracking information.
Authority for maintenance of the system:
5 U.S.C. 552, 552a; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To maintain a tracking system to expedite responses within the
statutory time limits for the FOIA requests. To contact FOIA
requesters. To prepare weekly activity reports to the division
director and an annual report to Congress under section (d) of the
Freedom of Information Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On a personal computer.
Retrievability:
By log number.
Safeguards:
Password required to access the system.
Retention and disposal:
Records retained for six years or until the case file (System
FERC-33) is destroyed, whichever occurs later.
System manager(s) and address:
Public Inquiries Section, Public Affairs Specialist. Same address
as system location above.
Notification procedure:
Requests directed to the System Manager.
Record access procedures:
Requests directed to Sanford J. McAllister, Director, Division of
Public and Intergovernmental Affairs, 825 N. Capitol Street, NE, Room
9200, Washington, DC 20426.
Contesting record procedures:
Same as record access procedures above.
Record source categories:
The subject individual; System Manager.
FERC/33
System name: Freedom of Information Act and Privacy Act Request
File, FERC/33.
System location:
Office of External Affairs, 825 North Capitol Street, NE, Room
9205, Washington, DC 20426.
Categories of individuals covered by the system:
All individuals requesting copies of records from FERC under the
provisions of the Freedom of Information Act and the Privacy Act of
1974.
Categories of records in the system:
Incoming and outgoing correspondence including all enclosures,
interoffice correspondence, fee records (bill, search time reports,
review time reports).
Authority for maintenance of the system:
5 U.S.C. 552, 552a; Executive Order 12009.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
To contact FOIA requesters. To prepare an annual report to
Congress under section (d) of the Freedom of Information Act. To
maintain a record of all events and documents pertinent to the
request in case of litigation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper.
Retrievability:
By name and log number.
Safeguards:
Records are maintained in lockable metal file cabinets in a
lockable room with a key distributed to those whose official duties
require access.
Retention and disposal:
Retention period is two years after completion date if the
requested information is released or six years after completion date
if any or all information is withheld from the requester.
System manager(s) and address:
Public Inquiries Section, Public Affairs Specialist. Same address
as system location above.
Notification procedures:
Requests directed to the System Manager.
Record access procedures:
Requests directed to Sanford J. McAllister, Director, Division of
Public and Intergovernmental Affairs, 825 N. Capitol Street, NE, Room
9200, Washington, DC 20426.
Contesting record procedures:
Same as record access procedures above.
Record source categories:
The subject individual; System Manager; Director, Division of
Public and Intergovernmental Affairs.
FERC/34
System name: Transit Subsidy Program Records, FERC/34.
System location:
Associate Executive Directorate for Support Services, Management
Services Branch, 825 North Capitol Street, NE, Room 3321, Washington,
DC 20426.
Categories of individuals covered by the system:
All persons applying for transit subsidies for use of public
transportation to and from the workplace.
Categories of records in the system:
Name, address (office and home), grade level, mode of
transportation, commuting costs, and bank account information needed
for electronic deposit.
Authority for maintenance of the system:
56 FR 33,760 (1991); Pub. L. No. 101-509, sec. 629, 104 Stat.
1478 (1990).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To maintain eligible and ineligible applicants for the FERC
Transit Subsidy Program. To provide subsidies in accordance with FERC
Administrative Directive AD 14-2. To provide monthly lists of
applicants eligible to receive subsidies and forward the list to FERC
Financial Management for disbursement through the Department of
Treasury. To respond to information requests from the General
Accounting Office.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on diskette and on paper.
Retrievability:
By name of applicant, mode of transportation, grade level, or
home address.
Safeguards:
Diskette is locked in a desk when not in use. Paper applications
stored in lockable file cabinets.
Retention and disposal:
Applications will be maintained for as long as the applicant is
an eligible participant in the subsidy program. Ineligible
applicants' names will be maintained but applications will be
returned to them. Applications will be discarded in burn bags and
information on diskette deleted when no longer needed.
System manager(s) and address:
Transit Subsidy Program Coordinator, Management Services Branch,
Associate Executive Directorate for Support Services. Same address as
system location above.
Notification procedures:
The system contains information submitted voluntarily by the
employee; therefore, anyone with information in the system realizes
the fact. Additional questions should be directed to the System
Manager.
Record access procedures:
Requests are directed to the System Manager.
Contesting record procedures:
Same as record access procedures above.
Record source categories:
The subject employee.
FERC/35
System name:
Security Investigation Tracking System FERC-35.
System location:
Division of Logistics Management, Office of the Executive
Director, 825 North Capitol Street, NE, Room 3317, Washington, DC.
20426.
Categories of individuals covered by the system:
All current and former employees of the Commission on board as of
January 1992. All current and former ADP support services contractor
employees on site since January 1992. All current and former day care
provider employees on site since January 1992.
Categories of records in the system:
SF 85, SF 85P, or SF 86, or other form completed in the course of
an investigation for employment at another federal government agency;
SF 171; transmittal correspondence.
Authority for maintenance of the system:
5 U.S.C. 301, 2302(b)(2)(B), 2302(b)(10), 7311, 7313; Executive
Order 10450; 5 CFR 731.103.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Data in the system may be used in disclosing information:
b To an agency, office, or other establishment in the executive,
legislative, or judicial branches of the Federal Government, or the
District of Columbia Government, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract, or the issuance of a license, grant, or other benefit
by the requesting agency.
b To intelligence agencies for use in intelligence activities.
b To any source from which information is requested in the course
of an investigation, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
b To a Federal, State, or local agency responsible for
investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order where there is an indication of a
violation or potential violation of civil or criminal law or
regulation.
b To Federal agencies as a data source for management information
through the production of summary descriptive statistics and
analytical studies in support of the functions for which the records
are maintained or for related studies.
b To a congressional office in response to an inquiry made at the
request of that individual.
b In litigation before a court or in an administrative proceeding
being conducted by a Federal agency.
b To the National Archives and Records Administration for records
management inspections.
b To the Office of Management and Budget in connection with
private relief legislation.
b To respond to a request for discovery or for appearance of a
witness.
b To the Merit Systems Protection Board, the Office of Special
Counsel, the Equal Employment Opportunity Commission, or the Federal
Labor Relations Authority, in connection with functions vested in
those agencies.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
On paper and computer disk.
Retrievability:
By employee's name, social security number, date of birth, and
place of birth.
Safeguards:
Computer disks requires two levels of passwords to gain access.
They are stored in a locked cabinet when not in use. Paper records
are stored in security containers with combination locks and secured
in a room with a deadbolt lock.
Retention and disposal:
Forms are maintained in an active file as long as employment
continues at FERC; thereafter, data are moved to an inactive file.
After three to five years in the inactive file, paper records are
destroyed by use of a shredder. Computerized data are maintained
indefinitely.
System manager(s) and address:
Security and Safety Officer, Division of Logistics Management,
Office of the Executive Director, 825 North Capitol Street NE, Room
3317-A, Washington, DC 20426.
Notification procedure:
All requests to determine whether this system contains a record
pertaining to a requesting individual should be directed to the
System Manager.
Record access procedures:
Direct requests to the System Manager. Access permitted only
after approval from the Office of Personnel Management, in accordance
with that agency's regulations.
Contesting record procedures:
Direct requests to the System Manager. Involvement by the Office
of Personnel Management may be necessary, as provided in the Federal
Personnel Manual, Chapter 731.
Record source categories:
The subject employee, the employee's references and former
employers, and the investigator reviewing the employee's form.
FERC/36
Systen name:
Management, Administrative, and Payroll System
MAPS FERC/36.
System location:
Hard copy of personnel and timekeeping data is located at the
Federal Energy Regulatory Commission (FERC), Washington, DC. Hard
copy of payroll transactions and reports are located at the
Department of Veterans Affairs, Shared Services Center (SSC), Topeka,
Kansas 66604 and the Department of Veterans Affairs, Financial
Services Center (FSC), Austin, Texas 78772, respectively.
Computerized data is located at the Department of Veterans Affairs,
Austin Automation Center (AAC), Austin, Texas 76772.
Categories of individuals covered by the system:
All employees (Senior Executive Service and non-Senior Executive
Service, bargaining unit, and non-bargaining unit) employed by the
Federal Energy Regulatory Commission.
Categories of records in the system:
All official personnel action and/or payroll transaction
information on Commission employees.
Authority for maintenance of the system:
5 U.S.C. 301, 2302(b)(20(B), 2302(b)(10), 7311, 7313; Executive
Order 10450; 5 CFR 731.103.
Routine uses of records maintained in the system including
categories of users and the purposes of such uses:
To the Merit Systems Protection Board, the Office of Special
Counsel, The Equal Employment Opportunity Commission, or the Federal
Labor Relations Authority, in connection with functions vested in
those agencies.
To a Congressional office in response to an inquiry made at the
request of that individual.
To the Office of Management and Budget in connection with private
relief legislation.
In litigation before a court or in an administrative proceeding
being conducted by a Federal agency.
To the National Archives and Records Administration for records
management inspections.
To Federal agencies as a data source for management information
through the production of summary descriptive statistics and
analytical studies in support of the functions for which the records
are maintained for related studies.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
On paper in Official Folders located at the FERC, SSC, and FSC.
Computerized on a DEC Alpha Server which resides at the AAC.
Retrievability:
Data can be retrieved by employee's name, employee identification
number, or social security number.
Safeguards:
The Austin Automation Center is located in a secured Federal
complex. Within this secured building, the Computer Operations Center
is located in a controlled access room. Specific employees have been
identified as system and database administrators having specific
responsibilities allowing access to FERC personnel and payroll data.
Security is embedded within the software, in both the operating
system and at the application level. individuals not granted access
rights cannot view or change data. The database is monitored, by
software applications that provide audits of log-ins, both successful
and failed.
Output documents from the system are maintained as hard copy
documents by FERC's Human Resources Division and the VA's Payroll
Operations and Finance Offices and are safeguarded in secured
cabinets located within secured rooms.
System manager(s) and address:
The Federal Energy Regulatory Commission and the Department of
Veterans Affairs share responsibility for system management. The
first point of contact is the Director, Division of Management,
Administrative and Payroll Support, Federal Energy Regulatory
Commission, 888 First Street, NE, Washington, DC 20426.
Notification procedures:
Director, Division of Management, Administrative, and Payroll
Support.
Records access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedures. Involvement by the Office of
Personnel Management may be necessary, as provided in the Federal
Personnel Manual, Chapter 731.
Record source categories:
Department of Energy's Corporate Human Resources Information
System (CHRIS); FERC's Payroll Utilization Reporting System (PURS);
the employee's supervisors; and the employee.
ENERGY DEPARTMENT
Title 10-Energy
Chapter X-Department of Energy
PART 1008--RECORDS MAINTAINED ON INDIVIDUALS (PRIVACY ACT)
Subpart A--General Provisions
Sec.
1008.1 Purpose and scope.
1008.2 Definitions.
1008.3 Employee standards of conduct with regard to privacy.
1008.4 Procedures for identifying the individual making a request for
access to or amendment of records.
1008.5 Effect of the Freedom of Information Act (FOIA).
Subpart B--Requests for Access or Amendment
1008.6 Procedures for Privacy Act requests.
1008.7 Processing of requests.
1008.8 Action in response to a request for access: disclosure of
requested information to subject individuals.
1008.9 Action in response to a request for access: initial denial of
access.
1008.10 Action in response to a request for correction or amendment of
records.
1008.11 Appeals of denials of requests pursuant to Sec. 1008.6.
1008.12 Exemptions.
1008.13 Fees.
1008.14 Requests under false pretenses.
1008.15 Civil remedies.
Subpart C--Disclosure to Third Parties
1008.16 Prohibition against disclosure.
1008.17 Conditions of disclosure.
1008.18 Accounting for disclosures.
1008.19 Criminal penalties--improper disclosure.
Subpart D--Maintenance and Establishment of Systems of Records
1008.20 Content of systems of records.
1008.21 Collection of information by DOE about an individual for a
system of records.
1008.22 Use and collection of social security numbers.
1008.23 Public notice of systems of records.
1008.24 Criminal penalties--failure to publish a system notice.
Authority: Department of Energy Organization Act, Pub. L. 95-91,
Executive Order 12091, 42 FR 46267, Privacy Act of 1974, Pub. L. 93-579
(5 U.S.C. 552a).
Source: 45 FR 61577, Sept. 16, 1980, unless otherwise noted.
Subpart A--General Provisions
Sec. 1008.1 Purpose and scope.
(a) This part establishes the procedures to implement the Privacy Act
of 1974 (Pub. L. 93-579, 5 U.S.C. 552a) within the Department of Energy.
(b) This part applies to all systems of records, as defined in
Sec. 1008.2(m), maintained by DOE.
(c) This part applies to all divisions within the DOE, and to the
personnel records of the Federal Energy Regulatory Commission (FERC),
which are maintained by DOE on behalf of FERC. These regulations do not
apply to other systems of records maintained by FERC. These regulations
also apply to DOE contractors and their employees to the extent required
by 5 U.S.C. 552a(m).
Sec. 1008.2 Definitions.
(a) ``Department'' or ``Department of Energy (DOE)'' means all
organizational entities which are a part of the executive department
created by Title II of the Department of Energy Organization Act, Pub.
L. 95-91, except the Federal Energy Regulatory Commission (FERC).
(b) ``Director, Office of Hearings and Appeals'' means the Director or
his delegate.
(c) ``DOE locations'' means each of the following DOE components:
(1) Alaska Power Administration, PO Box 50, Juneau, AK 88801.
(2) Albuquerque Operations Office, PO Box 5400, Albuquerque, NM 87115.
Note.--This office has cognizance over the following area offices:
Amarillo, Dayton, Kansas City, Los Alamos, Pinellas, Rocky Flats and
Sanria.
(3) Bartlesville Energy Technology Center, PO Box 1398, Bartlesville,
OK 74003.
(4) Bonneville Power Administration, PO Box 3621, Portland, OR 97268.
(5) Chicago Operations Office, 9800 South Cass Avenue, Argonne, IL
60439.
Note.--This office has cognizance over the Batvia and Brookhaven area
offices and the New Brunswick laboratory.
(6) Grand Forks Energy Technology Center, PO Box 8213, University
Station, Grand Forks, ND 58201.
(7) Grand Junction Office, PO Box 2567, Grand Junction, CO 81502.
(8) Headquarters, Department of Energy, 1000 Independence Avenue, SW.,
Washington, DC 20585.
(9) Idaho Operations Office, 550 Second Street, Idaho Falls, ID 83401.
(10) Laramie Energy Technology Center, PO Box 3395, University
Station, Laramie, WY 82070.
(11) Morgantown Energy Technology Center, PO Box 880, Morgantown, WV
26505.
(12) Nevada Operations Office, PO Box 14100, Las Vegas, NV 89114.
(13) Oak Ridge Operations Office, PO Box E, Oak Ridge, TN 37830.
(14) Oak Ridge Technical Information Center, PO Box 62, Oak Ridge, TN
37830.
(15) Pittsburgh Energy Technology Center, 4800 Forbes Avenue,
Pittsburgh, PA 15213.
(16) Region I, Analex Building, Room 700, 150 Causeway Street, Boston,
MA 02114.
(17) Region II, 26 Federal Plaza, Room 3206, New York, NY 10007.
(18) Region III, 1421 Cherry Street, 10th Floor, Philadelphia, PA
19102.
(19) Region IV, 1655 Peachtree Street, NE., 8th Floor, Atlanta, GA
30309.
(20) Region V, 175 West Jackson Boulevard, Room A-333, Chicago, IL
60604.
(21) Region VI, PO Box 35228, 2626 West Mockingbird Lane, Dallas, TX
75235.
(22) Region VII, Twelve Grand Building, 1150 Grand Avenue, Kansas
City, MO 64106.
(23) Region VIII, PO Box 26247--Belmar Branch, 1075 South Yukon
Street, Lakewood, CO 80226.
(24) Region IX, 111 Pine Street, Third Floor, San Francisco, CA 94111.
(25) Region X, 1992 Federal Building, 915 Second Avenue, Seattle, WA
98174.
(26) Richland Operations Office, PO Box 550, Richland, WA 99352.
(27) San Francisco Operations Office, 1333 Broadway, Wells Fargo
Building, Oakland, CA 94612.
(28) Savannah River Operations Office, PO Box ``A,'' Aiken, SC 29801.
(29) Southeastern Power Administration, Elberton, GA 30635.
(30) Southwestern Power Administration, PO Drawer 619, Tulsa, OK
74101.
(31) Western Area Power Administration, PO Box 3402, Golden, CO 80401.
(d) ``General Counsel'' means the General Counsel provided for in
section 202(b) of the Department of Energy Organization Act, or any DOE
attorney designated by the General Counsel.
(e) ``Headquarters'' means all DOE facilities functioning within the
Washington, DC metropolitan area.
(f) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence, but does not include
proprietorships, businesses, or corporations. Where appropriate, the
term ``individual'' also includes a duly authorized representative of an
individual.
(g) ``Maintain'' means maintain, collect, use, or disseminate.
(h) ``Privacy Act Officer'' means the person designated by the
Director, Office of Administration, as responsible for administering the
DOE's program for implementing the requirements of the Privacy Act of
1974 at the DOE locations listed at Sec. 1008.2(c).
(i) ``Record'' means any item, collection, or grouping of information
about an individual that is maintained by or for the DOE including, but
not limited, to education, financial transactions, medical history, and
criminal or employment history, and that contains that individual's
name, or other identifying number, symbol, or other identifying
particulars assigned to the individual, such as a finger or voice print
or photograph. See subsection (a)(4) of the Act.
(j) ``Routine use'' means, with respect to the disclosure of a record,
the use of such record for a purpose which is compatible with the
purpose for which it was collected. See subsection (a)(7) of the Act.
(k) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by 13 U.S.C. section 8. See
subsection (a)(6) of the Act.
(l) ``System Manager'' means the DOE official who is responsible for a
system of records as designated in the system notice of that system of
records published by DOE.
(m) ``System of records'' means a group of any records under DOE
control from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particulars assigned to the individual. See subsection (a)(5) of the
Act.
(n) ``Act'' means the Privacy Act of 1974, Pub. L. 93-579; references
to subsections of the Act mean subsections of section 3 of the Act.
Sec. 1008.3 Employee standards of conduct with regard to privacy.
(a) The Headquarters DOE Privacy Act Officer shall assure that DOE
personnel are advised of the provisions of the Privacy Act, including
the criminal penalties and civil liabilities provided therein,
(subsections (g) and (i) of the Act), and that DOE personnel are made
aware of their responsibilities: To protect the security of personal
information to assure its accuracy, relevance, timeliness and
completeness; to avoid unauthorized disclosure; and to insure that no
system of records concerning individuals, no matter how insignificant or
specialized, is maintained without public notice.
(b) DOE personnel shall:
(1) Collect or maintain no information of a personal nature about
individuals unless relevant and necessary to achieve a purpose or carry
out a responsibility of the DOE as required by statute or by Executive
Order. See subsection (e)(1) of the Act and Sec. 1008.18(a).
(2) Collect information, wherever possible, directly from the
individual to whom it pertains. See subsection (e)(2) of the Act and
Sec. 1009.19(a).
(3) Inform individuals from whom information is collected of the
authority for collection, the principal purposes for which the
information will be used, the routine uses that will be made of the
information, and the effects of not furnishing the information. See
subsection (e)(3) of the Act and Sec. 1008.19.
(4) Collect, maintain, use or disseminate no information concerning an
individual's rights guaranteed by the First Amendment, unless (i) the
individual has volunteered such; or (ii) the information is expressly
authorized by statute to be collected, maintained, used or disseminated;
or (iii) the activities involved are pertinent to and within the scope
of an authorized law enforcement activity. See subsection (e)(7) of the
Act and Sec. 1008.18(b).
(5) Advise their supervisors of the existence or proposal of any
system of records which retrieves information about individuals by the
individual's name or other identifying number, symbol, or identifying
particulars assigned to the individual.
(6) Maintain an accounting, in the prescribed form, of all disclosures
of information other than those to officers or employees who have a need
for the record in the performance of their duties and those required
under the Freedom of Information Act. See subsection (c) of the Act.
(7) Disclose no records other than to DOE personnel without the
advance written consent of the individual, except as authorized by 5
U.S.C. 552a(b) including routine uses published in the Federal Register.
(8) Maintain and process information concerning individuals with care
to insure that no inadvertent disclosure of the information is made. See
subsection (e)(10) of the Act.
(9) Inform the proper DOE authorities of any information maintained in
a DOE system of records which is not authorized by the Privacy Act of
1974.
(c) Heads of Headquarters Divisions and Offices and heads of the other
DOE locations shall review annually the systems of records subject to
their responsibility to insure compliance with the requirements of the
Privacy Act of 1974.
Sec. 1008.4 Procedures for identifying the individual making a
request for access to or amendment of records.
(a) When a request for information about or for access to or
correction of a record pertaining to an individual and contained in a
system of records has been made pursuant to Sec. 1008.6, valid
identification of the individual making the request shall be required
before information will be given, access granted or a correction
considered, to insure that information is given, corrected, or records
disclosed or corrected only at the request of the proper person.
(b) Subject to paragraphs (c) and (d) of this section, an individual
making a request may establish his identity by:
(1) Including with his request, if submitted by mail, a photocopy of
two identifying documents bearing his name and signature, one of which
shall bear his current home or business address and date of birth; or
(2) Appearing at the appropriate DOE location during the regular
business hours and presenting either of the following:
(i) One identifying document bearing the individual's photograph and
signature, such as a driver's license or passport; or
(ii) Two identifying documents bearing the individual's name and
signature, one of which shall bear the individual's current home or
business address and date of birth; or
(3) Providing such other proof of identity as the Privacy Act Officer
deems satisfactory in the circumstances of a particular request.
(c) If the Privacy Act Officer or the appropriate System Manager
determines that the information in a record is so sensitive that
unauthorized access could cause harm or embarrassment to the individual
whose record in involved, or if the individual making the request is
unable to produce satisfactory evidence of identity under paragraph (b)
or (d) of this section, the individual making the request may be
required to submit a notarized statement attesting to his identity and
his understanding of the criminal penalties provided under section 1001
of Title 18 of the United States Code for making false statements to a
Government agency and under subsection (i)(3) of the Act for obtaining
records under false pretenses. Copies of these statutory provisions and
forms of such notarized statements may be obtained upon request from the
Privacy Act Officer, Headquarters, Department of Energy, Washington, DC.
(d) When an individual acting as the parent of a minor or the legal
guardian of the person to whom a record pertains makes a request
pursuant to Sec. 1008.6 of this part--
(1) Such an individual shall establish his personal identity in the
same manner required in either paragraph (b) or (c) of this section.
(2) In addition, such an individual shall establish his identity in
the representative capacity of parent or legal guardian. In the case of
the parent of a minor, the proof of identity shall be a certified or
authenticated copy of the minor's birth certificate. In the case of the
legal guardian of a person who has been declared incompetent due to
physical or mental incapacity or age by a court of competent
jurisdiction, the proof of identity shall be a certified or
authenticated copy of the order from a court of competent jurisdiction.
(3) A parent or legal guardian may act only for a living individual,
not for a decedent. Requests for the records of decedents will be
handled under the Freedom of Information Act (5 U.S.C. 552).
Sec. 1008.5 Effect of the Freedom of Information Act (FOIA).
(a) DOE shall not rely on any exemption contained in the Freedom of
Information Act (5 U.S.C. 552) to withhold from the individual to whom
it pertains, any record which is otherwise accessible to such individual
under this part.
(b) DOE shall rely on subsection (b) of the Privacy Act to withhold
information from a person other than the person to whom the record
pertains only when the information is also exempt from disclosure under
the FOIA.
(c) Where a request for access to records is submitted pursuant to
both the FOIA and the Privacy Act, the DOE shall, to the maximum extent
possible, process the request under the provisions of this part,
including the time limits of this part.
Subpart B--Requests for Access or Amendment
Sec. 1008.6 Procedures for Privacy Act requests.
(a) Any individual may--
(1) Ask the DOE whether a system of records maintained by the DOE
contains records about him or her;
(2) Request access to information pertaining to him or her that is
maintained in a DOE system of records;
(3) Request that information about him or her in a DOE system of
records be amended or corrected. Requests for correction or amendment
may include inquiries concerning--
(i) whether such information is relevant or necessary to accomplish a
purpose that DOE is required to accomplish by statute or Executive
Order; or
(ii) if the information is to be used by the DOE in making a
determination about the individual, whether the information is as
accurate, relevant, timely, or complete as is reasonably necessary to
assure fairness in the determination.
(b) Requests submitted pursuant to this section shall--
(1) Be in writing and signed by the individual making the request;
(2) State that the request is a ``Privacy Act Access'' or ``Privacy
Act Amendment'' request;
(3) Include the identification information required by Sec. 1008.4;
(4) Specify, if possible, the title and identifying number of the
system of records as listed in DOE's published notices of system of
records;
(5) Provide if possible any additional information to aid DOE in
responding to the request, for example, a description of the records
sought;
(6) Indicate, as appropriate, the time, place, and form of access
sought.
(c) Any request not addressed and marked as specified in paragraph (a)
of this section shall be forwarded immediately to the appropriate
Privacy Act Officer. An improperly addressed request will not be deemed
to have been received for purposes of measuring time periods pursuant to
Secs. 1008.7 and 1008.10 until actual receipt by the appropriate Privacy
Act Officer. The individual making the request shall be notified that
the request was improperly addressed and the date when the request was
received by the Privacy Act Officer.
(d) Assistance in preparing an access request pursuant to this section
may be obtained from any DOE Privacy Act Officer at the locations listed
at Sec. 1008.2(e).
(e) An individual shall not be required to state a reason or otherwise
justify his request for information or access to a record pertaining to
him/her that is contained in a system of records.
Sec. 1008.7 Processing of requests.
(a) Receipt of a request made in accordance with Sec. 1008.6 shall be
promptly acknowledged by the Privacy Act Officer.
(b) Each request shall be acted upon promptly. Every effort will be
made to respond within ten working days of the date of receipt by the
System Manager or designee. If a response cannot be made within ten
working days, the appropriate Privacy Act Officer shall send an interim
response providing information on the status of the request, including
an estimate of the time within which action is expected to be taken on
the request and asking for any further information as may be necessary
to respond to the request. Action will be completed as soon as possible,
but not later than 20 working days after receipt of the original
specific inquiry. In unusual circumstances and for good cause, the
appropriate Privacy Act Officer may decide that action cannot be
completed within the initial 20 working days. In such case, the
appropriate Privacy Act Officer will advise the individual of the reason
for the delay and the date (not to exceed an additional 20 working days)
by which action can be expected to be completed.
(c) The term ``unusual circumstances'' as used in this section
includes situations where a search for requested records from inactive
storage is necessary; cases where a voluminous amount of data is
involved; instances where information on other individuals must be
separated or expunged from the particular record; and cases where
consultation with other agencies which have substantial interest in the
response to the request is necessary.
(d) Upon receiving a request, the Privacy Act Officer shall ascertain
which System Manager or Managers of the DOE have primary responsibility
for, custody of, or concern with the system or systems of records
subject to the request and shall forward the request to such System
Manager or Managers. The System Manager or Managers shall promptly
identify and, in consultation with the General Counsel, review the
records encompassed by the request.
(e) Where the request is for access to or information about records,
after reviewing the material the System Manager or Managers concerned
shall transmit to the Privacy Act Officer the requested material. The
transmission to the Privacy Act Officer shall include any recommendation
that the request be granted or wholly or partially denied and shall set
forth any exemption categories supporting denials. Any denial
recommendation must be concurred in by the appropriate General Counsel.
(f) Where the request is for correction or amendment of records, after
reviewing the material the System Manager or Managers shall transmit a
recommended decision to the Privacy Act Officer. Any recommendation that
the request be granted or wholly or partially denied shall cite the
exemption relied on and set forth the policy considerations supporting a
denial. Any recommendation of denial must be concurred in by General
Counsel.
Sec. 1008.8 Action in response to a request for access: Disclosure
of requested information to subject individuals.
(a) Consistent with the recommendation of the System Manager and the
concurrence of the appropriate General Counsel, the Privacy Act Officer
shall provide to the requesting individual the information about or
access to a record or information pertaining to the individual contained
in a system of records, unless the request is being denied in accordance
with Sec. 1008.9 of this part. The Privacy Act Officer shall notify the
individual of such determination and provide the following information:
(1) Whether there is information or a record pertaining to him that is
contained in a system of records;
(2) The methods of access as set forth in paragraph (b) of this
section;
(3) The place at which the record or information may be inspected;
(4) The earliest date on which the record or information may be
inspected and the period of time that the record or information will
remain available for inspection. In no event shall the earliest date be
later than thirty calendar days from the date of notification.
(5) An indication that copies of the records are enclosed, or the
estimated date by which a copy of the record could be mailed and the
estimate of fees that would be charged to provide other than the first
copy of the record, pursuant to Sec. 1008.13.
(6) The fact that the individual, if he wishes, may be accompanied by
another person during the in-person review of the record or information,
provided that the individual shall first furnish to the Privacy Act
Officer a written statement authorizing disclosure of that individual's
record in the accompanying person's presence; and
(7) Any additional requirements that must be satisfied in order to
provide information about or to grant access to the requested record or
information.
(b) The following methods of access to records or information
pertaining to an individual and contained in a system of records may be
available to that individual depending on the circumstances of a
particular request:
(1) A copy of the record may be enclosed with the initial response in
accordance with paragraph (a) of this section;
(2) Inspection in person may be arranged during the regular business
hours of the DOE in the office specified by the Privacy Act Officer;
(3) Transfer of records to a Federal facility more convenient to the
individual may be arranged, but only if the Privacy Act Officer
determines that a suitable facility is available, that the individual's
access can be properly supervised at that facility, and that transmittal
of the records or information to that facility will not unduly interfere
with operations of the DOE or involve unreasonable costs, in terms of
money or manpower; and
(4) The requested number of copies in addition to the initial copy may
be mailed at the request of the individual, subject to payment of the
fees prescribed in Sec. 1008.13.
(c) If the Privacy Act Officer believes, based upon a recommendation
of the System Manager and the agency's medical officer, that disclosure
of medical and/or psychological information directly to an individual
could have an adverse effect upon that individual, the individual may be
asked:
(1) To designate in writing a physician or mental health professional
to whom he would like the records to be disclosed; or
(2) To submit a signed statement by his physician or a mental health
professional indicating that, in his view, disclosure of the requested
records or information directly to the individual will not have an
adverse effect upon the individual. If the individual refuses to
designate a physician or mental health professional, or to submit a
signed statement from his physician or mental health professional as
provided in paragraph (c) (1) and (2) of this section, the request will
be considered denied, and the appeal rights provided in Sec. 1008.11
will be available to the individual.
(d) The Privacy Act Officer shall supply such other information and
assistance at the time of an individual's review of his record as is
necessary to make the record intelligible to the individual.
(e) The DOE will, as required by subsection (d)(1), assure an
individual's right ``to review his or her record and have a copy made of
all or any portion thereof in a form comprehensible to him.'' However,
original records will be made available to individuals only under the
supervision of the Privacy Act Officer or his designee. Individuals will
be provided at their request with a copy, but not the original, of
records pertaining to them.
Sec. 1008.9 Action in response to a request for access: initial
denial of access.
(a) A request by an individual for information about or access to a
record or information pertaining to that individual that is contained in
a system of records may be denied only upon a determination by the
appropriate System Manager, with the concurrence of the appropriate
General Counsel, that:
(1) The record is subject to an exemption under Sec. 1008.12;
(2) The record is information compiled in reasonable anticipation of a
civil action or proceeding; or
(3) The individual has unreasonably failed to comply with the
procedural requirements of this part.
(b) The Privacy Act Officer shall give written notice of the denial of
a request of information about or access to records or information
pertaining to the individual and contained in a system of records. Such
written notice shall be sent by certified or registered mail, return
receipt requested and shall include the following information:
(1) The System Manager's name and title;
(2) The reasons for the denial, including citation to the appropriate
sections of the Privacy Act and this part; and
(3) Notification of the individual's right to appeal the denial
pursuant to Sec. 1008.11 and to administrative and judicial review under
5 U.S.C. 552a(g)(1)(B), as limited by 552a(g)(5).
(c) Nothing in this section shall:
(1) Require the furnishing of information or records that are not
retrieved by the name or by some other identifying number, symbol or
identifying particular of the individual making the request;
(2) Prevent a System Manager from waiving any exemption authorizing
the denial of records, in accordance with Sec. 1008.12.
Sec. 1008.10 Action in response to a request for correction or
amendment of records.
(a) The Privacy Act Officer must respond in writing to the requester
for amendment of a record within 10 working days of receipt. This
response shall inform the requester of the decision whenever possible.
(b) If the decision cannot be reached within 10 working days, the
requester shall be informed of the reason for delay and the date (within
20 working days) it is expected that the decision will be made.
(c) The Privacy Act Officer, consistent with the recommendation of the
System Manager or Managers, as concurred in by the appropriate General
Counsel, if appropriate, shall do one of the following:
(1) Instruct the System Manager to make the requested correction or
amendment; and advise the individual in writing of such action,
providing either a copy of the corrected or amended record, or a
statement as to the means whereby the correction or amendment was
accomplished in cases where a copy cannot be provided (for example,
erasure of information from a record maintained only in an electronic
data bank); or
(2) Inform the individual in writing that his request is denied in
whole or in part. Such denial shall be sent by certified or registered
mail, return receipt requested, and shall provide the following
information:
(i) The System Manager's name and title;
(ii) The reasons for the denial; including citation to the appropriate
sections of the Act and this part; and
(iii) Notification of the individual's right to appeal the denial
pursuant to Sec. 1008.11 and to administrative and judicial review under
5 U.S.C. 552a(g)(1)(B), as limited by 5 U.S.C. 552a(g)(5).
(iv) Notification of the right of the individual to submit a statement
of disagreement consistent with Sec. 1008.11(g).
(d) Whenever an individual's record is amended pursuant to a request
by that individual, the Privacy Act Officer or the System Manager, as
appropriate, shall notify all persons and agencies to which the amended
portion of the record had been disclosed prior to its amendment, if an
accounting of such disclosure was required by the Act. The notification
shall request a recipient agency maintaining the record to acknowledge
receipt of the notification, to correct or amend the record and to
apprise an agency or person to which it had disclosed the record of the
substance of the amendment.
(e) The following criteria will be taken into account by the DOE in
reviewing a request for amendment:
(1) The sufficiency of the evidence submitted by the individual;
(2) The factual accuracy of the information;
(3) The relevance and necessity of the information in relation to the
purpose for which it was collected;
(4) If such information is used in making any determination about the
individual, whether the information is as accurate, relevant, timely,
and complete as is reasonably necessary to assure fairness to the
individual in such determination;
(5) The degree of possibility that denial of the request could
unfairly result in a determination adverse to the individual;
(6) The nature of the record sought to be corrected or amended; and
(7) The propriety and feasibility of complying with the specific means
of amendment requested by the individual.
(f) The DOE will not undertake to gather evidence for the individual,
but does reserve the right to verify the evidence that the individual
submits.
(g) Amendment of a record requested by an individual may be denied
upon a determination that:
(1) The individual has failed to establish, by a preponderance of the
evidence, the propriety of the amendment in relation to the criteria
stated in paragraph (e) of this section;
(2) The record sought to be amended was compiled in a terminated
judicial, quasi-judicial or quasi-legislative proceeding to which the
individual was a party or participant;
(3) The record sought to be amended is the subject of a pending
judicial, quasi-judicial or quasi-legislative proceeding to which the
individual is a party or participant;
(4) The amendment would violate a duly enacted statute or promulgated
regulation;
(5) The individual has unreasonably failed to comply with the
procedural requirements of this part; or
(6) The record has been properly exempted from the provisions of
subsection (d) of the Act.
(h) Nothing in this section shall restrict the DOE from granting in
part or denying in part a request for amendment of records.
[45 FR 61577, Sept.16, 1980, as amended at 46 FR 31637, June 17, 1981]
Sec. 1008.11 Appeals of denials of requests pursuant to Sec. 1008.6.
(a) Any individual may appeal the denial of a request made by him for
information about or for access to or correction or amendment of
records. An appeal shall be filed within 30 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 systems of records
reported by the OPM, shall be filed, as appropriate, with the Assistant
Director for Agency Compliance and Evaluation, Office of Personnel
Management (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), Department of Energy,
Headquarters, Washington, DC.
(b) An appeal not addressed and marked as specified in paragraph (a)
of this section shall be forwarded immediately to the Assistant Director
for Agency Compliance and Evaluation, OPM, or the Director, OHA, as
appropriate. An appeal that is not properly addressed by an individual
shall not be deemed to have been received for purposes of time periods
in this section until actual receipt of the appeal by the Assistant
Director, OPM, or the Director, OHA. In each instance when an appeal so
forwarded is received, the individual filing the appeal shall be
notified that the appeal was improperly addressed and the date when the
appeal was received by the Assistant Director, OPM, or the Director,
OHA.
(c) The appeal shall include the following:
(1) A copy of the original request for access or for amendment;
(2) A copy of the initial denial; and
(3) A statement of the reasons why the initial denial is believed to
be in error.
(d) The records or record to which the individual was denied access,
or which was requested to be corrected or amended, will be supplied to
the appropriate appeal authority by the Privacy Act Officer who issued
the initial denial. While such records normally will comprise the entire
record on appeal, the appeal authority may seek such additional
information as is necessary to assure that the final determination is
fair and equitable.
(e) No personal appearance or hearing on appeal will be allowed.
(f) The appropriate appeal authority for DOE records shall act upon
the appeal and issue a final determination in writing no later than 20
working days from the date on which the appeal is received. However, the
appeal authority may extend the ten-day period upon a determination that
a fair and equitable review cannot be made within that period. In such
cases the individual shall be advised in writing of the reason for the
extension and of the estimated date by which a final determination will
be issued. The final determination shall be issued not later than the
30th working day after receipt of the appeal unless unusual
circumstances, as defined in Sec. 1008.7, are present, whereupon an
additional 30 days may be extended.
(g) If an appeal of a denial of access is granted, a copy of the
determination shall be transmitted promptly to the individual, the
Privacy Act Officer and the appropriate System Manager. Upon receipt of
the determination, the Privacy Act Officer promptly shall take action
consistent with Sec. 1008.8.
(h) If an appeal of a denial of correction or amendment is granted,
the final determination shall identify the specific corrections or
amendments to be made. A copy of the determination shall be transmitted
promptly to the individual, the Privacy Act Officer and the appropriate
System Manager. Upon receipt of the determination, the Privacy Act
Officer promptly shall take steps to insure that the actions set forth
in Sec. 1008.10 (a) and (b) are taken.
(i) If the appeal of a denial of access is denied, the final
determination shall state the reasons for the denial and shall be
transmitted promptly to the individual, the Privacy Act Officer and the
appropriate System Manager. The determination shall also include a
statement identifying the right of the individual to administrative and
judicial review pursuant to 5 U.S.C. 552a(g)(1)(B) as limited by 5
U.S.C. 552a(g)(5).
(j) If the appeal of a denial of correction or amendment is denied,
the final determination shall state the reasons for the denial and shall
be transmitted promptly to the individual, the Privacy Act Officer and
the appropriate System Manager.
(1) The determination also shall include the following:
(i) Notice of the right of the individual to file with the Privacy Act
Officer a concise, signed statement of reasons for disagreeing with the
final determination, receipt of which statement will be acknowledged by
the Privacy Act Officer.
(ii) An indication that any disagreement statement filed by the
individual will be noted and appended to the disputed record and that a
copy of the statement will be provided by the Privacy Act Officer or the
System Manager, as appropriate, to persons and agencies to which the
record is disclosed subsequent to the date of receipt of such statement;
(iii) An indication that the DOE shall append to any disagreement
statement filed by the individual a copy of the final determination or a
summary thereof, which determination or summary also will be provided to
persons and agencies to which the disagreement statement is disclosed;
and,
(iv) A statement of the right of the individual to administrative and
judicial review under 5 U.S.C. 552a(g)(1)(B), as limited by 5 U.S.C.
552a(g)(5).
(2) Although a copy of the final determination or a summary thereof
will be treated as part of the individual's record for purposes of
disclosure in instances where the individual has filed a disagreement
statement, it will not be subject to correction or amendment by the
individual.
(3) Where an individual files a statement of disagreement consistent
with paragraph (j)(1) of this section, the Privacy Act Officer shall
take steps to insure that the actions provided in paragraph (j)(1)(i),
(ii) and (iii) of this section are taken.
Sec. 1008.12 Exemptions.
(a) General exemptions-(1) Generally. 5 U.S.C. 552a(j)(2) allows the
exemption of any system of records within the DOE from any part of
section 552a except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F) (e)(6), (7), (9), (10), and (11), and (i) of the Act if the system
of records is maintained by a DOE component which performs as its
principal function any activity pertaining to the enforcement of
criminal laws, including police efforts to prevent, control, or reduce
crime or to apprehend criminals, and which consists of (i) information
compiled for the purpose of identifying individual criminal offenders
and alleged offenders; (ii) information compiled for the purpose of a
criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (iii)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision.
(2) Applicability of general exemptions to DOE systems of records.-
(i) Investigative Files of the Inspector General (DOE-54). This system
of records is being exempted pursuant to subsection (j)(2) of the Act in
order to aid the Office of the Inspector General in the performance of
its law enforcement function. The system is exempted from subsections
(c)(3) and (4); (d)(1)-(4); (e)(1)-(3); (4)(G), (H), and (I); (5) and
(8); and (g) of the Act. The system is exempt from these provisions for
the following reasons: Notifying an individual at the individual's
request of the existence of records in an investigative file pertaining
to such individual, or granting access to an investigative file could
(A) interfere with investigative and enforcement proceedings and with
co-defendants' right to a fair trial; (B) disclose the identity of
confidential sources and reveal confidential information supplied by
these sources; and (C) disclose investigative techniques and procedures.
(ii)Law Enforcement Investigative Records (DOE-84). Thissystem of
records is being exempt pursuant to subsection (j)(2) of the Act to
enable the Office of Counterintelligence to carry out its duties and
responsibilities as they pertain to its law enforcement function. The
system is exempted from these provisions for the following reasons:
Notifying an individual at the individual's request of the existence of
records in an investigative file pertaining to such individual, or
granting access to an investigative file could interfere with
investigative and enforcement proceedings and with co-defendant's right
to a fair trial; disclose the identity of confidential information
supplied by these sources; and disclose investigative techniques and
procedures.
(b) Specific exemptions. Subsection (k) of the Privacy Act establishes
seven categories of systems of records which may be exempted from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (7) of the
Act. The Department has exempted systems of records under four of these
provisions, as follows: (1) Classified material. (i) Subsection (k)(1)
permits exemption of systems of records that are specifically authorized
under criteria established under statute or Executive Order to be kept
secret in the interest of national defense or foreign policy, and are in
fact properly classified pursuant to such statute or Executive Order.
Restricted Data and Formerly Restricted Data under the Atomic Energy Act
of 1954, as amended, are included in this exemption.
(ii) The DOE systems of records listed below have been exempted under
subsection (k)(1) to the extent they contain classified information, in
order to prevent serious damage to the national defense or foreign
policy that could arise from providing individuals access to classified
information. Systems exempted under subsection (k)(1) are--
(A) Alien Visits and Participation (DOE-52).
(B) Clearance Board Cases (DOE-46).
(C) Security Correspondence Files (DOE-49).
(D) Foreign Travel Records (DOE-27)
(E) Legal Files (Claims, Litigations, Criminal Violation, Patents, and
other Legal Files) (DOE-41).
(F) Personnel Security Clearance Files (DOE-43).
(G) Personnel Security Clearance Index (Automated) (DOE-42).
(H) Special Access Authorization for Categories of Classified
Information (DOE-44).
(I) Administrative and Analytical Records and Reports (DOE-81).
(J) Law Enforcement Investigative Records (DOE-84).
(2) Investigatory material compiled for law enforcement purposes. (i)
Subsection (k)(2) permits the exemption of investigatory material
compiled for law enforcement purposes, provided, however, that if any
individual is denied any right, privilege, or benefit to which he would
otherwise be entitled by Federal law, or for which he would otherwise be
eligible, as a result of the maintenance of such material, such material
shall be provided to such individual, except to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(ii) The DOE systems of records listed below have been exempted under
subsection (k)(2) in order to prevent subjects of investigation from
frustrating the investigatory process through access to records about
themselves or as a result of learning the identities of confidential
informants; to prevent disclosure of investigative techniques; to
maintain the ability to obtain necessary information; and thereby to
insure the proper functioning and integrity of law enforcement
activities. Systems of records exempted under subsection (k)(2) are--
(A) Alien Visits and Participation (DOE-52).
(B) Clearance Board Cases (DOE-46).
(C) Security Correspondence Files (DOE-49).
(D) Foreign Travel Records (DOE-27).
(E) Legal Files (Claims, Litigation, Criminal Violations, Patents, and
other Legal Files) (DOE-41).
(F) Personnel Security Clearance Files (DOE-43).
(G) Personnel Security Clearance Index (Automated) (DOE-42).
(H) Special Access Authorization for Categories of Classified
Information (DOE-44).
(I) DOE Personnel and General Employment Records (DOE-1) (only
personnel investigative records concerning current and former DOE
employees and applicants for employment by DOE).
(J) Investigative Files of the Inspector General (DOE-54) (only
investigative records concerning past and present DOE employees).
(K) Administrative and Analytical Records and Reports (DOE-81).
(L) Law Enforcement Investigative Records (DOE-84).
(3) Investigatory material compiled for determining suitability for
Federal employment. (i) Subsection (k)(5) permits exemption of systems
of records that contain investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualification for
Federal civilian employment, military service, Federal contracts, or
access to classified information, but only to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(ii) The DOE systems of records listed below have been exempted under
subsection (k)(5) to the extent they contain the kinds of records
described in subsection (k)(5) in order to maintain DOE's ability to
obtain candid information on candidates for employment, contracts, or
access to classified information and to fulfill commitments made to
sources to protect the confidentiality of information, and thereby to
facilitate proper selection or continuation of the best applicants or
persons for a given position or contract. Systems exempted under
subsection (k)(5) are--
(A) DOE Personnel and General Employment Records (DOE-1);
(B) Personnel Security Clearance Files (DOE-43);
(C) Investigative Files of the Inspector General (DOE-54);
(D) Alien Visits and Participation (DOE-52);
(E) Clearance Board Cases (DOE-46);
(F) Security Correspondence Files (DOE-49);
(G) Foreign Travel Records (DOE-27);
(H) Legal Files (Claims, Litigation, Criminal Violations, Patents, and
other Legal Files) (DOE-41);
(I) Personnel Security Clearance Index (Automated) (DOE-42);
(J) Special Access Authorization for Categories of Classified
Information (DOE-44);
(K) DOE Personnel: Supervisor-Maintained Personnel Records (DOE-2);
(L) Applications for DOE Employment (DOE-4).
(M) Administrative and Analytical Records and Reports (DOE-81).
(N) Law Enforcement Investigative Records (DOE-84).
(4) Testing or examination material. (i) Subsection (k)(6) permits
exemption of systems of records that include testing or examination
material used solely to determine individual qualifications for
appointment or promotion in the Federal service, the disclosure of which
would compromise the objectivity or fairness of the testing of
examination process.
(ii) The DOE systems of records listed below have been exempted to the
extent they contain testing or examination material in order to protect
the integrity of the personnel testing and evaluation process and to
avoid providing individuals with unfair advantage, by premature or
unfair disclosure of testing or rating information. Systems exempted
under Subsection (k)(6) are--
(A) (DOE-2) DOE Personnel: Supervisor-Maintained Personnel Records.
(B) (DOE-4) Applications for DOE Employment.
(C) (DOE-1) DOE Personnel and General Employment Records.
(c) Application of exemptions to particular requests. (1) The Privacy
Act Officer, consistent with the recommendation of the System Manager
and with concurrence of the appropriate General Counsel, may make
available records which the DOE is authorized to withhold under this
section.
(2) With respect to records containing material or information that
would reveal the identity of a source who was given an assurance of
confidentiality, a determination to make records available pursuant to
paragraph (c)(1) of this section shall be made only if the source
consents to the release of such information to the individual, or if it
is determined that the material or information is not adverse or
detrimental to the individual, or for good cause shown. The exercise of
discretion with respect to waiver of the exemption shall be final.
(3) Prior to making a determination to deny access to a record in a
system of records covered by exemption (k)(1) for classified material
(see paragraph (b)(1) of this section), the System Manager shall consult
with the Director, Division of Classification, to verify the current
classification status of the information in the requested record.
[45 FR 61577, Sept. 16, 1980, as amended at 60 FR 35836, Jul. 12, 1995]n
Sec. 1008.13 Fees.
(a) The only fees to be charged to or collected from an individual
under the provisions of this part are for copying records at the request
of the individual. The fee charged shall be consistent with the fee
schedule set forth in paragraph (b) of this section.
(1) No fees shall be charged or collected for the following: Search
for and retrieval of records; review of records; copying by the DOE
incident to granting access; copying at the initiative of the DOE
without a request from the individual; copying when the aggregate of
fees for copying is $25 or less; time spent providing copies;
transportation of records and personnel; and first class postage.
(2) It is the policy of the DOE to provide an individual with one copy
of each record corrected or amended pursuant to request without charge.
(3) As required by the Office of Personnel Management in its published
regulations implementing the Act, the DOE will charge no fee for a
single copy of a personnel record covered by that Commission's
Government-wide published notice of systems of records.
(b) The schedule of fees is as follows:
(1) $.10 per copy of each page.
(2) For other forms of copying and other forms of materials (e.g.,
cassettes, computer materials), the direct cost of the materials,
personnel, and equipment shall be charged, but only with prior specific
approval of the person making the request, when such charges would be in
excess of $25.
(c) The Privacy Act Officer may, upon application by an individual,
furnish any records without charge or at a reduced rate, if the Privacy
Act Officer determines that such waiver or reduction of fees is in the
public interest.
(d) Payment shall be made by check or money order payable to the
United States Department of Energy.
(e) Advance payment of all or part of the fees may be required at the
discretion of the Privacy Act Officer. Unless the individual requesting
the copies specifically states that he is willing to pay whatever fees
are assessed for meeting the request or, alternatively, specifies an
amount in excess of $25 that he is willing to pay and which in fact
covers the anticipated fees for meeting the request, a request that is
expected to involve assessed fees in excess of $25 shall not be deemed
to have been received, for purposes of the time periods specified in
Sec. 1008.7 and Sec. 1008.10 until the individual making the request is
notified of the anticipated cost, agrees to bear it, and makes any
advance deposit required. Such notification shall be made by the Privacy
Act Officer as promptly as possible after receipt of the request.
Sec. 1008.14 Requests under false pretenses.
Subsection (i)(3) of the Act provides that any person who knowingly
and willingly requests or obtains any record concerning an individual
from an agency under false pretenses shall be quilty of a misdeamenaor
and fined not more than $5,000.
Sec. 1008.15 Civil remedies.
Subsection (g) of the Act provides that an individual may bring suit
against the DOE for a violation of the Privacy Act, as follows:
(a) If the DOE refuses to grant a request for access to an
individual's records, the court may order the DOE to provide the
individual with access to his or her records and award reasonable
litigation costs and attorney's fees.
(b) If the DOE refuses to amend a record or fails to review an
amendment request as required by subsection (d)(3) of the Act, the court
may order the DOE to make the amendment and award reasonable litigation
costs and attorney's fees.
(c) If the DOE makes an adverse determination based on a record which
is not maintained in an accurate, timely, relevant, and complete manner,
the individual may be awarded actual damages of at least $1,000. In
order to prevail, the individual must show that--
(1) The DOE's action was willful and intentional; and
(2) The adverse determination was based on the faulty record.
(d) If the DOE fails to comply with any other provision of the Privacy
Act or agency rule promulgated under the Act, in such a way as to have
an adverse effect on the individual, the court may award actual damages
of at least $1,000. In order to prevail, the individual must show that--
(1) The DOE's action was willful and intentional; and
(2) The agency's action had an adverse effort on the individual; and
(3) The adverse effect was causally related to the DOE's action.
Subpart C--Disclosure to Third Parties
Sec. 1008.16 Prohibition against disclosure.
Except as provided in Sec. 1008.17, the DOE shall not disclose any
record which is contained in a system of records, by any means of
communication, to any agency or to any person other than the individual
who is the subject of the record.
Sec. 1008.17 Conditions of disclosure.
(a) Notwithstanding the prohibition contained in Sec. 1008.16, the DOE
may disclose records covered by this part (1) to the individual to whom
the record pertains or to an agency or (2) to a person other than the
individual where he has given his prior written consent to the
disclosure or has made a written request for such disclosure.
(b) Notwithstanding the prohibition contained in Sec. 1008.16 the DOE
may also disclose records covered by this part whenever the disclosure
is:
(1) To officers and employees of the DOE who have a need for the
record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use (as defined in Sec. 1008.2) which is described
in the Federal Register notice for the system of records which the
disclosure is to be made;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13 of the United States Code;
(5) To a recipient who has provided the agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law and if the head of the agency or instrumentality has made a
written request to the DOE specifying the particular portion desired and
the law enforcement activity for which the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(9) To either House of Congress, or to any committee or subcommittee
thereof, any joint committee of Congress or subcommittee of any such
joint committee, to the extent of matter within its jurisdiction;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction.
(c) Notwithstanding the prohibition contained in section Sec. 1008.16
of this part, the DOE may also disclose records covered by this part
when disseminating a corrected or amended record or notation of a
disagreement statement as required by subsection (c)(4) of the Act.
Sec. 1008.18 Accounting for disclosures.
(a) For each disclosure of information contained in a system of
records under his control, except disclosures to authorized officers and
employees of DOE and disclosures required by the Freedom of Information
Act, the appropriate System Manager shall keep an accurate accounting
of:
(1) The date, nature, and purposes of each disclosure of a record made
to any person or to another agency; and
(2) The name and address of the person or agency to which the
disclosure was made.
(b) The accounting shall be retained for at least five years or the
life of the record, whichever is longer, after the disclosure for which
the accounting is made.
(c) The accounting described in paragraph (a) of this section shall be
made available to the individual named in the record upon written
request to the Privacy Act Officer at the appropriate DOE location
listed at Sec. 1008.2(c) of this part. However, the accounting shall not
be revealed with respect to disclosures made under Sec. 1008.17(b)(7) of
this part, pertaining to law enforcement activity; or with respect to
disclosures involving system of records for which DOE had claimed an
exemption from certain requirements of the Act, as provided in
Sec. 1008.12 of this part.
(d) Whenever an amendment or correction of a record or a notation of
dispute concerning the accuracy of records is made by the DOE in
accordance with Sec. 1008.10(a)(2)(iv) and Sec. 1008.11(g) of this part,
DOE shall inform any person or other agency to whom the record was
previously disclosed if an accounting of the disclosure was made
pursuant to the requirements of paragraph (a) of this section, unless
the disclosure was made pursuant to Sec. 1008.17(b)(7) of this part; or
the disclosure involved a system of records of which DOE has claimed an
exemption from certain requirements of the Act, as provided in
Sec. 1008.12 of this part.
(e) The System Manager shall make reasonable efforts to serve notice
on an individual when any record containing information about such
individual in a DOE system of records is disclosed to any person under
compulsory legal process when such process becomes a matter of public
record.
(f) Prior to disclosing any record about an individual to any person
other than an agency, unless the disclosure is pursuant to the Freedom
of Information Act, the System Manager shall make reasonable efforts to
assure that each record is accurate, complete, timely, and relevant for
DOE's purposes.
Sec. 1008.19 Criminal penalties--improper disclosure.
Subsection (i)(1) of the Act provides that a Federal employee who
willfully discloses information subject to the Privacy Act in violation
of the Act or rules promulgated under it shall be guilty of a
misdemeanor and fined up to $5,000.
Subpart D--Maintenance and Establishment of Systems of Records
Sec. 1008.20 Content of systems of records.
(a) The DOE will maintain in its records only such information about
an individual as is relevant and necessary to accomplish a purpose DOE
is required to accomplish by statute or by Executive Order of the
President, unless an exemption ot this requirement has been claimed by
DOE, as provided in Sec. 1008.12 of this part.
(b) The DOE will maintain no record describing how any individual
exercises rights guaranteed by the First Amendment unless expressly
authorized by statute or by the individual about whom the record is
maintained or unless it is pertinent to and within the scope of an
authorized law enforcement activity.
(c) The DOE will maintain all records that are used by it to make any
determination about any individual with such accuracy, relevance,
timeliness and completeness as is reasonably necessary to assure
fairness to the individual in such determination.
Sec. 1008.21 Collection of information by DOE about an individual
for a system of records.
(a) The DOE will collect information, to the greatest extent
practicable, directly from the subject individual when the use of the
information may result in adverse determinations about an individual's
rights, benefits and privileges under Federal programs, unless an
exemption from the Act to this requirement has been claimed by DOE as
provided in Sec. 1008.12
(b) Unless an exemption from the Act has been claimed by DOE under
subsection (j)(2), as provided in Sec. 1008.12, DOE shall inform each
individual whom it asks to supply information, on the form or other
means by which it uses to collect the information, or on a separate form
that can be retained by the individual, of the following:
(1) The authority (whether granted by statute or by Executive Order of
the President) that authorizes the solicitation of the information and
whether the provision of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses that may be made of the information, as published
in the Federal Register pursuant to the requirements of the Act; and
(4) The effect on the individual, if any, of not providing all or any
part of the requested information.
Sec. 1008.22 Use and collection of social security numbers.
(a) The System Manager of each system of records which utilizes social
security numbers as a method of identification without statutory
authorization or authorization by regulation adopted prior to January 1,
1975, shall revise the system to avoid future collection and use of the
social security numbers.
(b) Heads of Headquarters Divisions and Offices and heads of the other
DOE locations shall insure that employees authorized to collect
information from individuals are advised that individuals may not be
required to furnish social security numbers without statutory
authorization, and that individuals who are requested to provide social
security numbers voluntarily must be advised that furnishing the number
is not required and that no penalty or denial of benefits will flow from
the refusal to provide it.
Sec. 1008.23 Public notice of systems of records.
(a) The DOE shall publish in the Federal Register at least annually a
notice of the existence and character of each of its systems of records,
which notice shall include:
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) Each routine use of the records contained in the system, including
the categories of users and the purpose of such use, subject to
paragraph (d) of this section;
(5) The policies and practices of the DOE regarding storage,
retrievability, access controls, retention, and disposal of the records;
(6) The title and business address of the DOE official who is
responsible for the system of records;
(7) The DOE procedures whereby an individual can be notified at his
request if the system of records contains a record pertaining to him;
(8) The DOE procedures whereby an individual can be notified at his
request about how he can gain access to any record pertaining to him
contained in the system or records, and how he can contest its content;
and
(9) the categories of source of records in the systems.
(b) Notwithstanding the requirements of paragraph (a) of this section,
the notice of systems of records shall not necessarily include the
information in paragraphs (a) (7)-(9) of this section if DOE has claimed
a general or specific exemption from the requirements of the Act, as
provided in Sec. 1008.12.
(c) Copies of the notices as printed in the Federal Register shall be
available at the DOE locations listed at Sec. 1008.2(c). Requests by
mail for copies of such notices should be sent to Privacy Act Officer,
Headquarters, U.S. Department of Energy, Washington, DC 20585. The first
copy will be furnished free of charge. For each additional copy, the
costs of printing and handling may be charged.
(d) DOE shall publish in the Federal Register notice of any new
routine use or intended routine use of a record in the system of
records, at least 30 calendar days prior to the implementation of any
new routine use of a record in a system of records, or at least 30
calendar days prior to publication of the annual notice of such routine
uses, as provided in paragraph (a) of this section, an opportunity for
interested persons to submit written comments consisting of data, views,
or arguments regarding such use to DOE, shall be provided.
Sec. 1008.24 Criminal penalties--failure to publish a system notice.
Subsection (i)(2) of the Act provides that an agency officer or
employee who willfully maintains a system of records without publishing
a system notice as required by subsection (e)(4) of the Act shall be
guilty of a misdemeanor and fined up to $5,000.
Title 18-Conservation of Power, Water Resources
Chapter I-Federal Energy Regulatory Commission, Department of Energy
PART 3b--COLLECTION, MAINTENANCE, USE, AND DISSEMINATION OF RECORDS OF
IDENTIFIABLE PERSONAL INFORMATION
Subpart A--General
Sec.
3b.1 Purpose.
3b.2 Definitions.
3b.3 Notice requirements.
3b.4 Government contractors.
3b.5 Legal guardians.
Subpart B--Standards for Maintenance and Collection of Records
3b.201 Content of records.
3b.202 Collection of information from individuals concerned.
3b.203 Rules of conduct.
3b.204 Safeguarding information in manual and computer-based record
systems.
Subpart C--Rules for Disclosure of Records
3b.220 Notification of maintenance of records to individuals concerned.
3b.221 Access of records to individuals concerned.
3b.222 Identification requirements.
3b.223 Fees.
3b.224 Requests to amend records and disputes thereon.
3b.225 Written consent for disclosure.
3b.226 Accounting of disclosures.
3b.227 Mailing lists.
Subpart D--Rules for Exemptions
3b.250 Specific exemptions.
Authority: Federal Power Act, as amended, section 309, 49 Stat. 858-
859 (16 U.S.C. 825h); Natural Gas Act, as amended, Section 16, 52 Stat.
830 (15 U.S.C. 717o); and Pub. L. No. 93-579 (88 Stat. 1896).
Source: Order No. 536, 40 FR 44288, Sept. 25, 1975, unless otherwise
noted.
Subpart A--General
Sec. 3b.1 Purpose.
Part 3b describes the Federal Power Commission's program to implement
the provisions of the Privacy Act of 1974 (Pub. L. No. 93-579, 88 Stat.
1896) to allow individuals to have a say in the collection and use of
information which may be used in determinations affecting them. The
program is structured to permit an individual to determine what records
pertaining to him and filed under his individual name, or some other
identifying particular, are collected, maintained, used or disseminated
by the Commission, to permit him access to such records, and to correct
or amend them, and to provide that the Commission collect, use, maintain
and disseminate such information in a lawful manner for a necessary
purpose.
Sec. 3b.2 Definitions.
In this part:
(a) ``Agency'', as defined in 5 U.S.C. 551(1) as ``* * * each
authority of the Government of the United States, whether or not it is
within or subject to review by another agency, * * *'', includes any
executive department, military department, Government corporation,
Government controlled corporation, or other establishment in the
executive branch of the Government (including the Executive Office of
the President), or any independent regulatory agency (5 U.S.C. 552(e));
(b) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence;
(c) ``Maintain'' includes, maintain, collect, use, or disseminate;
(d) ``Record'' means any item, collection or grouping of information
about an individual that is maintained by an agency, including, but not
limited to, his education, financial transactions, medical history, and
criminal or employment history and that contains his name, or the
identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph;
(e) ``System of records'' means a group of any records under the
control of any agency from which information is retrieved by the name of
the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual;
(f) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by section 8 of title 13 of
the United States Code;
(g) ``Routine use'' means, with respect to the disclosure of a record,
the use of such record for a purpose which is compatible with the
purpose for which it was collected; and
(h) ``Disclosure'' means either the transmittal of a copy of a record
or the granting of access to a record, by oral, written, electronic or
mechanical communication.
Sec. 3b.3 Notice requirements.
(a) The Commission will publish at least annually in the Federal
Register a notice identifying the systems of records currently
maintained by the Commission. For each system of records, the notice
will include the following information:
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) The specific statutory provision or executive order, or rule or
regulation issued pursuant thereto, authorizing the maintenance of the
information contained in the system;
(5) Each routine use of the records contained in the system, including
the categories of users and the purposes of such use;
(6) The policies and practices regarding the storage, retrievability,
access controls, and retention and disposal of the records;
(7) The title and business address of the Commission official who is
responsible for the system of records;
(8) The procedures whereby an individual can be notified at his
request if the system of records contains a record pertaining to him;
(9) The procedures whereby an individual can be notified at his
request how he can gain access to any record pertaining to him contained
in the system of records, and how he can contest its contents; and
(10) The categories of sources of records in the system.
(b) At least thirty days prior to its operation, the Commission will
publish in the Federal Register a notice of its intention to establish a
new system of records reciting the information required pursuant to
paragraphs (a) (1)-(10) of this section and notice of any major change
to an existing system.
(c) The Commission will publish in the Federal Register a notice of
its intention to establish any new or intended routine use of the
information in an existing system of records at least thirty days prior
to the disclosure of the record for that routine use. A new routine use
is one which involves disclosure of records for a new purpose compatible
with the purpose for which the record is maintained or which involves
disclosure to a new recipient or category of recipients. At a minimum,
the notice will contain the following information:
(1) The name of the system of records for which the routine use is to
be established;
(2) The authority authorizing the maintenance of the information
contained in the system;
(3) The categories of records maintained in the system;
(4) The proposed routine use(s);
(5) The categories of recipients for each proposed routine use; and
(6) Reference to the public notice in the Federal Register under which
the existing system had already been published.
Sec. 3b.4 Government contractors.
Systems of records operated by a contractor, pursuant to a
``contract,'' on behalf of the Commission, which are designed to
accomplish a Commission function, are considered, for the purposes of
this part, to be maintained by the Commission. A ``contract'' covers any
contract, written or oral, subject to the Federal Procurement
Regulations. The contractual instrument will specify, to the extent
consistent with the Commission's authority to require it, that the
systems of records be maintained in accordance with the requirements of
this part.
Sec. 3b.5 Legal guardians.
For the purposes of this part, the parent of any minor, or the legal
guardian of any individual who has been declared to be incompetent due
to physical or mental incapacity or age by a court of competent
jurisdiction, may act on behalf of the individual.
Subpart B--Standards for Maintenance and Collection of Records
Sec. 3b.201 Content of records.
(a) All records which are maintained by the Commission in a system of
records will contain only such information about an individual that is
relevant and necessary to accomplish a purpose of the Commission as
required to be accomplished by statute or by executive order of the
President. Pursuant to Sec. 3b.3(a)(4) of this part, the Commission will
identify in the Federal Register the specific provisions in law which
authorize it to maintain information in a system of records. In
determining the ``relevance'' and ``necessity'' of records, the
following considerations will govern:
(1) Whether each item of information relates to the purposes, in law,
for which the system is maintained;
(2) The adverse consequences, if any, of not collecting the
information;
(3) Whether the need for the information could be met through the
maintenance of the information in a non-individually identifiable form;
(4) Whether the information in the record is required to be collected
on every individual who is the subject of a record in the system or
whether a sampling procedure would suffice;
(5) The length of time it is necessary to retain the information;
(6) The financial cost of maintaining the record as compared to the
adverse consequences of not maintaining it; and
(7) Whether the information, while generally relevant and necessary to
accomplish a statutory purpose, is specifically relevant and necessary
only in certain cases.
(b) All records which the Commission maintains in a system of records
and which are used to make a determination about an individual will be
maintained with such accuracy, relevance, timeliness, and completeness
as is reasonably necessary to assure fairness to the individual in the
determination. Where practicable, in questionable instances,
reverification of pertinent information with the individual to whom the
record pertains may be appropriate. In pursuit of ``completeness'' in
the collection of information, the Commission will limit its records to
those elements of information which clearly bear on the determination
for which the records are intended to be used, assuring that all
elements necessary to the determination are present before the
determination is made.
(c) Prior to disseminating any records in a system of records, the
Commission will make reasonable efforts to assure that such records are
as accurate, relevant, timely, and complete as appropriate for the
purposes for which they are collected and/or maintained, except when
they are disclosed to a member of the public under the Freedom of
Information Act, 5 U.S.C. 552, as amended, or to another agency.
(d) No records of the Commission in a system of records shall describe
how any individual exercises his First Amendment rights unless expressly
authorized by statute or by the individual about whom the record is
maintained or unless pertinent to and within the scope of an authorized
law enforcement activity. The exercise of these rights includes, but is
not limited to, religious and political beliefs, freedom of speech and
of the press, and freedom of assembly and petition. In determining
whether or not a particular activity constitutes the exercise of a right
guaranteed by the First Amendment, the Commission will apply the
broadest reasonable interpretation.
Sec. 3b.202 Collection of information from individuals concerned.
(a) Any information collected by the Commission for inclusion in a
system of records which may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs,
will, to the greatest extent practicable, be collected directly from the
subject individual (see paragraph (d) of this section).
(b) The Commission will inform each individual whom it asks to supply
information about himself, on the form which it uses to collect the
information, or on a separate sheet that can be easily retained by the
individual, in language which is explicit, informative, and easily
understood, and not so lengthy as to deter an individual from reading
it, of:
(1) The specific provision of the statute or executive order of the
President, including the brief title or subject of that statute or order
which authorizes the solicitation of the information; whether disclosure
of such information is mandatory or voluntary; and whether the
Commission is authorized or required to impose penalties for failing to
respond;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses which may be made of the information, as
described in the Federal Register in the notice of the system of records
in which the information is maintained, and which are relatable and
necessary to a purpose described pursuant to paragraph (b)(2) of this
section; and
(4) The effects (beneficial and adverse) on the individual if any, of
not providing all or any part of the requested information.
(c) Social security numbers will not be required from individuals whom
the Commission asks to supply information unless the disclosure of the
number is required by Federal statute or unless disclosure is to the
Commission maintaining a system of records in existence and operating
before January 1, 1975, if such disclosure was required pursuant to a
statute or regulation adopted prior to such date to verify the identity
of an individual. When an individual is requested to disclose his social
security number to the Commission, he will be informed under what
statutory or other authority such number is solicited, what uses will be
made of it, whether disclosure is mandatory or voluntary, and if it is
mandatory, under what provisions of law or regulation.
(d) The use of third-party sources to collect information about an
individual may be appropriate in certain circumstances. In determining
when the use of third-party sources would be appropriate, the following
considerations will govern:
(1) When the information needed can only be obtained from a third
party;
(2) When the cost of collecting the information directly from the
individual concerned far exceeds the cost of collecting it from a third
party;
(3) When there is little risk that the information proposed to be
collected from the third party, if inaccurate, could result in an
adverse determination about the individual concerned.
(4) When there is a need to insure the accuracy of information
supplied by an individual by verifying it with a third party, or there
is a need to obtain a qualitative assessment of the individual's
capabilities or character; or
(5) When there are provisions for verifying any third-party
information with the individual concerned before making a determination
based on that information.
Third party sources, where feasible, will be informed of the purposes
for which information which they are asked to provide will be used. In
appropriate circumstances, pursuant to 5 U.S.C. 552a(k) (2), (5), and
(7), the Commission may assure a third party that his identity will not
be revealed to the subject of the collected information.
Sec. 3b.203 Rules of conduct.
(a) The Executive Director of the Commission has the overall
administrative responsibility for implementing the provisions of the
Privacy Act of 1974 and overseeing the conduct of all Commission
employees with respect to the act.
(b) It is the responsibility of the Comptroller of the Commission,
under the guidance of the Executive Director, to prepare the appropriate
internal administrative procedures to assure that all persons involved
in the design, development, or operation of any system of records, or in
collecting, using, or disseminating any individual record, and who have
access to any system of records, are informed of all rules and
requirements of the Commission to protect the privacy of the individuals
who are the subjects of the records, including the applicable provisions
of the FPC Standards of Conduct for Employees, Special Government
Employees and Commissioners, specifically 18 CFR 3.207(e) and 3.228(d).
(c) The Director, Office of Personnel Programs, is responsible for
establishing and conducting an adequate training program for such
persons whose official duties require access to and collection,
maintenance, use, and dissemination of such records.
(d) The General Counsel of the Commission is responsible for providing
legal interpretation of the Privacy Act of 1974, and for preparing all
agency rules and notices for official publication in compliance with the
act.
(e) Commission employees will be informed of all the implications of
their actions in this area, including especially:
(1) That there are criminal penalties for knowing and willful
unauthorized disclosure of material within a system of records; for
willful failure to publish a public notice of the existence of a system
of records; and for knowingly and willfully requesting or obtaining
records under false pretenses;
(2) That the Commission may be subject to civil suit due to failure to
amend an individual's record in accordance with his request or failure
to review his request in conformity with Sec. 3b.224; refusal to comply
with an individual's request of access to a record under Sec. 3b.221;
willful or intentional failure to maintain a record accurately pursuant
to Sec. 3b.201(b) and consequently a determination is made which is
adverse to the individual; or willful or intentional failure to comply
with any other provision of the Privacy Act of 1974, or any rule
promulgated thereunder, in such a way as to have an adverse effect upon
an individual.
Sec. 3b.204 Safeguarding information in manual and computer-based
record systems.
(a) The administrative and physical controls to protect the
information in the manual and computer-based record systems from
unauthorized access or disclosure will be specified for each system in
the Federal Register. The system managers, who are responsible for
providing protection and accountability of such records at all times and
for insuring that the records are secured in proper containers whenever
they are not in use or under direct control of authorized persons, will
be identified for each system of records in the Federal Register.
(b) Whenever records in the manual or computer-based record systems,
including input and output documents, punched cards, and magnetic tapes
or disks, are not under the personal control of an authorized person,
they will be stored in lockable containers and/or in a secured room, or
in alternative storage systems which furnish an equivalent or greater
degree of physical security. In this regard, the Commission may refer to
security guidelines prepared by the General Services Administration, the
Department of Commerce (National Bureau of Standards), or other agencies
with appropriate knowledge and expertise.
(c) Access to and use of records will only be permitted to persons
pursuant to Secs. 3b.221, 3b.224, and 3b.225. Access to areas where
records are stored will be limited to those persons whose official
duties require work in such areas. Proper control of data, in any form,
associated with the manual and computer-based record systems will be
maintained at all times, including maintenance of an accounting of
removal of the records from the storage area.
Subpart C--Rules for Disclosure of Records
Sec. 3b.220 Notification of maintenance of records to individuals
concerned.
(a) Upon written request, either in person or by mail, to the
appropriate system manager specified for each system of records, an
individual will be notified whether a system of records maintained by
the Commission and named by the individual contains a record or records
pertaining to him and filed under his individual name, or some other
identifying particular.
(b) The system manager may require appropriate identification pursuant
to Sec. 3b.222, and if necessary, may request from the individual
additional information needed to locate the record which the individual
should reasonably be expected to know, such as, but not limited to, date
of birth, place of birth, and a parent's first name.
(c) When practicable, the system manager will provide a written
acknowledgement of the inquiry within ten days of receipt of the inquiry
(excluding Saturdays, Sundays and legal public holidays) and
notification of whether or not a system of records maintained by the
Commission and named by the individual contains a record pertaining to
him and filed under his individual name or some other identifying
particular. If the system manager is unable to provide an answer within
the ten-day period, he will so inform the individual in writing, stating
the reasons therefor (for good cause shown), and when it is anticipated
that notification will be made. Such an extension will not exceed
fifteen days from receipt of the inquiry (excluding Saturdays, Sundays,
and legal public holidays).
(d) ``For good cause shown'', as used in all sections of this part,
includes circumstances such as the following: Where a search for and/or
collection of requested records from inactive storage, field offices, or
other establishments is required; where a voluminous amount of data is
involved; where information on other individuals must be separated or
expunged from the record; or where consultations are required with other
agencies or with others having a substantial interest in the
determination of the request.
Sec. 3b.221 Access of records to individuals concerned.
(a) Upon written request, either in person or by mail, to the
appropriate system manager specified for each system of records, any
individual may gain access to records or information in a system of
records pertaining to him and filed under his individual name, or some
other identifying particular, to review and to have a copy made of all
or any portion thereof in a form comprehensible to him.
(b) A person of his own choosing may accompany the individual to whom
the record pertains when the record is disclosed [see Sec. 3b.222(e)].
(c) Before disclosure, the following procedure may apply:
Medical or psychological records will be disclosed directly to the
individual to whom they pertain unless, in the judgment of the system
manager, in consultation with a medical doctor or a psychologist, access
to such records could have an adverse effect upon the individual. When
the system manager and a doctor determine that the disclosure of such
information could have an adverse effect upon the individual to whom it
pertains, the system manager may transmit such information to a medical
doctor named by the requesting individual.
(d) The system manager will provide a written acknowledgement of the
receipt of a request for access within ten days of receipt (excluding
Saturdays, Sundays, and legal public holidays). Such acknowledgement
may, if necessary, request any additional information needed to locate
the record which the individual may reasonably be expected to know, and
may require appropriate identification pursuant to Sec. 3b.222 of this
part. No acknowledgment is required if access can be granted within the
ten-day period.
(1) If access can be granted, the system manager will notify the
individual, in writing, as to when, and whether access will be granted
in person or by mail, so that access will be provided within twenty days
of the receipt of the request (excluding Saturdays, Sundays, and legal
public holidays). If the system manager is unable to provide access
within twenty days of receipt of the request, he will inform the
individual in writing as to the reasons therefor (for good cause shown),
and when it is anticipated that access will be granted. If the expected
date of access indicated in the written notification to the individual
cannot be met, the system manager will advise the individual in writing
of the delay, the reasons therefor (for good cause shown), and of a
revised date when access will be granted. Such extensions will not
exceed thirty days from receipt of the request (excluding Saturdays,
Sundays, and legal public holidays).
(2) If access cannot be granted, the system manager will inform the
individual, in writing, within twenty days of receipt of the request
(excluding Saturdays, Sundays, and legal public holidays) of the refusal
of his request; the reasons for the refusal; the right of the
individual, within thirty days of receipt of the refusal, to request in
writing a review of the refusal by the Chairman of the Federal Power
Commission, 825 North Capitol Street, NE, Washington, DC 20426, or by an
officer designated by the Chairman pursuant to Sec. 3b.224(f); and the
right of the individual to seek advice or assistance from the system
manager in obtaining such a review.
(e) The Chairman, or officer designated pursuant to Sec. 3b.224(f),
not later than thirty days (excluding Saturdays, Sundays, and legal
public holidays) from the date of receipt of the individual's request
for review will complete such review, unless, for good cause shown, the
Chairman, or designated officer, extends the thirty-day period in
writing to the individual with reasons for the delay and the approximate
date on which the review is expected to be completed. Such an extension
will not exceed thirty-five days from receipt of the request for review
(excluding Saturdays, Sundays and legal public holidays). The Chairman,
or designated officer, will make one of the following determinations:
(1) Grant the individual access to the requested record and notify the
individual, in writing, as to when, and whether access will be granted
in person or by mail; or
(2) Inform the individual in writing of the refusal, the reasons
therefor, and the right of the individual to seek judicial review of the
refusal of his request for access.
(f)(1) The Commission will deny an individual access to the following
records pertaining to him:
(i) Information compiled in reasonable anticipation of a civil action
or proceeding;
(ii) Records listed in the Federal Register as exempt from certain
provisions of the Privacy Act of 1974, pursuant to Subpart D of this
Part; and
(iii) Records which may be required to be withheld under other
statutory provisions.
(2) The Commission will not deny an individual access to a record
pertaining to him because that record is permitted to be withheld from
members of the public under the Freedom of Information Act, 5 U.S.C.
552, as amended.
(g) Disclosure of an original record will take place in the presence
of the Commission representative having physical custody of the record.
Sec. 3b.222 Identification requirements.
The appropriate system manager specified for each system of records
will require reasonable identification from individuals to assure that
records in a system of records are disclosed to the proper person.
Identification requirements will be consistent with the nature of the
records being disclosed.
(a) Disclosure of records to the individual to whom the record
pertains, or under whose name or some other identifying particular the
record is filed, in person, requires that the individual show an
identification card. Employee identification, a Medicare card, or a
driver's license are examples of acceptable identification. Documents
incorporating a picture and signature of the individual are preferred.
(b) For records disclosed by mail, the system manager will require
certain minimum identifying information: name, date of birth, or the
system's personal identifier if known to the individual. A comparison of
the signatures of the requester and those in the record will be used to
determine identity.
(c) If the system manager determines that the data in the record is so
sensitive that unauthorized access could cause harm or embarrassment to
the individual involved, a signed notarized statement asserting identity
or some other reasonable means to verify identity will be required.
(d) If an individual can provide no suitable information or documents
for identification, the system manager will require a signed statement
from the individual asserting his identity and stipulating that the
individual understands that knowingly or willfully seeking or obtaining
access to records about an individual under false pretenses is a
misdemeanor punishable by a fine of up to $5,000.
(e) The system manager will require an individual who wishes to be
accompanied by another person when reviewing his records to furnish a
signed written statement authorizing discussion of his records in the
presence of the accompanying person.
(f) The appropriate identification requirements of this section may be
required by a system manager from an individual to whom a record does
not pertain who seeks access to the record pursuant to Sec. 3b.225.
(g) No individual will be denied notification of maintenance of a
record pursuant to Sec. 3b.220 or access to a record pursuant to
Secs. 3b.221 and 3b.224 for refusing to disclose a social security
number.
(h) No verification of identity will be required of individuals
seeking notification of or access to records which are otherwise
available to a member of the public under the Freedom of Information
Act, 5 U.S.C. 552, as amended.
Sec. 3b.223 Fees.
(a) Fees will be charged for the direct cost of duplication of records
in a system of records when copies are requested by the individual
seeking access to the records. Any person may obtain a copy of the
Commission's schedule of fees by telephone, by mail or by coming in
person to the office of the appropriate system manager who is
responsible for the protection and accountability of the desired record.
Requests for copies of requested records and payment therefor must be
made to the system manager. Fees will only be charged for costs of $2 or
more.
(b) Where practicable, self-service duplication of requested documents
may also be made on duplicating machines by the person requesting the
records, on a reimbursable basis to the system manager, in the presence
of the Commission representative having physical custody of the record.
Where data has been extracted from one of the Commission's systems of
records on magnetic tape or disks, or computer files, copies of the
records of these files may be secured on a reimbursable basis upon
written request to the appropriate system manager. The fee will vary for
each requirement, depending on size and complexity.
(c) No fee will be charged in the following instances:
(1) When the system manager determines that he can grant access to
records only by providing a copy of the record through the mail because
he cannot provide reasonable means for the individual to have access in
person;
(2) For search and review of requested records to determine if they
fall within the disclosure requirements of this part; and
(3) When the system manager makes a copy of the record as a necessary
part of the process of making it available for review.
(d) Except for requests made by Government agencies, certification of
copies of any official Commission record shall be accompanied by a fee
of $2 per document.
Sec. 3b.224 Requests to amend records and disputes thereon.
(a) Upon written request, either in person or by mail, to the
appropriate system manager specified for each system of records, any
individual may amend records in a system of records pertaining to him
and filed under his individual name or some other identifying
particular. Such requests should contain identifying information needed
to locate the record, a brief description of the item or items of
information to be amended, and information in support of the request for
amendment. The individual may obtain assistance in preparing his request
to amend a record from the appropriate system manager.
(b) The system manager will provide a written acknowledgement of the
receipt of a request to amend within ten days of receipt (excluding
Saturdays, Sundays, and legal public holidays). Such an acknowledgement
may, if necessary, request any additional information needed to make a
determination which the individual may reasonably be expected to know,
and verification of identity consistent with Sec. 3b.222. The
acknowledgement will clearly describe the request and advise the
individual requesting the amendment when he may expect to be notified of
action taken on the request. No acknowledgement is required if the
request can be reviewed, processed, and the individual notified of
compliance or denial within the ten-day period.
(c) The system manager will complete the review and advise the
individual in writing of the results within twenty days of the receipt
of the request (excluding Saturdays, Sundays, and legal public
holidays). If the system manager is unable to complete the review within
twenty days of the receipt of the request, he will inform the individual
in writing as to the reasons therefor (for good cause shown) and when it
is anticipated that the review will be completed. If the completion date
for the review indicated in the acknowledgement cannot be met, the
system manager will advise the individual in writing of the delay, the
reasons therefor (for good cause shown), and of a revised date when the
review may be expected to be completed. Such extensions will not exceed
thirty days from receipt of the request (excluding Saturdays, Sundays,
and legal public holidays). The system manager will take one of the
following actions:
(1) Make the requested correction or amendment; so advise the
individual in writing; and, where an accounting of the disclosure of the
record was made pursuant to Sec. 3b.226, advise all previous recipients
of the record in writing of the fact that the amendment was made and the
substance of the amendment [see Sec. 3b.225(d)]; or
(2) Inform the individual in writing of the refusal to amend the
record in accordance with the request; the reasons for the refusal
including any of the standards which were employed pursuant to paragraph
(d) of this section in conducting the review; the right of the
individual, within thirty days of receipt of the refusal, to request in
writing a review of the refusal by the Chairman of the Federal Power
Commission, 825 North Capitol Street, NE, Washington, DC 20426, or by an
officer designated by the Chairman pursuant to paragraph (f) of this
section; and the right of the individual to seek advice or assistance
from the system manager in obtaining such a review.
(d) In reviewing a record in response to a request to amend, the
system manager and the Chairman, or the officer he designates pursuant
to paragraph (f) of this section, shall assess the accuracy, relevance,
timeliness and completeness of the record. They shall consider the
record in terms of the criteria established in Sec. 3b.201.
(e) The Chairman, or officer designated pursuant to paragraph (f) of
this section, not later than thirty days (excluding Saturdays, Sundays,
and legal public holidays) from the date of receipt of the individual's
request for review, will complete such review, unless, for good cause
shown, the Chairman, or designated officer, extends the thirty-day
period in a writing to the individual with reasons for the delay and the
approximate date on which the review is expected to be completed. Such
an extension will not exceed thirty-five days from receipt of the
request for review (excluding Saturdays, Sundays, and legal public
holidays). The Chairman, or designated officer, will make one of the
following determinations:
(1) Make the correction in accordance with the individual's request
and proceed as in paragraph (c)(1) of this section; or
(2) Inform the individual in writing of:
(i) The refusal to amend the record in accordance with the request,
(ii) The reasons therefor, including any of the standards which were
employed pursuant to paragraph (d) of this section in conducting the
review;
(iii) The right of the individual to file with the Chairman, or
designated officer, a concise written statement setting forth the
reasons for his disagreement with the decision;
(iv) The fact that the statement of disagreement will be made
available to anyone to whom the record is subsequently disclosed,
together with the portion of the record which is disputed clearly noted,
and, with, at the discretion of the Chairman, or designated officer, a
brief statement by the Chairman, or designated officer, summarizing the
reasons for refusing to amend the record;
(v) Where an accounting of the disclosure of the record was made
pursuant to Sec. 3b.226, the fact that prior recipients of the disputed
record will be provided a copy of the individual's statement of
disagreement, with the portion of the record which is disputed clearly
noted, and, at the Chairman's or designated officer's discretion, the
statement summarizing the refusal to amend [see Sec. 3b.225(d)]; and
(vi) The individual's right to seek judicial review of the refusal to
amend.
(f) The Chairman may designate, in writing, another officer of the
Commission to act in his capacity for the purposes of this part. The
officer will be organizationally independent of or senior to the system
manager who made the initial determination and will conduct a review
independent of the initial determination.
Sec. 3b.225 Written consent for disclosure.
(a) The Commission will not disclose any record which is contained in
a system of records by any means of communication to any person, or to
any other agency, unless it has the written request by, or the prior
written consent of, the individual to whom the record pertains and under
whose individual name, or some other identifying particular, the record
is filed. The written request or consent should include, at a minimum,
the general purposes for or the types of recipients to whom disclosure
may be made. The fact that an individual is informed of the purposes for
which information will be used when information is collected pursuant to
Sec. 3b.202(b)(2) will not constitute consent.
(b) A written request or consent is not required if the disclosure is:
(1) To those officers and employees of the Commission who have a need
for the record in the performance of their duties;
(2) Required under the provisions of the Freedom of Information Act, 5
U.S.C. 552, as amended;
(3) For a routine use as defined in Sec. 3b.2(g) of this part and as
described in the public notice for each system of records;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the United States Code;
(5) To a recipient who has provided the appropriate system manager
specified for each system of records with advance adequate written
assurance that the record will be used solely as a statistical research
or reporting record, and the record is to be transferred in a form that
is not individually identifiable. The written statement of assurance
should include at a minimum:
(i) A statement of the purpose for requesting the record; and
(ii) Certification that the record will only be used for statistical
purposes.
In addition to stripping personally identifying information from records
released for statistical purposes, the system manager will ensure that
the identity of the individual cannot reasonably be deduced or
determined by combining various statistical records, or by reference to
public records or other available sources of information;
(6) To the National Archives of the United States, pursuant to 44
U.S.C. 2103, as a record which has sufficient historical or other value
to warrant its continued preservation by the United States Government,
or for the evaluation by the Administrator of General Services or his
designee to determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality, or his
delegated official, has made a written request to the appropriate system
manager specifying the particular portion of the record desired and the
law enforcement activity for which the record is being sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual (not necessarily the
individual to whom the record pertains), if, upon disclosure,
notification of such is sent to the last known address of the individual
to whom the record pertains;
(9) To either House of Congress, or to any committee or subcommittee
thereof, on a matter within its jurisdiction;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(c) When a record is disclosed under compulsory legal process and such
process becomes a matter of public record, the system manager will make
reasonable efforts to notify the individual to whom the record pertains.
A notice will be sent to the individual's last known address noted in
the Commission's files.
(d) The appropriate system manager shall notify all prior recipients
of records, disclosure to whom an accounting was made pursuant to
Sec. 3b.226, of any amendments made to the records, including
corrections, amendments and notations of dispute made pursuant to
Secs. 3b.224(c)(1) and 3b.224(e)(1) and (2)(v), within ten days of
receipt of the corrected information or notation of dispute (excluding
Saturdays, Sundays, and legal public holidays), except under unusual
circumstances (see circumstances described in Sec. 3b.220(d)).
(e) The content of the records disclosed under this section shall be
maintained pursuant to the standards established in Sec. 3b.201(c).
Sec. 3b.226 Accounting of disclosures.
(a) The appropriate system manager specified for each system of
records will keep an accurate written account of all disclosures of
records made to any person or to any other agency with the written
consent or at the written request of the individual to whom the record
pertains and pursuant to Sec. 3b.225(b)(3)-(11). The account will
include the following information:
(1) The date, nature, and purpose of each disclosure;
(2) The name and address of the person or agency to whom the
disclosure is made; and
(3) A reference to the justification or basis upon which the release
was made, including reference to any written document required as when
records are released for statistical or law enforcement purposes
pursuant to Sec. 3b.225(b) (5) and (7).
(b) Each system manager will retain the accounting made under
paragraph (a) of this section for at least five years from the date of
disclosure for which the accounting is made, or the life of the record,
which ever is longer.
(c) Except for disclosures made for law enforcement purposes pursuant
to Sec. 3b.225(b)(7), and unless the system of records has been exempted
from this provision pursuant to Subpart D of this part, each system
manager will make the accounting made under paragraph (a) of this
section available to the individual named in the record at his written
request.
(d) The accounting of disclosures is not a system of records under the
definition in Sec. 3b.2(e) and no accounting will be maintained for
disclosure of the accounting of disclosures.
Sec. 3b.227 Mailing lists.
An individual's name and address maintained by the Commission will not
be sold or rented for commercial or other solicitation purposes not
related to the purposes for which the information was collected, unless
such sale or rental is specifically authorized by law. This provision
shall not be construed to require the withholding of names or addresses
otherwise permitted to be made public, as pursuant to the Freedom of
Information Act, 5 U.S.C. 552, as amended.
Subpart D--Rules for Exemptions
Sec. 3b.250 Specific exemptions.
Any system of records maintained by the Commission may be exempt from
certain provisions of the Privacy Act of 1974, and the appropriate
sections of this part promulgated pursuant thereto, if the following
requirements are met:
(a) The system of records falls within one or more of the following
categories:
(1) Records subject to the provisions of 5 U.S.C. 552(b)(1) as
classified material;
(2) Investigatory material compiled for law enforcement purposes
[except to the extent that the system is more broadly exempt under 5
U.S.C. 552a(j)(2) covering records maintained by an agency whose
principal function pertains to the enforcement of criminal laws]
provided, however, that is such record is used as a basis for denying an
individual any right, privilege, or benefit to which the individual
would be entitled in the absence of that record, the individual must be
granted access to that record except to the extent that access would
reveal the identity of a confidential source who furnished the
information to the Government under an express promise that his identity
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that his identity would be held in confidence;
(3) Records maintained to provide protective services to the President
of the United States or other individuals pursuant to 18 U.S.C. 3056;
(4) Records required by statute to be maintained and used solely as
statistical records;
(5) Investigatory material compiled solely for determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contracts, or access to classified
information, but only to the extent that disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that his identity would be held in
confidence, or, prior to September 27, 1975, under an implied promise
that his identity would be held in confidence;
(6) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process; or
(7) Material used to evaluate potential for promotion in the armed
services, but only to the extent that the disclosure of such material
would reveal the identity of a source who furnished the information to
the Government under an express promise that his identity would be held
in confidence, or, prior to September 27, 1975, under an implied promise
that his identity would be held in confidence;
(b) Publication in the Federal Register is made in accordance with the
requirements (including general public notice) of the Administrative
Procedure Act, 5 U.S.C. 553, to include, at a minimum:
(1) The name of the system of records;
(2) The specific provision or provisions of the Privacy Act of 1974,
and the appropriate sections of this part promulgated pursuant thereto,
from which the system is to be exempted; and
(3) The reasons for the exemption; and
(c) The system of records is exempted from one or more of the
following provisions of the Privacy Act and the appropriate sections of
this part promulgated pursuant thereto:
(1) 5 U.S.C. 552a(c)(3); 18 CFR 3b.226(c)--Making the accounting of
disclosures available to the individual named in the record at his
request;
(2) 5 U.S.C. 552a(d); 18 CFR 3b.221, 3b.224--Granting an individual
the right of access to his records and permitting him to request
amendment of such;
(3) 5 U.S.C. 552a(e)(1); 18 CFR 3b.201(a)--Requiring maintenance of
relevant and necessary information in a system of records as required by
statute or executive order of the President;
(4) 5 U.S.C. 552a(e)(4)(G); 18 CFR 3b.3(a)(8)--Requiring a description
of procedures for determining if a system contains a record on an
individual in the public notice of the system of records;
(5) 5 U.S.C. 552a(e)(4)(H); 18 CFR 3b.3(a)(9)--Requiring a description
of procedures for gaining access to and contesting the contents of a
record in the public notice of the system of records;
(6) 5 U.S.C. 552a(e)(4)(I); 18 CFR 3b.3(a)(10)--Requiring a
description of the categories of the sources of records in the public
notice of the system of records; and
(7) 5 U.S.C. 552a(f); 18 CFR 3b.220-3b.224--Requiring agency rules for
determining if an individual is the subject of a record, for handling
requests for access, for granting requests for access, for amending
records, and for fees.