Privacy Act of 1974; Publication of Compilation of Privacy Act Systems of Records

Federal RegisterJan 9, 2009

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DEPARTMENT OF ENERGY

Privacy Act of 1974; Publication of Compilation of Privacy Act Systems of Records

AGENCY:

U.S. Department of Energy.

ACTION:

Notice.

SUMMARY:

As required by the Privacy Act of 1974, 5 U.S.C. 552a, and the Office of Management and Budget (OMB) Circular A-130, the Department of Energy including the National Nuclear Security Agency (NNSA) (hereinafter referred to collectively as “DOE” or “the Department”) is publishing its compilation of Privacy Act Systems of Records. This notice provides an accurate and complete text of the agency's systems of records, and adopts many of the recommendations that were made to DOE in comments that were submitted concerning proposed amendments to the compilation published by DOE on April 2, 2008.

DATES:

The compilation of Privacy Act Systems of Records is effective January 9, 2009. The proposed new system of records will be open for comments until February 18, 2009. A final notice will be published addressing any comments received and adopting the notice.

ADDRESSES:

Written comments on the proposed new system of records should be directed to Verlette L. Gatlin, Deputy Director, Office of Information Resources, U.S. Department of Energy, MA-90, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-5955.

FOR FURTHER INFORMATION CONTACT:

Verlette L. Gatlin, Deputy Director, Office of Information Resources, MA-90, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-5955, Jerry Hanley, Chief Privacy Officer, Office of Information Resources, MA-90, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-0483, and Isiah Smith, Deputy Assistant General Counsel for General Law, GC-77, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington DC 20585, (202) 586-8618.

SUPPLEMENTARY INFORMATION:

I. Background

II. Discussion on Comments

III. Proposed New System of Records

IV. Comment Procedures

I. Background

DOE published a notice of its proposed compilation of its Privacy Act systems of records on April 2, 2008, at 73 FR 18044. The notice provided an accurate and complete text for the sixty-two systems of records established by DOE under the Privacy Act. Each system notice provided a description of the system of records, identified the purpose and authority for collecting and maintaining the information, reflected administrative changes that had been made, identified the appropriate DOE locations, and incorporated all routine uses. In addition, the notice proposed amendments to three existing systems of records, added a new routine use to all systems of records, established a new system of records, and deleted a system of records.

In the April 2, 2008

Federal Register

Notice, DOE provided a date of April 2, 2008 for the public to comment on the proposed amendments to the Privacy Act compilation. However, on April 9, 2008 at 73 FR 19198, DOE published a notice correcting the comment date to May 9, 2008, effectively providing a 37-day period for the public to comment on the proposed amendments. The Department received numerous internal comments and no public comments. An analysis of the comments and the response by the DOE are provided in this notice.

II. Discussion of Comments

Comment:

The Department received a comment stating that the DOE Headquarters, Washington, DC System Location for new system DOE-60 General Correspondence Files, should not be specific to Forrestal Building, and should be changed to the broader U.S. Department of Energy, Headquarters, 1000 Independence Avenue, SW., Washington, DC 20585 to provide broader coverage.

Response:

The comment is accurate. The text has been revised accordingly with this notice.

Comment:

The Department received several comments related to the Correlations section of the proposed Compilation. One commenter stated that, pursuant to an Office of Science (SC) restructure since the last publication of the Privacy Act Compilation, Field Site Offices may no longer be offices under the Field Location Office organization, but in all instances the Field Site Offices and their M&O Laboratories do maintain records under Field Location Office jurisdiction. Accordingly, in the Correlations section, the title

“Correlation of DOE Field Locations and Their Offices”

should be changed to

“Correlation of DOE Field Locations and Field Site Offices, M&O Laboratories, and Other Offices Maintaining Records under Field Location Jurisdiction.”

That commenter also stated that with respect to the offices that constitute the SC Integrated Support Center (Chicago and Oak Ridge), some information is outdated or inconsistent with the SC Integrated Support Center Service Provider Matrix under which they operate. Other commenters suggested additional updates to the Correlation section and provided supplemental information for updating that section.

Response:

The comments are accurate. The text has been revised accordingly with this notice.

Comment:

The Department received several comments related to System Locations in the proposed Compilation. One commenter stated that Field

System Locations

in all Field portions of Privacy Act Systems should be the location having jurisdiction over records in the System,

i.e.

, the location where the jurisdictional System Manager and cognizant Privacy Act Officer reside, not necessarily the physical location of the records. This is especially necessary in the 31 Systems of Records that provide that the

System Manager

for the Field portion of the System is the Manager (or Field subject matter Manager) of the

System Location

listed (DOE-1, 3, 5, 8, 13, 14, 16, 26, 28, 31, 33, 34, 35, 38, 41, 43, 44, 45, 46, 48, 50, 51, 52, 55, 56, 60, 63, 75, 77, 81, and 84). Field Locations (the DOE Field Locations listed in the

“Correlations”

section) should be listed accordingly as the only

System Locations

for their respective portions of the system, and any correlating Field Site Offices, M&O laboratories, and other offices maintaining records for the Field Location should be removed as

System Locations,

because they fall under the umbrella of the Field Location and would be listed as such under that Field Location in the

Correlations

section.

Notification and Records Access

provisions of those Systems are consistent with this revision, because they direct public and routine users to submit their requests to the Privacy Act Officer at the respective

System Location

listed. Also, if Field Site Offices, M&O laboratories, and other offices maintaining records for Field Locations were listed as

System Locations,

the public would be misdirected to submit their requests to locations where no Privacy Act Officer exists. Other commenters requested updates to specific System Locations and provided updated supplemental information for updating System Locations.

Response:

The Privacy Act of 1974, 5 U.S.C. 552a Section (e)(4)(A) requires agencies to publish the name of the system and the location where the records are being maintained. On July 9, 1975 at 40 FR 28948, the Office of

Management and Budget (OMB) published guidance to agencies implementing the Privacy Act. With respect to section (e)(4)(A), the OMB guidance stated “agencies will specify each city/town and site at which the system of records is located.” This includes the locations where records have been retired and sent to record centers. As currently structured the

“Correlation Section”

provides the public and routine users with the additional information necessary to determine which Field Location has jurisdiction over the records maintained for and by its correlating Field Site Offices, M&O and Laboratory sites. To determine the appropriate Privacy Act Officer for these locations, the additional information included in the

“Correlation Section”

and the updated language in the

“Notification Procedures”

directs the reader to the appropriate site. Although, the requester made a good point, the agency however, is correct providing a listing in the individual notices all of the field locations where records are being maintained. The various system managers for the systems of records were contacted and it was determined that this is consistent with the Privacy Act and the guidance provided by OMB. Therefore, the comment is not being adopted.

Comment:

The Department received a comment stating that in DOE-5, Personnel Records of Former Contractor Employees, in the Purpose section, “with” should be added to the last line to now read “associated with their employment.”

Response:

The comment is accurate. The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that in the

Categories of Individuals Covered

section of DOE-11, Emergency Operations Notification Call List, “in DOE-11” should be added to the parenthetical to read (“hereinafter referred to in DOE-11 collectively as “DOE”). The commenter stated that without this change, from that point forward in the Compilation, the term “DOE” would mean DOE and NNSA.

Response:

The comment is inaccurate. The text is not being revised because NNSA is a part of DOE.

Comment:

The Department received a comment stating that, in spite of the fact that the

Categories of Individuals Covered

section under DOE-14, Report of Compensation includes DOE employees, the

Purpose

section only refers to reasonableness of compensation paid to top contractor personnel. If the full scope of data is compensation data on Contractor Key Personnel, DOE employees should not be mentioned in the

Categories

section. The commenter also stated that “up to $100,000” should be “exceeding $100,000.00,” based upon current salary information.

Response:

DOE agrees that the Categories of Individuals section should be revised to include only contractor employees, and the text of that section has been revised accordingly with this notice. DOE also agrees that the Categories of Records section should reflect the appropriate salary dollar threshold. However, based on unique provisions in DOE's contracts with its contractors, contractual salary dollar thresholds may differ. Therefore, DOE has revised with this notice the text of the Categories of Records section to replace “current salary up to $100,000” with “current salary meeting the threshold level for reporting as specified in the respective contract.”

Comment:

The Department received a comment stating that the new DOE-60 General Correspondence Files is missing the

Purpose

section. The commenter also stated that the supplementary information in the Preamble to the notice is inconsistent with the discussion in the

Categories of Records in the System

section. The Preamble states (1) that records to be maintained in this system “pertain to general correspondence submitted to the Heads of the Departmental Program Offices and the Heads of the Departmental Field Offices,” (2) that the categories of records to be covered by the system include “incoming correspondence that may include name, address, telephone number, organization, date of birth, and supporting documentation”, and (3) that “Files may also contain a copy of any response letters and documentation required to prepare the response.” In contrast, the

Categories of Records in the System

section description is limited to “Name, address of correspondent, and copies of the agency response.” It doesn't include the balance of the items listed in the supplementary information, and it doesn't restrict the correspondence to “general correspondence submitted to the Heads of the Departmental Program Offices and the Heads of the Departmental Field Offices.” The commenter suggested revising the

Categories of Records in the System

to provide the additional clarification expressed in supplementary information at the beginning of the proposed Compilation. Also, the commenter stated that like DOE-60, the system DOE-58 General Correspondence Files of Office of Secretary, Deputy Secretary and Under Secretary of Energy, also should include in its

Categories of Records in the System

section general correspondence submitted to those offices by individuals. DOE-58 currently only includes copies of the agency's response to the individual.

Response:

The comments are accurate. The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that the Counterintelligence organizations in the field report directly to the Office of Intelligence and Counterintelligence in Headquarters. The Field Offices and Support/Service Centers do not have responsibility for their records and any FOIA/PA requests should be directed to the Headquarters Counterintelligence Director. Accordingly, in DOE-84 Counterintelligence Investigative Records, the

System Manager

section should be revised to remove the “Field Offices,” and the

Notification Procedures

section should be revised to remove the following: “or the Privacy Act Officer at the appropriate address identified above under

System Locations

. For records maintained by the Laboratory, Site or Area Office, the request should be directed to the Privacy Act Officer that has jurisdiction over that site.”

Response:

The system manager(s) section of the notice informs the public of the physical address of the manager of the record. This is in conjunction with the

“System Location”

section (See comment on

“System Locations.”

) It is inaccurate to say that these field managers do not have responsibility for these records. As managers of these records they are responsible for the records and must follow the rules set by the Department for collecting, maintaining, safeguarding and storing the records. By removing the field system managers from the notice would be inconsistent with OMB's guidance. Therefore, this portion of the comment will not be adopted.

The Privacy Act does not preclude individuals from submitting requests to those offices where records are maintained. If requests have been misdirected, the Department's regulation implementing the Privacy Act (Title 10 Code of Federal Regulations Section 1008) provides procedures how to process misdirected requests. We have considered the comment and the

“Notification Procedures”

section will be revised to instruct individuals to submit Privacy Act requests for these records to the Headquarters Privacy Act Officer.

Comment:

The Department received a comment stating that if the address of the

System Location

were included in

the

Correlation

list, it would not have to be repeated each time the

System Location

is identified in the System.

Response:

DOE believes that although there may be some efficiency in the suggested change, such a change would only be applicable to certain locations and would cause potential requesters to take an extra step to locate the information needed to submit a request. Also, not repeating the system locations within the individual notices would not be consistent with OMB's guidance (see comment on

“System Locations.”

) Therefore, the comment is not being adopted and the text is not being revised.

Comment:

The Department received a comment stating that because

“Purpose”

sections throughout the Compilation provide clarification or add to the

“Categories of Records in the System”

sections, the commenter suggests adding language to the beginning of each Purpose section to tie the two sections,

e.g.

, “For those records described in

Categories of Records in the System,

such records are maintained. * * *”

Response:

DOE agrees with this suggested administrative change. The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that in all Systems involving records maintained in the Field, it would be clearer to the public if there was a revision to the

“Notification Procedures”

boilerplate sentence beginning “For the records maintained. * * *” to “For records maintained by the M&O Laboratory or Field Site Office, the request should be directed to the Privacy Act Officer at the System Location listed as having jurisdiction over that site—see the

Correlation of DOE Field Locations and Field Site Offices, M&O Laboratories, and Other Offices Maintaining Records under Field Location Jurisdiction

at the beginning of this Compilation of Systems of Records.”

Response:

DOE agrees with this comment with two minor revisions. (1) Consistent with this commenter's previous comment regarding the organization within the Office of Science, such requests should be directed to the Privacy Act Officer at the System Location listed as having jurisdiction over “the records” for that site; and (2) better direction to requesters can be provided by stating “* * * as listed in the

Correlation

* * *” rather than “see the

Correlation

* * *” The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that the

“Retrievability”

sections in some of the Systems specify that the records in the System are those retrieved by name or other personal identifier (

e.g.

, SSN, badge number). Other Systems indicate that the record MAY BE retrieved by name or personal identifier. The commenter stated that this language is contrary to the Privacy Act and its implementing regulations (10 CFR 1008), which define “System of Records” as “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.” The commenter stated that the

Retrievability

sections should be amended to reflect that records in the system ARE retrieved by name and/or whatever other personal identifier(s) are applicable to the system.

Response:

The comment is accurate. The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that in the

Purpose

section of DOE-38 Occupational and Industrial Accident Records, “contract” should be “contractor.”

Response:

The comment is accurate. The text has been revised accordingly with this notice.

Comment:

The Department received a comment stating that in DOE-24 Land Records System, something is missing in the first sentence of the

“Purpose”

section, before “grants, licenses.”

Response:

After consultation with the Privacy Act Officer and Counsel at one of the System Locations for this system, DOE has determined that there is in fact text missing from the language in the

Purpose

section of this system. The missing text in the

“Purpose”

section has been added accordingly with this notice.

Comment:

The Department received a comment stating that since “Department of Energy” has been defined in the Introduction as either “DOE” or “Department” there is no need to add the parenthetical in subsequent usage (

e.g.

, DOE-9,

Categories of Individuals

Response:

DOE agrees with the suggested administrative changes. The text has been revised throughout the Compilation accordingly with this notice.

III. Proposed New System of Records

DOE-17 DOE Alert System

The Department proposes to establish a new system of records entitled DOE-17 “DOE Alert System.” The Roam Secure Alert Network (RSAN) software is the prime component of the DOE Alert System. It provides the capability to send text messages to text-capable devices of DOE Headquarters employees in the event of an emergency. It is one of numerous communication systems that allow quick, effective, and efficient information dissemination. It is not the primary notification system for an event, however, it can be used to provide additional information following an even occurrence.

The information in the system will pertain to DOE employees and contractor employees. It is a voluntary system that employees sign up to be alerted in case of an event or emergency. The information will be used by the Department to contact only the registered users of the system in case of an event.

The records will be stored as paper records and electronic media. Information is retrieved by the name of the individual. The authorities for the DOE Alert System are Title 42 United States Code (U.S.C.) Section 7101

et seq.

; and 50 U.S.C. 2401

et seq.

The Department does not believe the maintenance of this system will have any substantial effect on privacy and other rights of individuals, particularly since the participation in the program is strictly voluntary and the information is provided by the employee. The system is necessary to efficiently administer the program.

IV. Comment Procedure

As provided by 5 U.S.C. 552a(e)(11) interested persons are invited to submit written data, views or comments related to the proposed new system of records to the U.S. Department of Energy, Office of Information Resources, MA-90, 1000 Independence Avenue, SW., Washington, DC 20585. “Comments” should be written on the outside of the envelope and on the documents submitted to DOE with the designation “Department of Energy Privacy Act Systems of Records Proposal.” The comments and all other relevant information will be considered by DOE before the proposed new system of records is adopted in its final form.

A final notice will be published addressing any comments received and adopting the notice upon the expiration of the 40-day advance notice period for informing Congress and the Office of Management and Budget (OMB) of the proposed new system.

The Department is submitting to Congress the report on the new system as required by OMB Circular A-130 concurrently with publication of this

Federal Register

notice.

Set forth below is the compilation of DOE's Privacy Act Systems of Records that includes a Table of Contents,

Correlation of Offices and the text of the individual systems of records.

Issued in Washington, DC on December 17, 2008.

Ingrid Kolb,

Director, Office of Management.

Compilation of Systems of Records

Correlation of DOE Field Locations and Field Site Offices, M&O Laboratories, and Other Offices Maintaining Records Under Field Location Jurisdiction

Bonneville Power Administration

Carlsbad Field Office:

Waste Isolation Pilot Project Office.

Environmental Management Consolidated Business Center:

West Valley Demonstration Project

Golden Field Office:

National Renewable Energy Laboratory

Idaho Operations Office:

Idaho National Laboratory;

Radiological and Environmental Sciences Laboratory.

National Energy Technology Laboratory (NETL) Pittsburgh:

NETL Albany, OR,

NETL Fairbanks, AK,

NETL Morgantown, WV,

NETL Tulsa, OK.

NNSA Service Center (Albuquerque) (formerly Albuquerque Operations Office):

Kansas City Site Office,

Kansas City Plant,

Lawrence Livermore National Laboratory,

Livermore Site Office,

Los Alamos Site Office,

Los Alamos National Laboratory,

Nevada Site Office (formerly NNSA Service Center (Nevada),

Pantex Site Office,

Pantex Plant,

Sandia Site Office,

Sandia National Laboratory,

NNSA Y-12 Site Office (formerly Y-12 Area Office),

Y-12 National Security Complex (formerly Y-12 Plant).

NNSA Naval Reactors Laboratory Field Office—Pittsburgh Naval Reactors:

Bettis Atomic Power Laboratory,

Naval Reactors Facility, Idaho Falls, ID.

NNSA Naval Reactors Laboratory Field Office—Schenectady Naval Reactors:

Knolls Atomic Power Laboratory,

Kesselring Site.

Office of Repository Development (formerly Yucca Mountain Site Characteristic Office):

Office of Science Chicago Office (formerly Chicago Operations Office):

Ames Site Office,

Ames Laboratory,

Argonne Site Office,

Argonne National Laboratory,

Brookhaven Site Office,

Brookhaven National Laboratory,

Fermi Site Office,

Fermi National Accelerator Laboratory,

Berkeley Site Office,

Lawrence Berkeley National Laboratory,

Princeton Site Office,

Princeton Plasma Physics Laboratory,

New Brunswick Laboratory.

Office of Science Oak Ridge Office (formerly Oak Ridge Operations Office)

Oak Ridge Gaseous Diffusion Plant (K-25),

Oak Ridge National Laboratory (X-10),

Oak Ridge Institute for Science and Education (ORISE),

Melton Valley TRU Waste Storage Facility,

Spallation Neutron Source, Oak Ridge Reservation,

Thomas Jefferson Site Office,

Thomas Jefferson National Accelerator Facility,

Paducah Gaseous Diffusion Plant,

Portsmouth Gaseous Diffusion Plant,

Portsmouth/Paducah Project Office, Lexington, KY,

Horizon Center,

East Tennessee Mechanical Contractors,

Pacific Northwest Site Office,

Pacific Northwest National Laboratory,

Stanford Site Office,

Stanford Linear Accelerator Center.

Richland Operations Office

AdvanceMed Hanford Inc.,

Office of River Protection.

Savannah River Operations Office

Savannah River Site Office (formerly Savannah River Area Office), including Savannah River,

Ecology Laboratory and Savannah River Technology Center,

NNSA Tritium Facility.

Southeastern Power Administration:

Alaska Power Administration.

Southwestern Power Administration

Strategic Petroleum Reserve Project Management Office:

Western Area Power Administration

Colorado River Storage Project Management Center,

Desert Southwest Regional Office,

Rocky Mountain Region,

Sierra Nevada Region,

Upper Great Plains Regional Office.

Table of Contents of All DOE Systems of Records as Adopted or Proposed

DOE-1 Grievance Records

DOE-2 DOE-Personnel Supervisor Maintained Personnel Records

DOE-3 Employee Concerns Program Records

DOE-4 Form EIA-457 Survey Reports, Residential Energy Consumption Survey (RECS)

DOE-5 Personnel Records of Former Contractor Employees

DOE-6 [Deleted-Reserved]

DOE-7 Whistleblower Investigation, Hearings, and Appeals Records

DOE-8 Intergovernmental Personnel Act (IPA) Agreements

DOE-9 Members of DOE Advisory Committees

DOE-10 Energy Employees Occupational Illness Compensation Program Act Files

DOE-11 Emergency Operations Notification Call List

DOE-12 Automated Materials Property System (AMPS)

DOE-13 Payroll and Leave Records

DOE-14 Report of Compensation

DOE-15 Intelligence-Related Access Authorization

DOE-16 Federal Employee Subsidy Program Records

DOE-17 DOE Alert System (Proposed New System—[DOE Number is being reissued]

DOE-18 Financial Accounting System

DOE-19 [Deleted-Reserved]

DOE-20 [Deleted-Reserved]

DOE-21 Asset Readiness Management System (ARMS)

DOE-22 [Deleted-Reserved]

DOE-23 Property Accountability System

DOE-24 Land Records System

DOE-25 U.S. DOE Commuter Locator and Parking Space Information System

DOE 26 Official Travel Records

DOE-27 Foreign Travel Management System (FTMS)

DOE-28 General Training Records

DOE-29 [Deleted-Reserved]

DOE-30 [Deleted-Reserved]

DOE-31 Firearms Qualification Records

DOE-32 [Deleted-Reserved]

DOE-33 Personnel Medical Records

DOE-34 Employee Assistance Program (EAP) Records

DOE-35 Personnel Radiation Exposure Records

DOE-36 [Deleted-Reserved]

DOE-37 [Deleted-Reserved]

DOE-38 Occupational and Industrial Accident Records

DOE-39 [Deleted-Reserved]

DOE-40 [Deleted-Reserved]

DOE-41 Legal Files (Claims, Litigation, Criminal Violations, Patents, and Others)

DOE-42 [Deleted-Reserved]

DOE-43 Personnel Security Clearance Files

DOE-44 Special Access Authorization for Categories of Classified Information

DOE-45 Weapons Data Access Control System (WDACS)

DOE-46 Administrative Review Files

DOE-47 [Deleted-Reserved]

DOE-48 Security Education and/or Infraction Reports

DOE-49 Security Communications File

DOE-50 Human Reliability Program Records

DOE-51 Employee and Visitor Access Control Records

DOE-52 Access Control Records of International Visits, Assignments, and Employment at DOE Facilities and

Contractor Sites

DOE-53 Access Authorization for ADP Equipment

DOE-54 Investigative Files of the Inspector General

DOE-55 Freedom of Information and Privacy Act (FOIA/PA) Requests for Records

DOE-56 Congressional Constituent Inquiries

DOE-57 Congressional Profiles

DOE-58 General Correspondence Files of the Office of the Secretary of Energy, Deputy Secretary and Under Secretary of Energy

DOE-59 Mailing Lists for Requesters of Energy-Related Information

DOE-60 General Correspondence Files

DOE-61 Census of High Energy Physicists

DOE-62 Historical Files—Published Information Concerning Selected Persons in the Energy Field

DOE-63 Personal Identity Verification (PIV) Files

DOE-64 [Deleted-Reserved]

DOE-65 [Deleted-Reserved]

DOE-66 Power Sales to Individuals

DOE-67 [Deleted-Reserved]

DOE-68 [Deleted-Reserved]

DOE-69 [Deleted-Reserved]

DOE-70 [Deleted-Reserved]

DOE-71 The Radiation Accident Registry

DOE-72 The DOE Radiation Study Registry

DOE-73 The US-DPTA Registry

DOE-74 [Deleted-Reserved]

DOE-75 Call Detail Records

DOE-76 [Deleted-Reserved]

DOE-77 Physical Fitness Test Records

DOE-78 [Deleted-Reserved]

DOE-79 [Deleted-Reserved]

DOE-80 [Deleted-Reserved]

DOE-81 Counterintelligence Administrative and Analytical Records and Reports

DOE-82 Grant and Contract Records for Research Projects, Science Education, and Related Activities

DOE-83 Allegation-Based Inspection Files of the Office of Inspector General

DOE-84 Counterintelligence Investigative Records

DOE-85 [Reserved]

DOE-86 Human Radiation Experiments Records

DOE-87 [Deleted-Reserved]

DOE-88 Epidemiologic and Other Health Studies, Surveys, and Surveillances

Text of Systems of Records

DOE-1

SYSTEM NAME:

Grievance Records.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION(S):

U.S. Department of Energy, Headquarters, 1000 Independence Avenue, SW., Washington, DC 20585.

U.S. Department of Energy, Alaska Power Administration, Federal Records Center, San Point Way, NE., Seattle, WA 98115.

U.S. Department of Energy, NNSA Service Center Albuquerque, P.O. Box 5400, Albuquerque, NM 87185-5400.

U.S. Department of Energy, NNSA Naval Reactors Field Office, Pittsburgh Naval Reactors, P.O. Box 109, West Mifflin, PA 15122-0109.

U.S. Department of Energy, NNSA Naval Reactors Field Office, Schenectady Naval Reactors, P.O. Box 1069, Schenectady, NY 12301.

U.S. Department of Energy, Bonneville Power Administration, P.O. Box 3621, Portland, OR 97208.

U.S. Department of Energy, Office of Science—Chicago Office, 9800 South Cass Avenue, Argonne, IL 60439.

U.S. Department of Energy, Idaho Operations Office, 1955 Fremont Avenue, Idaho Falls, ID 83415.

U.S. Department of Energy, National Energy Technology Laboratory, P.O. Box 10940, 626 Cochrans Mill Road, Pittsburgh, PA 15236.

U.S. Department of Energy, National Energy Technology Laboratory (Morgantown), P.O. Box 880, Morgantown, WV 26507-0880.

U.S. Department of Energy, National Energy Technology Laboratory (Tulsa), One West Third Street, Suite 1400, Tulsa, OK 74103-3519.

U.S. Department of Energy, National Energy Technology Laboratory (Alaska) 2175 University Avenue South, Suite 201, Fairbanks, AK 99709.

U.S. Department of Energy, National Energy Technology Laboratory, 1450 Queen Avenue, SW., Albany, OR 97321-2198.

U.S. Department of Energy, NNSA Nevada Site Office, P.O. Box 98518, Las Vegas, NV 89193-8518.

U.S. Department of Energy, Office of Science—Oak Ridge Office, P.O. Box 2001, Oak Ridge, TN 37831.

U.S. Department of Energy, Environmental Consolidated Business Center (EMCBC), 250 E. Fifth Street, Suite 500, Cincinnati, OH 45202.

U.S. Department of Energy, Richland Operations Office, P.O. Box 550, Richland, WA 99352.

U.S. Department of Energy, Savannah River Operations Office, P.O. Box A, Aiken, SC 29801.

U.S. Department of Energy, Southeastern Power Administration, 1166 Athens Tech Road, Elberton, GA 30635-6711.

U.S. Department of Energy, Southwestern Power Administration, Williams Tower One, One West Third Street, Tulsa, OK 74103.

U.S. Department of Energy, Strategic Petroleum Reserve Project Management Office, 900 Commerce Road East, New Orleans, LA 70123.

U.S. Department of Energy, Western Area Power Administration, P.O. Box 281213, Lakewood, CO 80228-8213.

U.S. Department of Energy, Office of Repository Development, P.O. Box 364629, North Las Vegas, NV 89036-8629.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Current and former DOE employees including National Nuclear Security Administration (NNSA) employees, consultants, board members, and applicants.

CATEGORIES OF RECORDS IN THE SYSTEM:

Grievances; names; social security numbers; work and home address; work and home telephone numbers; job titles, series, and grade levels; organization; supervisors' names and telephone numbers; copies of employee records, such as personnel actions, performance appraisals, pay and leave records, and security clearance documents; management reports; witness statements; affidavits; checklists; notes; and relevant correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

42 U.S.C. 7101

et seq.

; 50 U.S.C. 2401

et seq.

; 5 U.S.C. 7121, and 5 CFR Part 771.

PURPOSE(S):

For those records described in

Categories of Records in the System

, such records maintained in the system pertain to grievances subject to the negotiated grievance process and the agency's administrative grievance process. The records in this system will be used by management officials in the resolution of employee concerns about working conditions, administration of the agency's grievance process, employee-supervisor relations, work processes, or other similar issues.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

1. A record from this system may be disclosed as a routine use to union officials acting in their official capacity as a representative of the grievant or affected employees under 5 U.S.C. Chapter 71.

2. A record from this system may be disclosed as a routine use to a member of Congress submitting a request involving a constituent when the constituent has requested assistance from the member concerning the subject matter of the record. The member of Congress must provide a copy of the constituent's request for assistance.

3. A record from this system may be disclosed as a routine use to an

appropriate Federal, State, or local agency that is authorized to review and resolve the issue(s) raised in the grievance.

4. A record from this system may be disclosed as a routine use for the purpose of an investigation, settlement of claims, or the preparation and conduct of litigation to (1) a person representing the Department or assisting in such representation; (2) others involved in the matter, their representatives and persons assisting such persons; and (3) witnesses, potential witnesses, their representatives and assistants, and any other persons possessing information pertaining to the matter when it is necessary to obtain information or testimony relevant to the matter.

5. A record from this system may be disclosed as a routine use to a contractor of the Department who is authorized to review and resolve the issue(s) raised in the grievance, including a mediator or arbitrator in the performance of their duties. Those provided information under this routine use are subject to the same limitations applicable to Department officers and employees under the Privacy Act.

6. A record from this system may be disclosed as a routine use when (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records may be stored as paper records and electronic media.

RETRIEVABILITY:

Records are retrieved by the name of the grievant or complainant or other personal identifier, such as social security number.

SAFEGUARDS:

Paper records are maintained in locked cabinets and desks. Electronic records are controlled through established DOE computer center procedures (personnel screening and physical security), and they are password protected. Access is limited to those whose official duties require access to the records.

RETENTION AND DISPOSAL:

Records retention and disposal authorities are contained in the National Archives and Records Administration (NARA) General Records Schedule and DOE record schedules that have been approved by NARA.

SYSTEM MANAGER(S) AND ADDRESS:

Headquarters: Director of Human Capital Management, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585.

Field Offices: The Human Capital Directors of the “System Locations” listed above are the system managers for their respective portions of this system.

NOTIFICATION PROCEDURES:

In accordance with the DOE regulation implementing the Privacy Act, at Title 10, Code of Federal Regulations, Part 1008, a request by an individual to determine if a system of records contains information about him/her should be directed to the U.S. Department of Energy, Headquarters, Privacy Act Officer, or the Privacy Act Officer at the appropriate address identified above under “System Locations.” For records maintained by Laboratories or Field Site Offices, the request should be directed to the Privacy Act Officer for the site that has jurisdiction over the “System Location” as listed in the

Correlation

. The request should include the requester's complete name, time period for which records are sought, and the office location(s) where the requester believes the records are located.

RECORDS ACCESS PROCEDURES:

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

CONTESTING RECORD PROCEDURES:

Same as Notification Procedures above.

RECORD SOURCE CATEGORIES:

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

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

DOE-2

SYSTEM NAME:

DOE-Personnel Supervisor Maintained Personnel Records.