Privacy Act of 1974; Establishment of a New System of Records, 9943-9947 [E7-3836]

Agencies

• DEPARTMENT OF ENERGY

[Federal Register Volume 72, Number 43 (Tuesday, March 6, 2007)]
[Notices]
[Pages 9943-9947]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-3836]


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DEPARTMENT OF ENERGY


Privacy Act of 1974; Establishment of a New System of Records

AGENCY: Department of Energy.

ACTION: Notice.

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SUMMARY: The Department of Energy (DOE) is publishing a notice of 
system of records, DOE-63, ``Personal Identity Verification (PIV) 
Files.'' The system is created for the secure storage of information 
from and about applicants for a DOE PIV credential (security badge) 
that is issued in compliance with Homeland Security Presidential 
Directive (HSPD) 12, Policy for a Common Identification Standard for 
Federal Employees and Contractors. The

[[Page 9944]]

PIV information will include the PIV credential request from the 
applicant's sponsor, applicant's background investigation application 
form or verification of applicant's previous Federal suitability or 
access eligibility determination, copies of applicant's fingerprints, 
photograph, and identification documents, and investigative, 
adjudication, appeal, and reciprocity documentation.

DATES: The proposed new system of records will become effective without 
further notice, on April 20, 2007, unless in advance of that date, DOE 
receives adverse comments and determines that this record should not 
become effective on that date.

ADDRESSES: Written comments should be directed to the following 
address: Director, Office of Policy; HS-71/Germantown Building; U.S. 
Department of Energy; 1000 Independence Avenue, SW.; Washington, DC 
20585-1290.

FOR FURTHER INFORMATION CONTACT: Abel Lopez, Director; Freedom of 
Information Act and Privacy Act Group, MA-74/Forrestal Building, U.S. 
Department of Energy, 1000 Independence Avenue, SW., Washington, DC 
20585, 202-586-5955; or Jack Cowden, Director, Office of Health, Safety 
and Security, HS-71/Germantown Building, U.S. Department of Energy, 
1000 Independence Avenue, SW., Washington, DC 20585-1290, 301-903-4291; 
or Frederick Catoe, Office of the Chief Information Officer, IM-32/
Forrestal Building, U.S. Department of Energy, 1000 Independence 
Avenue, SW., Washington, DC 20585, 202-586-1090; or Isiah Smith, Office 
of the General Counsel, GC-77/Forrestal Building, U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585, 202-586-
8618.

SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974 
[Title 5, United States Code (USC), Section 552a], and Office of 
Management and Budget (OMB) Circular A-130, ``Management of Federal 
Information Resources,'' DOE is publishing this notice of a new system 
of records pertaining to the personal identity verification (PIV) of 
those applying for PIV credentials that meet the Federal agency 
identity credential requirements.
    On August 27, 2004, the President signed HSPD-12, Policy for a 
Common Identification Standard for Federal Employees and Contractors. 
This Directive established a Government-wide policy that mandated 
secure and reliable forms of identification to be issued by the Federal 
Government to its employees and its contractor employees. To implement 
this policy, Federal Information Processing Standards Publication 201 
(FIPS Pub 201), Personal Identity Verification (PIV) of Federal 
Employees and Contractors, was issued in March 2006, and defined a 
reliable Government-wide PIV system for use in controlling access to 
Federal facilities. OMB subsequently clarified implementation of HSPD-
12 and FIPS Pub 201 in OMB Memo 05-24, Implementation of Homeland 
Security Presidential Directive (HSPD) 12--Policy for a Common 
Identification Standard for Federal Employees and Contractors, August 
5, 2005. On November 22, 2005, DOE issued DOE Notice 206.3, Personal 
Identity Verification, which provides specific direction to DOE 
elements for implementing the requirements of HSPD-12 and FIPS Pub 201.
    PIV information and records collected to determine eligibility for 
the PIV credential will be maintained in DOE-63 and will be retrieved 
by the applicant's name or a unique number associated with the 
applicant. The PIV information includes the applicant's name, Social 
Security number, date of birth, place of birth, signature, status as 
Federal or contractor employee or prospective employee, and sponsor's 
or employer's name, address, and telephone number. The records are the 
PIV credential request submitted by the applicant's sponsor and may 
include any of the following: copies of identity source documents; data 
from source documents used to positively identify the individual; 
copies of applicant's photograph; copies of the applicant's background 
investigation forms [e.g., Standard Form 85 (SF 85), Questionnaire for 
Non-Sensitive Positions; SF 85P, Questionnaire for Public Trust 
Positions; SF 86, Questionnaire for National Security Positions; SF 87, 
Fingerprint Chart; FD-258, Fingerprint Card; Optional Form 306 (OF 
306), Declaration for Federal Employment; SF 171, Application for 
Federal Employment; OF 612, Optional Application for Federal 
Employment]; a resume[acute] or similar document; background 
investigation reports; adjudication documents; verification of previous 
adjudication decision by DOE or another Federal agency; disposition of 
applicant's PIV processing; correspondence and related documents to and 
from other Federal agencies for reciprocity purposes; and appeal 
documents. The above information will be used to positively identify 
individuals and determine the eligibility of those individuals for 
access to DOE facilities in accordance with HSPD-12.
    The PIV process involves the following offices/locations: DOE 
Headquarters; Ames Site Office; Ames Laboratory; Argonne Site Office; 
Argonne National Laboratory; Berkeley Site Office; Bonneville Power 
Administration; Brookhaven Site Office; Brookhaven National Laboratory; 
Carlsbad Field Office; Chicago Office; Environmental Management 
Consolidated Business Center; Fermi Site Office; Fermi National 
Accelerator Laboratory; General Atomics; Golden Field Office; Grand 
Junction Office; Idaho National Laboratory; Lawrence Berkeley National 
Laboratory; National Energy Technology Laboratory-ARC; National Energy 
Technology Laboratory-Fairbanks; National Energy Technology Laboratory-
Morgantown; National Energy Technology Laboratory-Pittsburgh; National 
Energy Technology Laboratory-Tulsa; National Renewable Energy 
Laboratory Area Office; National Nuclear Security Administration 
Service Center; Oak Ridge Institute of Science and Education; Oak Ridge 
National Laboratory; Oak Ridge Office; Ohio Field Office; Pacific 
Northwest Site Office; Pacific Northwest National Laboratory; 
Portsmouth/Paducah Project Office; Princeton Plasma Physics Laboratory; 
Princeton Site Office; Richland Operations Office; Savannah River 
Office; Savannah River Site Office; Southeastern Power Administration; 
Stanford Linear Accelerator Center; Stanford Site Office; Strategic 
Petroleum Reserve Project Management Office; Thomas Jefferson National 
Accelerator Facility; Thomas Jefferson Site Office; Western Area Power 
Administration.
    DOE is submitting the report required by OMB Circular A-130 
concurrently with the publication of this notice. The text of this 
notice contains the information required by the Privacy Act of 1974 [5 
U.S.C. 552a(e)(4)].

    Issued in Washington, DC on February 28, 2007.
Ingrid A. C. Kolb,
Director, Office of Management.
DOE-63

SYSTEM NAME:
    Personal Identity Verification (PIV) Files/

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATIONS/OFFICES:
    U.S. Department of Energy, 1000 Independence Avenue, SW, 
Washington, DC 20585
    U.S. Department of Energy, Ames Site Office, 9800 S. Cass Avenue, 
Argonne, IL 60439
    U.S. Department of Energy, Ames Laboratory, 311 TASF, Ames, IA 
50011-3020

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    U.S. Department of Energy, Argonne Site Office, 9800 S. Cass 
Avenue, Argonne, IL 60439
    U.S. Department of Energy, Argonne National Laboratory, 9700 S. 
Cass Avenue, Argonne, IL 60439
    U.S. Department of Energy, Berkeley Site Office, 1 Cyclotron Road, 
Berkeley, CA 94720
    U.S. Department of Energy, Bonneville Power Administration, P.O. 
Box 3621, Portland, OR 97208-3621
    U.S. Department of Energy, Brookhaven Site Office, 53 Bell Avenue, 
Building 464, Upton, NY 11973
    U.S. Department of Energy, Brookhaven National Laboratory, P.O. Box 
5000, Upton, NY 11973-5000
    U.S. Department of Energy, Carlsbad Field Office, WIPP Information 
Center, 4021 National Parks Highway Carlsbad, NM 88221
    U.S. Department of Energy, Chicago Operations Office, 9800 South 
Cass Avenue, Argonne, IL 60439
    U.S. Department of Energy, Environmental Management Consolidated 
Business Center, 250 E. 5th Street, Suite 500, Cincinnati, OH 45202
    U.S. Department of Energy, Fermi National Accelerator Laboratory, 
P.O. Box 500, Batavia, IL 60510-0500
    U.S. Department of Energy, Fermi Site Office, P.O. Box 2000, 
Batavia, IL 60510-0500
    U.S. Department of Energy, General Atomics, 3550 General Atomics 
Court, San Diego, CA 92121
    U.S. Department of Energy, Golden Field Office, Mail Stop 1501, 
1617 Cole Boulevard, Golden, Colorado 80401
    U.S. Department of Energy, Grand Junction Office, 2597 B 3/4 Road, 
Grand Junction, CO 81503
    U.S. Department of Energy, Idaho National Laboratory, PO Box 1625, 
Idaho Falls, ID 83415
    U.S. Department of Energy, Lawrence Berkeley National Laboratory, 1 
Cyclotron Road, Berkeley, CA 94720
    U.S. Department of Energy, National Energy Technology Laboratory-
ARC, 1450 Queen Avenue SW, Albany, OR 97321
    U.S. Department of Energy, National Energy Technology Laboratory-
Fairbanks, 2175 University Avenue South, Suite 201, Fairbanks, AK 99709
    U.S. Department of Energy, National Energy Technology Laboratory-
Morgantown, 3610 Collins Ferry Road P.O. Box 880 Morgantown, WV 26507-
0880
    U.S. Department of Energy, National Energy Technology Laboratory-
Pittsburgh, 626 Cochrans Mill Road, P.O. Box 10940, Pittsburgh, PA 
15236-0940
    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 Nuclear Security Administration 
Service Center, P.O. Box 5400, Albuquerque, NM 87185-5400
    U.S. Department of Energy, National Renewable Energy Laboratory 
Area Office, 1617 Cole Boulevard, Golden, CO 80401
    U.S. Department of Energy, Oak Ridge Institute of Science and 
Education, 130 Badger Avenue, Oak Ridge, TN 37831
    U.S. Department of Energy, Oak Ridge National Laboratory, P.O. Box 
2008,Oak Ridge, TN 37831
    U.S. Department of Energy, Oak Ridge Office, P.O. Box 2001, Oak 
Ridge, TN 37831
    U.S. Department of Energy, Ohio Field Office, 175 Tri-County 
Parkway, Springdale, Ohio 45246-3222
    U.S. Department of Energy, Pacific Northwest National Laboratory, 
P.O. Box 999, K1-46, Richland, WA 99352
    U.S. Department of Energy, Pacific Northwest Site Office, P.O. Box 
350, MS K 8-50, Richland, WA 99354
    U.S. Department of Energy, Portsmouth/Paducah Project Office, 1017 
Majestic Drive, Suite 200, Lexington, Kentucky 40513
    U.S. Department of Energy, Princeton Plasma Physics Laboratory, 
P.O. Box 451, Princeton, NJ 08543
    U.S. Department of Energy, Princeton Site Office, P.O. Box 102, 
Princeton, NJ 08042
    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 29802
    U.S. Department of Energy, Savannah River Site Office, P.O. Box A, 
Aiken, SC 29801
    U.S. Department of Energy, Southeastern Power Administration, 1166 
Athens TechRoad, Elberton, GA 30635-4578
    U.S. Department of Energy, Stanford Linear Accelerator Center, 2575 
Sand Hill Road, MS 75, Menlo Park, CA 94025
    U.S. Department of Energy, Stanford Site Office, 2575 Sand Hill 
Road, MS 8-A Menlo Park, CA 94025
    U.S. Department of Energy, Strategic Petroleum Reserve Project 
Management Office, 900 Commerce Road East New Orleans, LA 70123-3401
    U.S. Department of Energy, Thomas Jefferson National Accelerator 
Facility, 12000 Jefferson Avenue, Newport News, VA 23606
    U.S. Department of Energy, Thomas Jefferson Site Office, 12000 
Jefferson Avenue, Newport News, VA 23606
    U.S. Department of Energy, Western Area Power Administration, P.O. 
Box 281213, Lakewood, CO 80228-8213

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have applied for a Department of Energy (DOE) PIV 
credential under the PIV process.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records maintained in this system of records include all 
documents submitted during application for the PIV credential or copies 
of those documents, and any resulting investigative, adjudicative, 
appeal, or reciprocity documentation. The PIV information contained in 
the records includes the applicant's name, social security number, date 
of birth, place of birth, signature, status as Federal or contractor 
employee or prospective employee, and sponsor's or employer's name, 
address, and telephone number. The records are the PIV credential 
request submitted by the applicant's sponsor and may include depending 
on the applicant's history and actions any of the following: copies of 
identity source documents; data from source documents used to 
positively identify the applicant; copies of applicant's photograph; 
copies of the applicant's background investigation forms [e.g., 
Standard Form 85 (SF 85), Questionnaire for Non-Sensitive Positions; SF 
85P, Questionnaire for Public Trust Positions; SF 86, Questionnaire for 
National Security Positions; SF 87, Fingerprint Chart; FD-258, 
Fingerprint Card; Optional Form 306 (OF 306), Declaration for Federal 
Employment; SF 171, Application for Federal Employment; OF 612, 
Optional Application for Federal Employment; a resume[acute] or similar 
document]; adjudication documents; verification of previous 
adjudication decision by DOE or another Federal agency; disposition of 
applicant's PIV processing; correspondence and related documents to and 
from other Federal agencies for reciprocity purposes; and appeal 
documents. The above information will be used to positively identify 
individuals and determine the eligibility of those individuals for 
access to DOE facilities in accordance with HSPD-12.

    Note: Executive Order 10450 Section 9(c) stipulates that reports 
and other investigative material and information that originated 
from the background investigation (BI) will remain the property of 
the investigative agency that conducted the investigation. DOE 
Privacy Act Officers will forward requests for BI results to the 
agency that conducted the

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investigation. The requester will be notified of the referral.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    42 U.S.C. 7101 et seq., 50 U.S.C. 2401 et seq., 5 U.S.C. 552a (the 
Privacy Act of 1974), Homeland Security Presidential Directive 12, 
``Policy for a Common Identification Standard for Federal Employees 
Contractors,'' August 27, 2004, and Title 5, Code of Federal 
Regulation, Parts 5 and 736.

PURPOSES:
    The records are maintained and used by DOE to determine the 
eligibility of individuals for a PIV credential that provides access to 
DOE owned or leased facilities in accordance with HSPD-12.

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:
    1. For the purpose of an investigation, settlement of claims, or 
the preparation and conduct of litigation to a (1) person representing 
DOE in the investigation, settlement or litigation, and to individuals 
assisting in such representation; (2) others involved in the 
investigation, settlement, and litigation, and their representatives 
and individuals assisting those representatives; (3) witness, potential 
witness, or their representatives and assistants, and any other person 
who possesses information pertaining to the matter, when it is 
necessary to obtain information or testimony relevant to the matter.
    2. To the Department of Justice when: (a) DOE or any component 
thereof; or (b) any employee of DOE in his or her official capacity; or 
(c) any employee of DOE in his or her individual capacity where DOE or 
the Department of Justice has agreed to represent the employee; or (d) 
the Federal Government, is a party to litigation or has an interest in 
such litigation, and after careful review, DOE determines that the 
records are both relevant and necessary to the litigation and the use 
of such records by the Department of Justice is therefore deemed by DOE 
to be for a purpose compatible with the purpose for which DOE collected 
the records.
    3. To a court or adjudicative body in a proceeding when: (a) DOE or 
any component thereof; (b) any employee of DOE in his or her official 
capacity; (c) any employee of DOE in his or her individual capacity 
where DOE or the Department of Justice has agreed to represent the 
employee; or (d) the Federal Government is a party to litigation or has 
an interest in such litigation and, after careful review, DOE 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is therefore deemed by DOE to be 
for a purpose that is compatible with the purpose for which DOE 
collected the records.
    4. To a Federal, State, local, foreign, tribal, or other public 
authority that the system of records contains information relevant to 
the retention of an employee, the retention of a security clearance, 
the letting of a contract, or the issuance or retention of a license, 
grant, or other benefit. No disclosure will be made unless the 
information has been determined to be sufficiently reliable to support 
a referral to another office within DOE or to another Federal agency 
for criminal, civil, administrative personnel or regulatory action.
    5. Except for self-admissions of illegal use of drugs or drug 
activity on questionnaire Forms SF 85, SF 85P, and SF 86, 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 statute or 
particular program statute, or by regulation, rule, or order issued 
pursuant thereto, disclosure may be made to the appropriate public 
authority, whether Federal, foreign, State, local, or tribal, or 
otherwise, responsible for enforcing, investigating or prosecuting such 
violation or charged with enforcing or implementing the statute, or 
rule, regulation, or order issued pursuant thereto, if the information 
disclosed is relevant to any enforcement, regulatory, investigative or 
prosecutorial responsibility of the receiving entity.
    6. To a member of Congress or to a Congressional staff member in 
response to an inquiry of the Congressional office made at the written 
request of the constituent about whom the record is maintained. The 
member of Congress must provide a copy of the constituent's request for 
assistance.
    7. To DOE contractors in the performance of their contracts, and 
their officers and employees who have a need for the record in the 
performance of their duties. Those provided information under this 
routine use are subject to the same limitations applicable to 
Department officers and employees under the Privacy Act.
    8. To the National Archives and Records Administration for records 
management inspections under 44 U.S.C. 2904 and 2906.
    9. To any source or potential source from which the information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, 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.
    10. To a Federal, State, or local agency, or other appropriate 
entities or individuals, or through established liaison channels to 
selected foreign governments, in order to enable an intelligence agency 
to carry out its responsibilities under the National Security Act of 
1947, as amended, the CIA Act of 1949, as amended, Executive Order 
12333 or any successor order, applicable national security directives, 
or classified implementing procedures approved by the Attorney General 
and promulgated pursuant to such statutes, orders, or directives.
    11. To notify another Federal agency, or verify whether, a PIV 
credential is no longer valid.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records may be stored as paper files and/or electronic media.

RETRIEVABILITY:
    Records may be retrieved by name, Social Security number, or unique 
PIV file number.

SAFEGUARDS:
    Paper records, when not in use, are maintained in a combination-
locked cabinet or safe, or in an equally secure area. Electronic 
records are controlled through established DOE cyber security 
directives or procedures, and they are password protected. Both paper 
and electronic records are protected by screening the personnel who 
have regular access to them and by physically protecting the locations 
where they are kept. Access to paper or electronic records is limited 
to those whose official duties require access to the records and who 
have a need-to-know. Data from the system of records that is personally 
identifiable information which may be electronically transmitted is 
protected by encryption.

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

[[Page 9947]]

SYSTEM MANAGERS AND ADDRESSES:
    Headquarters: Director, Office of Security and Safety Performance 
Assurance, U.S. Department of Energy, SP-1/Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585.
    Field Offices: The managers of the System Locations listed with 
their addresses above are the system managers for their respective 
portions of the system.

NOTIFICATION PROCEDURES:
    In accordance with the DOE regulation implementing the Privacy Act 
at Title 10, Code of Federal Regulations (CFR), Part 1008, 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 Act and Privacy Act Group, MA-74/Forrestal Building, U.S. 
Department of Energy, 1000 Independence Avenue, SW., Washington, DC 
20585, or to the Privacy Act Officer at the appropriate location 
identified under System Locations above. For records maintained in the 
field including, but not limited to, Laboratories, Area Offices, or 
Site Offices, the request should be directed to the Privacy Act Officer 
that has jurisdiction over that office or facility. 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 are generally kept 
at locations where the work is performed. In accordance with the DOE 
Privacy Act regulation at 10 CFR1008, proper identification is required 
before a request is processed.

CONTESTING RECORD PROCEDURES:
    Same as Notification Procedures above.

RECORD SOURCE CATEGORIES:
    Documents completed or furnished by the applicant; Department of 
Energy; Office of Personnel Management; Federal Bureau of 
Investigation; other Federal agencies.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. E7-3836 Filed 3-5-07; 8:45 am]
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