Maintenance and Establishment of Systems of Records

10 C.F.R. Part ..., Subpart D
in effectEffective: 2024-07-01

10 C.F.R. § 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 § 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.

10 C.F.R. § 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 § 1008.12 (b) Unless an exemption from the Act has been claimed by DOE under subsection (j)(2), as provided in § 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.

10 C.F.R. § 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. (c) Pursuant to the Social Security Number Fraud and Prevention Act (Pub. L. 115-59; 42 U.S.C. 405 note), Heads of Headquarters Divisions and Offices and heads of other DOE locations may not include a full Social Security number on a form or document transmitted by physical mail unless: (1) The form or document belongs to a category of forms and documents listed on the Department's “Unredacted SSN Mailed Documents Listing” (USMDL) as published on the Department's website; or (2) The Senior Agency Official for Privacy (SAOP) provides a one-time waiver for the form or document as provided by paragraph (d) of this section. (d) The Heads of Headquarters Divisions and Offices and heads of other DOE locations who have a compelling business need to include a full Social Security number on a form or document that is transmitted by physical mail and which do not belong to a category of form or document listed on the USMDL may request a conditional, one-time Secretarial waiver as follows: (1) The requesting Head of Departmental Element must prepare a memorandum for submission to the SAOP that: (i) Identifies the document that requires transmission via physical mail; (ii) Explains with specificity the reasons why a full Social Security number is required to be transmitted via physical mail on the document; (iii) Provides with specificity details on why the Social Security number cannot be a partial Social Security number; and (iv) Includes any other justification to support the Element's request, including any legal requirement that necessitates the Department sending a full Social Security number through physical mail for business or mission purposes. (2) The Departmental Element must send the completed memorandum to the Chief Privacy Officer (CPO) for review. (3) The CPO will review the request and forward its recommendation to the SAOP. (4) The SAOP will review and approve or reject the Departmental Element's request. (5) If the request is approved, the SAOP will issue a memorandum in response to the Head of the Departmental Element authorizing the conditional, one-time transmission of the document. (e) Under circumstances where the transmitting Departmental Element anticipates a regular and frequent transmission through physical mail of a particular form or document containing Social Security numbers not already listed on the USDML, the Head of the Departmental Element may request that a new category relevant to the form or document be added to the USMDL in accordance with the procedures in paragraphs (e)(1) through (5) of this section: (1) The requesting Departmental Element must prepare a memorandum for submission to the SAOP that: (i) Identifies the document that requires transmission via physical mail; (ii) Explains with specificity the reasons why a full Social Security number is required to be transmitted via physical mail on the form or document; (iii) Provides with specificity details on why the Social Security number cannot be a partial Social Security number; and (iv) Includes any other justification to support the Element's request, including any legal requirement that necessitates the Department sending a full Social Security number through physical mail for business or mission purposes. (2) The Head of the Departmental Element must send the completed memorandum to the CPO for review. (3) The CPO will review the request and forward its recommendation to the SAOP. (4) The SAOP will review and approve or reject the Element's request. (5) If the request is approved, the SAOP will issue a memorandum in response to the requestor stating the SAOP's determination and DOE will update the USDML and publish the updated USDML on the Department's website.

10 C.F.R. § 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) through (9) of this section if DOE has claimed a general or specific exemption from the requirements of the Act, as provided in § 1008.12. (c) Copies of the notices as printed in the Federal Register shall be available at the DOE locations listed at § 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.

10 C.F.R. § 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.

Starting a business? Corpus forms LLCs in all 50 states and DC.