[Federal Register Volume 88, Number 70 (Wednesday, April 12, 2023)]
[Notices]
[Pages 22023-22026]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07288]


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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission


Privacy Act of 1974; System of Records

AGENCY: Federal Energy Regulatory Commission, Department of Energy.

ACTION: Notice of a modified system of records.

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SUMMARY: The Federal Energy Regulatory Commission (FERC) is publishing 
a notice of modifications to an existing FERC system of records, FERC-
35 titled Commission Security Investigation Records. In accordance with 
the Privacy Act of 1974, and to comply with the Office of Management 
and Budget (OMB) Memorandum M-17-12, Preparing for and Responding to a 
Breach of Personally Identifiable Information, January 3, 2017, this 
notice will create 9 new routine uses, and will incorporate two new 
routine uses that permit FERC to disclose information as necessary in 
response to an actual or suspected breach that pertains to a breach of 
its own records or to assist another agency in its efforts to respond 
to a breach that were previously published separately in the Federal 
Register of July 11, 2023. This System of Records Notice (SORN) also 
describes the way in which security investigations on FERC employees, 
applicants for FERC employment, and individuals performing work for the 
Commission under contract, is conducted.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of 
records notice is effective upon publication, with the exception of the 
routine uses, which will go into effect 30 days after publication of 
this notice, unless comments have been received from interested members 
of the public requiring modification and republication of the notice.

ADDRESSES: Any person interested in commenting on the establishment of 
this modified system of records may do so by submitting comments in 
writing to: [email protected] (Include reference to ``Commission 
Security Investigations Records--FERC-35'' in the subject line of the 
message.)
    For United States Postal Service-delivered mail: Director, Office 
of the Secretary (OSEC) Federal Energy Regulatory Commission, 888 First 
Street NE, Washington, DC 20426. For hand-delivered or courier-
delivered mail: Director, Office of External Affairs, Federal Energy 
Regulatory Commission, 12225 Wilkins Avenue, Rockville, Maryland 20852.

FOR FURTHER INFORMATION CONTACT: Mittal Desai, Chief Information 
Officer & Senior Agency Official for Privacy, Office of the Executive 
Director, Office of the Executive Director, 888 First Street NE, 
Washington, DC 20426, (202) 502-6432.

SUPPLEMENTARY INFORMATION: The FERC Commission Security Investigations 
Records notice has 9 new routines and includes two prescribed routine 
uses that permit FERC to disclose information as necessary in response 
to an actual or suspected breach that pertains to a breach of its own 
records or to assist another agency in its efforts to respond to a 
breach that were previously published in the Federal Register of July 
11, 2023 (87 FR 35543, entitled Notice of Modified System of Records 
for PII Breach Response Routine Uses).

SYSTEM NAME AND NUMBER:
    Commission--FERC-35.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Federal Energy Regulatory Commission, Chief Security Officer 
Directorate, 888 First Street NE, Room 3A-09, Washington, DC 20426.

SYSTEM MANAGER(S):
    Chief Security Officer Directorate, Federal Energy Regulatory 
Commission, 888 First Street NE, Room ED-43, Washington, DC 20426.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301, 2302(b)(2)(B), 2302(b)(10), 7311, 7313; Executive 
Order 13764; 5 CFR 731.103, 18 CFR 3b.

[[Page 22024]]

PURPOSE(S) OF THE SYSTEM:
    The records in this system are used to provide investigative and 
related administrative, adjudicative, and other information necessary 
to determine whether an individual is suitable or fit for Government 
employment; eligible for physical access to FERC controlled facilities 
and information systems; eligible to hold sensitive positions 
(including but not limited to eligibility for access to classified 
information); fit to perform work for or on behalf of the U.S. 
Government as a contractor; qualified to perform contractor services 
for the U.S. Government; or loyal to the United States; while 
maintaining compliance with applicable legal, regulatory and policy 
authorities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former FERC employees, contractors, interns, 
volunteers, as well as other individuals (including contractor 
personnel of other Government entities and foreign nationals) requiring 
a FERC determination for suitability or fitness for duty, HSPD-12 
access, access to classified national security information, Sensitive 
Compartmented Information, and/or assignment to a position with 
sensitive duties; and officials or employees of State, local, tribal 
and private sector entities sponsored for access to classified and 
other sensitive information by a Federal agency.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system maintains information collected as part of the 
investigative vetting process. This information may include the 
individual's personally identifiable information; residential, 
educational, employment, and mental health history; financial details, 
and criminal and disciplinary histories; to include:
    Current, former, alternate name, social security number, home and 
work address and phone number, reference's home and work address and 
phone number. Additional information collected may include date of 
birth; place of birth; height; weight; hair and eye color; gender; sex; 
mother's maiden name; residential history, phone numbers, and email 
addresses; employment history; military records and discharge 
information; selective service registration record; educational data, 
including conduct records and degrees earned; names of relatives, 
associates and references with their contact information; country/
countries of citizenship; travel, immigration, and passport 
information; mental health history; records related to drug and/or 
alcohol use; financial record information; information pertaining to 
income tax returns; bureau of vital statistics records (e.g., birth 
certificate, death certificate, marriage application and license); 
credit reports; prior security clearance and investigative information; 
employing activity; current employment status; position sensitivity; 
personnel security investigative basis; status of current adjudicative 
action; security clearance eligibility status and access status; self-
reported information; eligibility recommendations or decisions made by 
an appellate authority; inadvertent disclosure briefing and agreement; 
non-disclosure execution dates; indoctrination date(s); level(s) of 
access granted; briefing/debriefing date(s) and reasons for briefing/
debriefing; and other biographical information as required during the 
course of a background investigation.
    In addition, this system may contain records documenting the 
outcomes of investigations and adjudications conducted by other Federal 
investigative organizations (e.g., U.S. Office of Personnel Management 
(OPM), Federal Bureau of Investigation, Department of Defense, etc.) 
and locator references to such investigations. Entries documenting 
fitness determinations, HSPD-12 access, continuous vetting adverse 
information flags, or counter insider threat reports of the subject and 
investigative information for spouse or cohabitant(s); the name and 
marriage information for current and/or former spouse(s); the country/
countries of citizenship, name, date, and place of birth, contact 
information (e.g., phone numbers, email addresses), and address for 
relatives. Reports from pre-employment screening, such as 
counterintelligence screening or military accessions vetting; results 
of subject and reference interviews conducted during background 
investigations, continuous evaluation, counter insider threat, 
counterintelligence screening, security incident resolution, or program 
access requests. Information detailing agency investigation requests 
including type of investigation requested, tracking codes, and 
requesting officials `contact information. Biometric information 
including but not limited to images and fingerprints, criminal and 
civil fingerprint history information. Foreign contact, affections, 
associates (e.g., family members, friends or social contacts), travel, 
and activities information, including names of individuals known, 
dates, country/countries of citizenship, country/countries of 
residence, type and nature or contact, financial interests, assets, 
benefits from foreign governments, countries and dates of arrival and 
departure for U.S. border crossings; association records; information 
on loyalty to the United States. Criminal history information, 
including information contained in local, State, military, Federal, and 
foreign criminal justice agency records and local, State, military, and 
Federal civil and criminal court records. Information about affiliation 
with known criminal and/or terrorist organizations. Records concerning 
civil or administrative proceedings, (for example, bankruptcy records, 
civil lawsuits, Merit System Protection Board), including information 
contained in local, State, military, Federal, and foreign courts, and 
agency records. Information about and evidence of unauthorized use or 
misuse of information technology systems. Information aggregated in 
counter-insider threat inquiries or investigations, including payroll 
information, travel vouchers, benefits information, equal employment 
opportunity complaints, performance evaluations, disciplinary files, 
training records, substance abuse and mental health records of 
individuals undergoing law enforcement action or presenting an 
identifiable imminent threat, counseling statements, outside work and 
activities requests, and personal contact records; particularly 
sensitive or protected information, including information held by 
special access programs, law enforcement, inspector general, or other 
investigative sources or programs. Agency or Component summaries of 
reports, and full reports, about potential insider threats from records 
of usage of Government telephone systems, including the telephone 
number initiating the call, the telephone number receiving the call, 
and the date and time of the call. U.S. and foreign finance and real 
estate information that consists of names of financial institutions, 
number of accounts held, monthly and year-end account balances for bank 
and investment accounts, address, year of purchase and price, capital 
investment costs, lease or rental information, year of lease or rental, 
monthly payments, deeds, lender/loan information and foreclosure 
history; information on owned and leased vehicles, boats, airplanes and 
other U.S. and foreign assets that include type, make, model, year, 
plate or identification number, year leased, monthly rental payment; 
year of purchase and price, and fair market value; information 
pertaining to

[[Page 22025]]

large or suspicious currency transactions; U.S. and foreign mortgages, 
loans, and liabilities information that consist of type of loan, names 
and addresses of creditors, original balance, monthly and year-end 
balance, monthly payments, and payment history. Publicly available 
electronic information about or generated by a covered individual 
(e.g., public records, civil court records, social media content, news 
articles, and web blog information). Results of record checks and data 
analyses for purposes of improving all types of investigations, 
reinvestigations, or continuous evaluation with respect to efficiency 
or cost effectiveness.

RECORD SOURCE CATEGORIES:
    Records are obtained from individual employees, applicants, 
consultants, experts and contractors (including the results of in-
person interviews) whose files are on record as authorized by those 
concerned; investigative reports from Federal investigative agencies; 
criminal or civil investigations; continuous evaluation records; police 
and credit record checks; personnel records; educational records and 
instructors; current and former employers; coworkers, neighbors, family 
members, acquaintances; and authorized security representatives.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, information maintained in this system may 
be disclosed to authorized entities outside FERC for purposes 
determined to be relevant and necessary as a routine use pursuant to 5 
U.S.C. 552a(b)(3) as follows:
    To appropriate agencies, entities, and persons when (1) FERC 
suspects or has confirmed that there has been a breach of the system of 
records; (2) FERC has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, the Commission 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed breach or to prevent, minimize, or remedy such 
harm.
    To another Federal agency or Federal entity, when FERC determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of that individual.
    To the Equal Employment Opportunity Commission (EEOC) when 
requested in connection with investigations of alleged or possible 
discriminatory practices, examination of Federal affirmative employment 
programs, or other functions of the Commission as authorized by law or 
regulation.
    To the Federal Labor Relations Authority or its General Counsel 
when requested in connection with investigations of allegations of 
unfair labor practices or matters before the Federal Service Impasses 
Panel.
    To disclose information to another Federal agency, to a court, or a 
party in litigation before a court or in an administrative proceeding 
being conducted by a Federal agency, when the Government is a party to 
the judicial or administrative proceeding. In those cases where the 
Government is not a party to the proceeding, records may be disclosed 
if a subpoena has been signed by a judge.
    To the Department of Justice (DOJ) for its use in providing legal 
advice to FERC or in representing FERC in a proceeding before a court, 
adjudicative body, or other administrative body, where the use of such 
information by the DOJ is deemed by FERC to be relevant and necessary 
to the advice or proceeding, and such proceeding names as a party in 
interest: (a) FERC; (b) any employee of FERC in his or her official 
capacity; (c) any employee of FERC in his or her individual capacity 
where DOJ has agreed to represent the employee; or (d) the United 
States, where FERC determines that litigation is likely to affect FERC 
or any of its components.
    To non-Federal Personnel, such as contractors, agents, or other 
authorized individuals performing work on a contract, service, 
cooperative agreement, job, or other activity on behalf of FERC or 
Federal Government and who have a need to access the information in the 
performance of their duties or activities.
    To the National Archives and Records Administration in records 
management inspections and its role as Archivist.
    To the Merit Systems Protection Board or the Board's Office of the 
Special Counsel, when relevant information is requested in connection 
with appeals, special studies of the civil service and other merit 
systems, review of OPM rules and regulations, and investigations of 
alleged or possible prohibited personnel practices.
    To appropriate Federal, State, or local agency responsible for 
investigating, prosecuting, enforcing, or implementing a statute, rule, 
regulation, or order, if the information may be relevant to a potential 
violation of civil or criminal law, rule, regulation, order.
    To the Department of Defense's Defense Counter Intelligence and 
Security Agency (DOD/DCSA), and other Departments and agencies that 
shares PII with FERC, in connection with the vetting of individuals 
(employees or applicants) for Federal employment, military service, 
consulting, volunteer personnel and/or contractor personnel, for 
national security purposes, including but not limited to, personnel 
background investigations, continuous vetting, suitability 
investigations and for satisfying the credentialing requirements of 
HSPD-12.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic 
records are stored by individuals first and last names. In addition, 
all FERC employees and contractors with authorized access have 
undergone a thorough background security investigation. Data access is 
restricted to agency personnel or contractors whose responsibilities 
require access. Access to electronic records is controlled by user ID 
and password combination and/or other network access or security 
controls (e.g., firewalls). Role based access is used to restrict 
electronic data access and the organization employs the principle of 
least privilege, allowing only authorized users with access (or 
processes acting on behalf of users) necessary to accomplish assigned 
tasks in accordance with organizational missions and business 
functions. Paper records are maintained in combination safes in locked 
rooms pursuant to OPM regulations. Buildings are guarded and monitored 
by security personnel, cameras, ID checks, and other physical security 
measures. The system is secured with the safeguards required by NIST SP 
800-53. Materials, including hard copy printouts derived from 
electronic records created on an ad hoc basis for reference purposes or 
to meet day-today business needs, are destroyed when the Commission

[[Page 22026]]

determines that they are no longer needed for administrative, legal, 
audit, or other operational purposes.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by name, social security number, date of 
birth, place of birth, Defense Counterintelligence and Security Agency 
[Investigative Service Provider] investigation number, adjudicative 
case identification number or some combination thereof.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained under the National Archives and Records 
Administration's General Records Schedule 5.6: Security Management 
Records; Disposition Authority: DAA-GRS-2021-0001-0007). Destroy 1 year 
after consideration of the candidate ends, but longer retention is 
authorized if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    All FERC employees and contractors with authorized access have 
undergone a thorough background security investigation. Data access is 
restricted to agency personnel or contractors whose responsibilities 
require access. Access to electronic records is controlled by ``User 
ID'' and password combination and/or other network access or security 
controls (e.g., firewalls). The system is secured with the safeguards 
required by FISMA and NIST SP 800-53. Physical access to FERC is 
controlled by security guards and admission is limited to those 
individuals possessing a valid identification card or individuals under 
proper escort. Paper records are maintained in combination safes in 
locked rooms pursuant to OPM regulations. Buildings are guarded and 
monitored by security personnel, cameras, ID checks, and other physical 
security measures. The system is secured with the safeguards required 
by NIST SP 800-53.

RECORD ACCESS PROCEDURES:
    Submit a Privacy Act Request.
    The Privacy Act permits access to records about yourself that are 
maintained by FERC in a Privacy Act system of records. In addition, you 
may request that incorrect or incomplete information be changed or 
amended. Privacy requests follow FERC's Freedom of Information Act 
(FOIA) request process. You may access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act.
    For questions: Contact the FOIA Service Center at 202-502-6088 or 
by email at [email protected]. Written request for access to records 
should be directed to: Director, Office of External Affairs, Federal 
Energy Regulatory Commission, 888 First Street NE, Washington, DC 
20426.

CONTESTING RECORD PROCEDURES:
    The Privacy Act permits access to records about yourself that are 
maintained by FERC in a Privacy Act system of records. In addition, you 
may request that incorrect or incomplete information be changed or 
amended. Privacy requests follow FERC's FOIA request process. You may 
access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act. For questions: Contact the FOIA Service 
Center at 202-502-6088 or by email at [email protected]. Written 
request for access to records should be directed to: For United States 
Postal Service-delivered mail: Director, Office of External Affairs, 
Federal Energy Regulatory Commission, 888 First Street NE, Washington, 
DC 20426. For hand-delivered or courier-delivered mail: Director, 
Office of External Affairs, Federal Energy Regulatory Commission, 12225 
Wilkins Avenue, Rockville, Maryland 20852.

NOTIFICATION PROCEDURES:
    The Privacy Act permits access to records about yourself that are 
maintained by FERC in a Privacy Act system of records. In addition, you 
may request that incorrect or incomplete information be changed or 
amended. Privacy requests follow FERC's FOIA request process. You may 
access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act. For questions: Contact the FOIA Service 
Center at 202-502-6088 or by email at [email protected]. Written 
request for access to records should be directed to: For United States 
Postal Service-delivered mail: Director, Office of External Affairs, 
Federal Energy Regulatory Commission, 888 First Street NE, Washington, 
DC 20426. For hand-delivered or courier-delivered mail: Director, 
Office of External Affairs, Federal Energy Regulatory Commission, 12225 
Wilkins Avenue, Rockville, Maryland 20852.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    65 FR 21752.

    Issued: April 3, 2023.
Kimberly D. Bose,
Secretary.
[FR Doc. 2023-07288 Filed 4-11-23; 8:45 am]
BILLING CODE 6717-01-P


