[Federal Register Volume 60, Number 143 (Wednesday, July 26, 1995)]
[Notices]
[Pages 38379-38381]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-18321]
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NUCLEAR REGULATORY COMMISSION
Privacy Act of 1974; Revisions to System of Records
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed revision of an existing system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), the Nuclear Regulatory Commission (NRC) is issuing
public notice of our intent to modify the system of records maintained
by the Office of the Inspector General (OIG), NRC-18, currently titled
``Office of the Inspector General Index File and Associated Records--
NRC.'' The proposed modifications will rename the system ``Office of
the Inspector General (OIG) Investigative Records--NRC,'' permit
disclosures to consumer reporting agencies, and add two other Privacy
Act exemptions. The routine uses for the system are being revised and
other technical and editorial revisions to the system notice are being
made to make it more accurate.
EFFECTIVE DATE: The revised system of records will become effective
without further notice on September 5, 1995, unless comments received
on or before that date cause a contrary decision. If, based on NRC's
review of comments received, changes are made, NRC will publish a new
final notice. NRC will not withhold records under the (j)(2) or (k)(5)
exemptions until adoption of the final rule amending 10 CFR 9.95 to add
these exemptions to this system of records.
ADDRESSES: Send comments to the Secretary of the Commission, U.S.
Nuclear Regulatory Commission,
[[Page 38380]]
Washington, DC 20555-0001, Attention: Docketing and Services Branch.
Hand deliver comments to 11555 Rockville Pike, Rockville, Maryland,
between 7:45 am and 4:15 pm Federal workdays. Copies of comments may be
examined at the NRC Public Document Room at 2120 L Street, NW., Lower
Level, Washington, DC.
FOR FURTHER INFORMATION CONTACT: Jona L. Souder, Freedom of
Information/Local Public Document Room Branch, Division of Freedom of
Information and Publications Services, Office of Administration, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone:
301-415-7170.
SUPPLEMENTARY INFORMATION: NRC is republishing System of Records NRC-
18, currently titled ``Office of the Inspector General Index File and
Associated Records--NRC,'' to rename the system; revise all current
routine uses to more clearly describe the disclosures for OIG's
investigative system of records; add new routine use g. permitting
disclosures to other agencies, including the Department of Justice, to
obtain advice on OIG matters; add new routine use h. permitting
disclosures to the National Archives and Records Administration and the
General Services Administration for records management inspections;
authorize disclosures to consumer reporting agencies under 5 U.S.C.
552a(b)(12); add the (j)(2) and (k)(5) exemptions; and update other
information in the previously published notice of this system of
records.
NRC is renaming NRC-18 ``Office of the Inspector General (OIG)
Investigative Records--NRC'' to cover only investigative records of the
OIG. Audit records that were previously included in this system have
been deleted from NRC-18 because they are not retrieved by personal
identifier.
Other information in the system is being updated to reflect changes
in the way information is retrieved and safeguarded, and to more
accurately describe the categories of individuals covered and the
categories of records being maintained.
The NRC is exempting NRC-18 from certain provisions of the Privacy
Act under 5 U.S.C. 552a(j)(2) to the extent that the system contains
investigatory material pertaining to the enforcement of criminal laws
or compiled for criminal law enforcement purposes. The OIG is an agency
component that performs as one of its principal functions activities
pertaining to the enforcement of criminal laws.
NRC-18 is also being exempted from certain provisions of the
Privacy Act under 5 U.S.C. 552a(k)(5) to the extent that the system
contains investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information.
In a separate notice published in the proposed rule section of
today's issue of the Federal Register, the NRC is giving public notice
of a proposed rule to amend 10 CFR 9.95 to exempt this system of
records from certain provisions of 5 U.S.C. 552a under subsections
(j)(2) and (k)(5).
A report on the proposed revisions to this system of records,
required by 5 U.S.C. 552a(r), as implemented by Office of Management
and Budget (OMB) Circular No. A-130, has been sent to the Chairman,
Committee on Government Reform and Oversight, U.S. House of
Representatives; the Chairman, Committee on Governmental Affairs, U.S.
Senate; and OMB.
Accordingly, the NRC proposes to amend NRC-18 as follows:
NRC-18
Office of the Inspector General (OIG) Investigative Records--NRC.
Office of the Inspector General, NRC, 11545 Rockville Pike,
Rockville, Maryland.
Individuals and entities referred to in complaints or actual
investigative cases, reports, accompanying documents, and
correspondence prepared by, compiled by, or referred to the OIG.
The system comprises four parts: (1) An automated Text Management
System containing reports of investigations and inspections closed
since 1989 and brief descriptions of investigative cases open and
pending in the OIG since 1989 that have not yet resulted, but will
result, in investigative or inspection reports; (2) paper files of all
OIG and predecessor Office of Inspector and Auditor (OIA) reports,
correspondence, cases, matters, memoranda, materials, legal papers,
evidence, exhibits, data, and work papers pertaining to all closed and
pending investigations and inspections; (3) paper index card files of
OIG and OIA cases closed from 1970 through 1989; and (4) an automated
Allegations Tracking System that includes allegations referred to the
OIG since 1985, whether or not the allegation progressed to an
investigation or inspection, and dates that the investigation or
inspection, if any, was opened and closed.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3; 42
U.S.C. 2035(c), 2201(c), and 5841(f) (1988).
In addition to the disclosures permitted under subsection (b) of
the Privacy Act, OIG may disclose information contained in a record in
this system of records without the consent of the subject individual if
the disclosure is compatible with the purpose for which the record was
collected under the following routine uses:
a. To any Federal, State, local, tribal, or foreign agency, or
other public authority responsible for enforcing, investigating, or
prosecuting violations of administrative, civil, or criminal law or
regulation if that information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility of the
receiving entity when records from this system of records, either by
themselves or in combination with any other information, indicate a
violation or potential violation of law, whether administrative, civil,
criminal, or regulatory in nature.
b. To public or private sources to the extent necessary to obtain
information from those sources relevant to an OIG investigation, audit,
inspection, or other inquiry.
c. To a Federal, State, local, tribal, or foreign agency, or a
public authority or professional organization if necessary to obtain
information relevant to a decision by NRC or the requesting
organization concerning 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, or other personnel
action related to the record subject.
d. To a court, adjudicative body before which NRC is authorized to
appear, Federal agency, individual or entity designated by NRC or
otherwise empowered to resolve disputes, counsel or other
representative, or witness or potential witness when it is relevant and
necessary to the litigation if any of the parties listed below is
involved in the litigation or has an interest in the litigation:
1. NRC, or any component of NRC;
2. Any employee of NRC where the NRC or the Department of Justice
has agreed to represent the employee; or
[[Page 38381]]
3. The United States, where NRC determines that the litigation is
likely to affect the NRC or any of its components.
e. To a private firm or other entity with which OIG or NRC
contemplates it will contract or with which it has contracted for the
purpose of performing any functions or analyses that facilitate or are
relevant to an investigation, audit, inspection, inquiry, or other
activity related to this system of records. The contractor, private
firm, or entity needing access to the records to perform the activity
shall be required to maintain Privacy Act safeguards with respect to
information. A contractor, private firm, or entity operating a system
of records under 5 U.S.C. 552a(m) shall be required to comply with the
Privacy Act.
f. To another agency to the extent necessary for obtaining its
advice on any matter relevant to an OIG investigation, audit,
inspection, or other inquiry related to the responsibilities of the
OIG.
g. To a member of Congress or to a congressional staff member in
response to his or her inquiry made at the written request of the
subject individual.
h. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
Disclosure Pursuant to 5 U.S.C. 552a(b)(12):
Disclosure of information to a consumer reporting agency is not
considered a routine use of records. Disclosures may be made from this
system to ``consumer reporting agencies'' as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act
of 1966, as amended (31 U.S.C. 3701(a)(3)).
Information contained in this system is stored manually on index
cards, in files, and in various ADP storage media.
Information is retrieved from the Text Management System
alphabetically by the name of an individual, by case number, or by
subject matter. Information in the paper files backing up the Text
Management System and older cases closed by 1989 is retrieved by
subject matter and/or case number, not by individual identifier.
Information is retrieved from index card files for cases closed before
1989 by the name or numerical identifier of the individual or entity
under investigation or by subject matter. Information in the
Allegations Tracking System is retrieved by allegation number, case
number, or name.
The automated Text Management System is accessible only on one
terminal in the OIG, is password protected, and is accessible only to
OIG investigative personnel. Paper files backing up the Text Management
System and older case reports and work papers are maintained in
approved security containers and locked filing cabinets in a locked
room; associated indices, records, diskettes, tapes, etc., are stored
in locked metal filing cabinets, safes, storage rooms, or similar
secure facilities. Index card files for older cases (1970-1989) are
under visual control during working hours and are available only to
authorized investigative personnel who have a need to know and whose
duties require access to the information. The Allegations Tracking
System is double-password-protected and is available to a limited
number of OIG investigative employees on only one terminal in a locked
room.
a. Investigative Case Files.
1. Files containing information or allegations that are of an
investigative nature but do not relate to a specific investigation--
Destroy when 5 years old.
2. All other investigative files, except those that are unusually
significant--Place in inactive file when case is closed. Cut off
inactive file at end of fiscal year. Destroy 10 years after a cutoff.
3. Significant cases (those that result in national media
attention, congressional investigation, or substantive changes in
agency policy or procedures)--To be determined by the National Archives
and Records Administration on a case-by-case basis.
b. Index/Indices. Destroy or delete with the related records or
sooner if no longer needed.
c. Text Management System. Delete after 10 years or when no longer
needed, whichever is later.
d. Allegation Tracking System. Destroy when no longer needed.
Inspector General, U.S. Nuclear Regulatory Commission, Washington,
DC 20555-0001.
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Director, Division of Freedom of Information and Publications Services,
Office of Administration, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001.
Same as ``Notification procedure.'' Information classified pursuant
to Executive Order 12356 will not be disclosed. Information received in
confidence will be maintained pursuant to the Commission's Policy
Statement on Confidentiality; Management Directive 8.8, ``Management of
Allegations'' (formerly NRC Manual Chapter 0517); and other procedures
concerning confidentiality as determined by the Inspector General and
will not be disclosed to the extent that disclosure would reveal a
confidential source.
Same as ``Notification procedure.''
The information in this system of records is obtained from sources
including, but not limited to, the individual record subject; NRC
officials and employees; employees of Federal, State, local, and
foreign agencies; and other persons.
Pursuant to 5 U.S.C. 552a(j)(2), the Commission has exempted this
system of records from subsections (c)(3) and (4), (d)(1)-(4), (e)(1)-
(3), (5), and (8), and (g) of the Act. This exemption applies to
information in the system that relates to criminal law enforcement and
meets the criteria of the (j)(2) exemption. Pursuant to 5 U.S.C.
552a(k)(1), (k)(2), (k)(5), and (k)(6), the Commission has exempted
portions of this system of records from 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f). The exemption rule is
contained in 10 CFR 9.95 of the NRC regulations.
Dated at Rockville, MD, this 18th day of July, 1995.
For the Nuclear Regulatory Commission.
James M. Taylor,
Executive Director for Operations.
[FR Doc. 95-18321 Filed 7-25-95; 8:45 am]
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