[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]



-----------------------------------------------------------------------


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.

-----------------------------------------------------------------------

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]
BILLING CODE 7590-01-P