[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NUCLEAR REGULATORY COMMISSION
NRC Systems of Records
1. Shared Information Network (SINET)--NRC.
2. Biographical Information Records--NRC.
3. Enforcement Actions Against Individuals--NRC.
4. Conflict of Interest Files--NRC.
5. Contracts Records Files--NRC.
6. Discrimination Cases--NRC.
7. Telephone Call Detail Records--NRC.
8. Employee Appeals, Grievances, and Complaints Records--NRC.
9. Equal Employment Opportunity Discrimination Complaint Files--NRC.
10. Freedom of Information Act (FOIA) and Privacy Act (PA) Requests
Records--NRC.
11. General Personnel Records (Official Personnel Folder and Related
Records)--NRC.
12. Government Motor Vehicle Operators License Files--NRC.
13. Incentive Awards Files--NRC.
14. Employee Assistance Program Files--NRC.
15. National Standards Committee Membership Files--NRC.
16. Facility Operator Licensees Record Files (10 CFR Part 55)--NRC.
17. Occupational Injuries and Illness Records--NRC.
18. Office of the Inspector General (OIG) Investigative Records--NRC.
19. Official Personnel Training Records Files--NRC.
20. Official Travel Records--NRC.
21. Payroll Accounting Records--NRC.
22. Personnel Performance Appraisals--NRC.
23. Office of Investigations Indices, Files, and Associated Records--
NRC.
24. Government Property Accountability System--NRC.
25. Oral History Program--NRC.
26. Administrative Services Files--NRC.
27. Radiation Exposure Information and Reports System (REIRS) Files--
NRC.
28. Recruiting, Examining, and Placement Records--NRC.
29. Nuclear Documents System (NUDOCS)--NRC.
30. Manpower Resource Tracking System Records--NRC.
31. Correspondence and Records, Office of the Secretary--NRC.
32. Licensee and Applicant Taxpayer Identification Number Records--
NRC.
33. Special Inquiry File--NRC.
34. Advisory Committee on Reactor Safeguards (ACRS) and Advisory
Committee on Nuclear Waste (ACNW) Correspondence Index and Associated
Records--NRC.
35. Drug Testing Program Records--NRC.
36. Employee Locator Records Files--NRC.
37. Information Security Files and Associated Records--NRC.
38. Mailing Lists--NRC.
39. Personnel Security Files and Associated Records--NRC.
40. Facility Security Access Control Records--NRC.
These systems of records are those systems maintained by the Nuclear
Regulatory Commission (NRC) that contain personal information about
individuals, and from which personal information can be retrieved by
reference to an individual identifier.
The notice for each system of records states the name and location of
the record system, the authority for and manner of its operation, the
categories of individuals that it covers, the types of records that it
contains, the sources of information in those records, and the
proposed ``routine uses'' of each system of records. Each notice also
includes the business address of the NRC official who will inform
interested persons of the procedures whereby they may gain access to
and correct records pertaining to themselves.
One of the purposes of the Privacy Act, as stated in section 2(b)(4),
is to provide certain safeguards for an individual against an invasion
of personal privacy by requiring Federal agencies to ``* * *
disseminate any record of identifiable personal information in a
manner that assures that such action is for a necessary and lawful
purpose, that information is current and accurate for its intended
use, and that adequate safeguards are provided to prevent misuse of
such information.'' The NRC intends to follow these principles in
transferring information to another agency or individual as a
``routine use,'' including assurance that the information is relevant
for the purposes for which it is transferred.
Prefatory Statement of General Routine Uses
The following routine uses apply to each system of records notice set
forth below which specifically references this Prefatory Statement.
1. In the event that a system of records maintained by the NRC to
carry out its functions indicates a violation of law, whether civil,
criminal, or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rules, or
order issued pursuant thereto, the relevant records in the system of
records may be referred, as a routine use, to the appropriate agency,
whether Federal, State, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation, or order issued pursuant thereto.
2. A record from this system of records may be disclosed, as a routine
use, to a Federal, State, local, or foreign agency, if necessary, to
obtain information relevant to an NRC decision concerning the hiring
or retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant, or other
benefit.
3. A record from this system of records may be disclosed, as a routine
use, to a Federal, State, local, or foreign agency in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
4. A record from this system of records may be disclosed, as a routine
use, in the course of discovery and in presenting evidence to a court,
magistrate, administrative tribunal, or grand jury, including
disclosures to opposing counsel in the course of settlement
negotiations.
5. Disclosure may be made, as a routine use, to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
6. A record from this system of records may be disclosed, as a routine
use, to NRC-paid experts, consultants, and others under contract with
the NRC, on a ``need-to-know'' basis for a purpose within the scope of
the pertinent NRC contract. Such access will be granted to an NRC
contractor by a system manager only after satisfactory justification
has been provided to the system manager.
NRC-1
System name: Shared Information Network (SINET)--NRC.
System location:
Office of Information Resources Management, NRC, 7920 Norfolk Avenue,
Bethesda, Maryland.
Categories of individuals covered by the system:
Current and former NRC employees; NRC contractors; vendors; Federal,
State and local Government emergency points of contact; and NRC
licensees.
Categories of records in the system:
For NRC personnel, records will contain name, grade, title, office,
and room. For NRC contractors, records will contain name, company
address, and identification number. For others, records contain
information such as name, phone number, address, and responsibilities.
Authority for maintenance of the system:
42 U.S.C. 2201 (1988).
Routine uses of records in the system, including categories of users and
the purposes of such uses:
Information in these records may be used:
a. To identify personnel cognizant of or responsible for activities at
nuclear power plants.
b. To identify personnel associated with specific NRC functions.
c. For the routine uses specified in paragraphs 1, 5, and 6 of the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in paper files and computer media.
Retrievability:
Accessed by individual, licensee, facility, or plant name; SINET
security capability; or system or project.
Safeguards:
Computer files are password protected. Computer data is protected down
to the field value level. Access to and use of these records are
limited to those persons whose official duties require such access.
Retention and disposal:
SINET records are currently unscheduled and must be retained until a
records disposition schedule for this material is approved by the
National Archives and Records Administration (NARA).
System manager(s) and address:
Chief, Systems Development Branch, Office of Information Resources
Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information is obtained from individuals, supervisors, licensees,
contractors, vendors and Federal, State, or local Governments.
NRC-2
System name: Biographical Information Records--NRC.
System location:
Office of Public Affairs, NRC, 11555 Rockville Pike, Rockville,
Maryland.
Categories of individuals covered by the system:
Commissioners, members of the Atomic Safety and Licensing Board Panel,
Office of Commission Appellate Adjudication panel members, and senior
NRC staff members.
Categories of records in the system:
These records contain information relating to education and training,
employment history, and other general biographical data relating to
the Commissioners, members of the Atomic Safety and Licensing Board
Panel, Office of Commission Appellate Adjudication panel members, and
senior NRC staff members. Photographs of Commissioners are also
contained in this system.
Authority for maintenance of the system:
42 U.S.C. 2241, 5841, 5843(a), 5844(a), 5845(a), and 5849 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide information to the press;
b. To provide information to other persons and agencies requesting
this information; and
c. For the routine uses specified in paragraph numbers 5 and 6 of the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records are maintained in file folders.
Retrievability:
Records are accessed by name.
Safeguards:
Maintained in unlocked file cabinets. Access to and use of these
records are limited to those persons whose official duties require
such access.
Retention and disposal:
Retained until updated or association with NRC is discontinued, then
destroyed through regular trash disposal system.
System manager(s) and address:
Director, Office of Public Affairs, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records is provided by each individual
and approved for use by the individual involved.
NRC-3
System name: Enforcement Actions Against Individuals--NRC.
System location:
Primary system--Office of Enforcement, NRC, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in part,
at the NRC Regional Offices at the locations listed in Addendum I,
Part 2, and in the Office of the General Counsel, NRC, 11555 Rockville
Pike, Rockville, Maryland.
Categories of individuals covered by the system:
Individuals involved in NRC-licensed activities who have been subject
to NRC Enforcement Actions.
Categories of records in the system:
The system consists of individual enforcement actions, including
Orders, Notices of Violations with and without Civil Penalties, Orders
Imposing Civil Penalties, Letters of Reprimand, and Demands for
Information. Also included are responses to these actions. In
addition, the files may contain other relevant documents directly
related to those actions that have been issued. Files will be arranged
numerically by Individual Action (IA) number, assigned as individual
enforcement actions are issued. The system will include a computerized
database with alphabetical and numerical indices, by names of the
individuals subject to the action and IA numbers, respectively.
Authority for maintenance of the system:
42 U.S.C. 2114, 2167, 2201(c), and 2282 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To respond to general information requests from the Congress;
b. To deter future violations, information in this system of records
may be routinely disseminated to the public by (1) publication in the
Federal Register of each enforcement action issued to an individual;
and (2) a listing of all individuals currently subject to an order
that affects their participation in licensed activities and a copy of
that order will be sent to all power reactor licensees twice a year
and will be made available to other licensees and the general public
on request;
c. When considered appropriate for disciplinary purposes, to disclose
information, such as a copy of an enforcement action and any hearing
proceedings, to a bar association, or other professional organization
performing similar functions, including certification of individuals
licensed by NRC or Agreement States to perform specified licensing
activity;
d. To disclose information, such as a copy of an enforcement action
and any hearing proceedings, concerning an individual to a Federal or
State Government agency with licensing jurisdiction, where
appropriate, to ensure the public health and safety; and
e. For the routine uses specified in paragraph numbers 1, 2, 3, and 4
of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on paper in file folders, on computer
printouts, and on computer disks.
Retrievability:
Records are accessed by individual action file number or by the name
of the individual.
Safeguards:
Records are maintained in file cabinets or a computer database. Access
to and use of these records is limited to those NRC employees whose
official duties require that access. These files are under visual
control during duty hours.
Retention and disposal:
Enforcement Action Case Files and related indexes are currently
unscheduled and must be retained until a records disposition schedule
for this material is approved by the National Archives and Records
Administration.
System manager(s) and address:
Director, Office of Enforcement, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification Procedure.''
Contesting record procedures:
Same as ``Notification Procedure.''
Record source categories:
Information in the records is primarily obtained from NRC inspectors
and investigators and other NRC employees, including individuals to
whom a record pertains, authorized representatives for these
individuals, and NRC licensees, vendors, other individuals regulated
by the NRC, and persons making allegations to the agency.
NRC-4
System name: Conflict of Interest Files--NRC.
System location:
Primary system--Office of the General Counsel, NRC, 11555 Rockville
Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Persons who are employees, special Government employees, former
employees, advisory committee members, and consultants of NRC.
Categories of records in the system:
These records contain information relating to:
a. General biographical data (i.e., name, birth date, home address,
position title, home and business telephone numbers, citizenship,
educational history, employment history, professional society
memberships, honors, fellowships received, publications, licenses, and
special qualifications);
b. Financial status (i.e., nature of financial interests and in whose
name held, creditors, character of indebtedness, interest in real
property, monthly U.S. Civil Service Annuity, and status as Uniformed
Services Retired Officer);
c. Certifications by employees that they and members of their families
are in compliance with the Commission's stock ownership regulations;
d. Requests for approval of outside employment by NRC employees and
NRC responses thereto;
e. Advice and determinations (i.e., no conflict or apparent conflict
of interest, questions requiring resolution, steps taken toward
resolution); and
f. Information pertaining to appointment (i.e., proposed period of NRC
service, estimated number of days of NRC employment during period of
service, proposed pay, clearance status, description of services to be
performed and explanation of need for the services, justification for
proposed pay, description of expenses to be reimbursed and dollar
limitation, and description of Government-owned property to be in
possession of appointee).
Authority for maintenance of the system:
5 CFR 734-735 (1992); 18 U.S.C. 201-209 (1988); Executive Order 12731,
October 17, 1990; Ethics and Government Act, as amended; 10 CFR part O
(1992).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide the Department of Justice, Office of Personnel
Management, Office of Government Ethics, Office of Special Counsel,
and/or Merit Systems Protection Board with information concerning an
employee in instances where this office has reason to believe a
Federal law may have been violated or where this office desires the
advice of the Department, Office, or Board concerning potential
violations of Federal law; and
b. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records are maintained in file folders. Records are also
maintained on computer media.
Retrievability:
Records are accessed by name.
Safeguards:
Records are maintained in locked file cabinets and in computer files
that can only be accessed by the appropriate personnel.
Retention and disposal:
Records are destroyed when 6 years old; except that documents needed
in an ongoing investigation will be retained until no longer needed in
the investigation. Computer files are deleted after the expiration of
the retention period authorized for the disposable hard copy file or
when no longer needed, whichever is later.
System manager(s) and address:
Deputy Assistant General Counsel for Legal Counsel, Legislation, and
Special Projects, Office of the General Counsel, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records either comes from the individual
to whom it applies, or is derived from information he or she supplied,
or comes from the office to which the individual is to be assigned,
other NRC offices, or other persons such as attorneys.
NRC-5
System name: Contracts Records Files--NRC.
System location:
Primary system--Division of Contracts and Property Management, NRC,
7920 Norfolk Avenue, Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
NRC employees substantially involved with contracting, such as Project
Officers and Procurement Officials. Persons who are employed as NRC
contractors.
Categories of records in the system:
These records contain personal information (such as technical
qualifications, education, rates of pay, employment history) of
contractors and their employees, and other contracting records. They
also contain evaluations, recommendations, and reports of NRC
procurement officials, assessment of contractor performance, Invoice
Tracking Systems, and related information.
Authority for maintenance of the system:
42 U.S.C. 2051, 2201, and 5845 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide information to the Federal Procurement Data Center,
Department of Health and Human Services, Defense Contract Audit
Agency, General Accounting Office, and other Federal agencies for
audits and reviews; and
b. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and computer media.
Retrievability:
Paper records are accessed by contract number, taxpayer identification
number (TIN) and purchase order number; and are cross-referenced to
the automated system that contains the name of the contractor, vendor,
project officer, procurement official, or contract manager.
Safeguards:
Maintained in unlocked conserver files. Access to and use of these
records are limited to those persons whose official duties require
such access. Computer files are password protected.
Retention and disposal:
Records for transactions of more than $25,000 are destroyed 6 years
and 3 months after final payment. Transactions of $25,000 or less are
destroyed 3 years after final payment. Records are destroyed through
regular trash disposal system, except for confidential business
(proprietary) information which is destroyed by shredding. Electronic
records in the Contracts System are retained until no longer needed.
System manager(s) and address:
Director, Division of Contracts and Property Management, Office of
Administration, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information was received in
confidence and will not be disclosed to the extent that disclosure
would reveal confidential business (proprietary) information.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the contractor or
potential contractor or NRC employee.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1) and (5), 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.
NRC-6
System name: Discrimination Cases--NRC.
System location:
Primary system--Office of Enforcement, NRC, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate system--Duplicate systems may exist, in whole or in part, in
the Office of the General Counsel, NRC, 11555 Rockville Pike,
Rockville, Maryland, and in enforcement coordinators' offices at NRC
Regional Offices at the addresses listed on Addendum I, Part 2. The
duplicate systems in the Regional Offices would ordinarily be limited
to the cases filed in each Region.
Categories of individuals covered by the system:
Individuals who have filed complaints with the Department of Labor
(DOL) concerning alleged acts of discrimination in violation of
section 210(a) of the Energy Reorganization Act.
Categories of records in the system:
The system consists of files arranged numerically in accordance with a
system established by the DOL (``ERA'' numbers) to track complaints
filed by individuals pursuant to section 210 of the Energy
Reorganization Act. These files include documents related to, and
provided by, the DOL including copies of complaints, correspondence
between the parties, and decisions by DOL Area Directors,
Administrative Law Judges, and the Secretary of Labor. The system
includes a computerized database with alphabetical and numerical
indices, by complainants' names and ERA numbers, respectively.
Authority for maintenance of the system:
42 U.S.C. 2201, 2282; 42 U.S.C. 5851 (1988); 10 CFR 30.7, 40.7, 50.7,
60.9, 61.9, 70.7, and 72.10 (1992).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used for any of the routine uses
specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information contained in this system is stored in hard copy and on
computer media.
Retrievability:
Information is retrieved by the name or ERA number of the individual
or his/her case.
Safeguards:
The files are maintained in an area for which access is controlled by
keycard and limited to those with a need for access to the work area,
and in a building to which access is controlled by a security guard
force. These files are under visual control during duty hours. After
duty hours, access to the building is controlled by a security guard
force and access to each floor is controlled by keycard.
Retention and disposal:
Discrimination Case Files and related indexes are currently
unscheduled and must be retained until a records disposition schedule
for this material is approved by the National Archives and Records
Administration.
System manager(s) and address:
Director, Office of Enforcement, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification Procedure.'' Information received from the
Department of Labor is treated by DOL as public information and
subject to disclosure in accordance with applicable laws.
Contesting record procedures:
Same as ``Notification Procedure.''
Record source categories:
Individuals to whom the record pertains, attorneys for these
individuals, union representatives serving as advisors to these
individuals, NRC licensees, NRC, and DOL.
NRC-7
System name: Telephone Call Detail Records--NRC.
System location:
Office of Information Resources Management, NRC, 7920 Norfolk Avenue,
Bethesda, Maryland.
Categories of individuals covered by the system:
Individuals utilizing NRC telephones, including current and former NRC
employees and contractors who make local or long-distance telephone
calls and individuals who received telephone calls placed from NRC
telephones.
Categories of records in the system:
Records relating to use of the agency telephones to place local or
long-distance calls, records indicating assignment of telephone
numbers to employees, and records relating to the location of
telephones.
Authority for maintenance of the system:
42 U.S.C. 2201 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. By individual employees of the agency to determine their individual
responsibility for telephone calls; and
b. For the routine uses specified in paragraphs 1, 3, 5, and 6 of the
Prefatory Statement.
Disclosures to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12) 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 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in paper files, on computer tapes or disks.
Retrievability:
Accessed by name, office, or telephone number.
Safeguards:
Maintained in locking file cabinets or locked rooms. Computer files
are password protected. Access to and use of these records are limited
to those persons whose official duties require such access.
Retention and disposal:
Records pertaining to employee phone use must be retained until
scheduled under General Records Schedule 12-4, ``Telephone Use
Records.'' Records pertaining to the location of telephone equipment,
equipment requests, and phone service are destroyed when 3 years old.
Records contained in the Telephone Directory System (TEL) are
destroyed when no longer needed.
System manager(s) and address:
Chief, Telecommunications Branch, Office of Information Resources
Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Telephone assignment calls, call detail listings, NRC Form 15
``Employee Locator Form,'' results of administrative inquiries
relating to assignment of responsibility for placement of specific
telephone calls, and certification of telephone bills.
NRC-8
System name: Employee Appeals, Grievances, and Complaints
Records--NRC.
System location:
Primary system--Office of Personnel, NRC, 8120 Woodmont Avenue,
Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Applicants for NRC employment, current and former NRC employees, and
annuitants who have filed written complaints brought to the Office of
Personnel's attention or initiated grievances or appeal proceedings as
a result of a determination made by the NRC, Office of Personnel
Management, and/or Merit Systems Protection Board, or a Board or other
entity established to adjudicate such grievances and appeals.
Categories of records in the system:
Includes all documents related to disciplinary actions, adverse
actions, appeals, complaints, grievances, arbitrations, and negative
determinations regarding within-grade salary increases. It contains
information relating to determinations affecting individuals made by
the NRC, Office of Personnel Management, Merit Systems Protection
Board, arbitrators or courts of law. The records consist of the
initial appeal or complaint, letters or notices to the individual,
records of hearings when conducted, materials placed into the record
to support the decision or determination, affidavits or statements,
testimony of witnesses, investigative reports, instructions to an NRC
office or division concerning action to be taken to comply with
decisions, and related correspondence, opinions, and recommendations.
Authority for maintenance of the system:
5 U.S.C. 3591 et seq., 4101 et seq., 4303 et seq., 7501 et seq.
(1988); 42 U.S.C. 2201(d) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To furnish information to the Office of Personnel Management and/or
Merit Systems Protection Board pursuant to applicable requirements
related to grievances and appeals;
b. To provide appropriate data to union representatives and third
parties (that may include the Federal Services Impasses Panel and
Federal Labor Relations Authority) in connection with grievances,
arbitration actions, and appeals; and
c. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, binders, index cards,
floppy disks, and a password-protected automated system.
Retrievability:
These records are indexed annually by the names of the individuals on
whom they are maintained.
Safeguards:
Maintained in locked file cabinets and in a password-protected
automated system available only to Labor Relations personnel. Access
to and use of these records are limited to those persons whose
official duties require such access.
Retention and disposal:
Records related to grievances, appeals, and adverse actions are
destroyed seven years after the cases are closed, index cards are
destroyed or deleted with the related records or sooner, if no longer
needed, and computer files are destroyed after the period authorized
for the related hard copy files or when no longer needed, whichever is
later.
System manager(s) and address:
Chief, Policy and Labor Relations, Office of Personnel, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information was received in
confidence and will not be disclosed to the extent that disclosure
would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Individuals to whom the record pertains, NRC, Office of Personnel
Management and/or Merit Systems Protection Board officials; affidavits
or statements from employees, union representatives, or other persons;
testimony of witnesses; official documents relating to the appeal,
grievance, or complaint; Official Personnel Folder; and other Federal
agencies.
NRC-9
System name: Equal Employment Opportunity Discrimination
Complaint Files--NRC.
System location:
Primary system--Office of Small and Disadvantaged Business Utilization
and Civil Rights, NRC, 7735 Old Georgetown Road, Bethesda, Maryland.
Duplicate system--Office of the General Counsel, NRC, 11555 Rockville
Pike, Rockville, Maryland.
Categories of individuals covered by the system:
Applicants for NRC employment and current and former NRC employees who
have filed a complaint of discrimination with the Office of Small and
Disadvantaged Business Utilization and Civil Rights.
Categories of records in the system:
This system of records contains copies of written reports by
counselors; the investigative file; documentation of withdrawn,
canceled, rejected, and/or adjusted discrimination complaints;
complainant's name, title, and grade; kind of discrimination alleged;
description of action, decision, or condition giving rise to the
complaint; description of remedial action; description of disciplinary
action, if any; copy of the letter of proposed disposition of the
complaint and right to a hearing; record of hearing examiner's
findings, analysis, and recommended decision; record of appeals
examiner's finding, analysis, and recommended decision; and notice of
intent to file in Federal District Court, if any.
Authority for maintenance of the system:
29 U.S.C. 20 et seq., 633a(b), 794a(a)(1) (1988); 42 U.S.C. 2000e and
5891 (1988); Executive Orders 11246, September 24, 1965; 11375, August
8, 1969 and 12086, October 5, 1978.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To furnish information related to discrimination complaints to the
Equal Employment Opportunity Commission and the Office of Personnel
Management and/or Merit Systems Protection Board in accordance with
applicable requirements; and
b. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders, binders, and on computer media.
Retrievability:
Accessed by name.
Safeguards:
Paper records are maintained in locked file cabinets. Computer records
are protected by a physical key lock. Access to and use of these
records are limited to those persons whose official duties require
such access.
Retention and disposal:
Official Discrimination Complaint Case Files are destroyed four years
after the resolution of the case. Computer files are destroyed after
the period authorized for the related hard copy files or when no
longer needed, whichever is later.
System manager(s) and address:
Director, Office of Small and Disadvantaged Business Utilization and
Civil Rights, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information was received in
confidence and will not be disclosed to the extent that disclosure
would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Individual to whom the record pertains, counselors, NRC, the Office of
Equal Employment Opportunity Commission, the Office of Personnel
Management and/or Merit Systems Protection Board officials, affidavits
or statements from employees, testimony of witnesses, and official
documents relating to the complaints.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), the Commission has exempted portions
of this system of records from 5 U.S.C. 552(c)(3), (d), (e)(4)(G),
(H), and (I), and (f). The exemption rule is contained in 10 CFR 9.95
of the NRC regulations.
NRC-10
System name: Freedom of Information Act (FOIA) and Privacy Act
(PA) Requests Records--NRC.
System location:
Primary system--Division of Freedom of Information and Publications
Services, Office of Administration, NRC, 7920 Norfolk Avenue,
Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2; at the NUDOCS
Contractor Site, 7101 Wisconsin Avenue, Suite 1400, Bethesda,
Maryland.
Categories of individuals covered by the system:
Persons who have made FOIA or PA requests for NRC records.
Categories of records in the system:
This system contains copies of the letters from requesters, the NRC
response letters, and related documents.
Authority for maintenance of the system:
5 U.S.C. 552 and 552a (1988); 42 U.S.C. 2201 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. If an appeal or court suit is filed with respect to any records
denied;
b. For preparation of reports required by 5 U.S.C. 552 and 5 U.S.C.
552a; and
c. For any of the routine uses specified in the Prefatory Statement.
Most of the FOIA records are placed in the NRC Public Document Room
and made available to the public.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, on microfiche, and on computer
media.
Retrievability:
Accessed by chronologically assigned number and individual's name.
Safeguards:
Privacy Act records are maintained in locked file cabinets. FOIA
records are maintained in locked rooms. Access to and use of these
records are limited to those persons whose official duties require
such access. Copies of most of the FOIA records are publicly available
in the NRC Public Document Room.
Retention and disposal:
PA records are retained in hard copy for 2 years from date of reply if
request is granted, 6 years if denied, and 6 years from date of
appeal, if appealed. The FOIA official files are retained on
microfiche and may be destroyed after 6 years. Except for classified,
proprietary, and other sensitive information which is destroyed by
shredding, records are disposed of through regular trash disposal
system.
System manager(s) and address:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Requests are made by individuals or other requesters. The response to
the request is based upon information contained in NRC records.
NRC-11
System name: General Personnel Records (Official Personnel
Folder and Related Records)--NRC.
System location:
Primary system--For Headquarters and all Senior Executive Service
(SES) personnel, Office of Personnel, NRC, 8120 Woodmont Avenue,
Bethesda, Maryland. For Regional personnel, at Regional Offices I-V
listed in Addendum I, Part 2.
Duplicate systems--Duplicate systems exist, in whole or in part at the
locations listed in Addendum I, Parts 1 and 2, and at the National
Institutes of Health Computer Facility, Bethesda, Maryland. The
duplicate systems maintained in a particular office, division, or
branch may contain information of specific applicability to employees
in that organization in addition to that information contained in the
primary system.
Categories of individuals covered by the system:
Current NRC employees and those formerly employed by the NRC (and
terminated through death, resignation, retirement, or separation).
Categories of records in the system:
These records contain Personal Qualifications Statement (SF-171) and
related documents such as information about an individual's birth
date, social security number, veteran preference status, tenure,
physical handicaps, past and present salaries, grades, position
titles, training, test performances, minority group designator, life
insurance, health benefits, beneficiaries, academic letters of
recommendation, probationary period appraisals, and awards. This
system also contains notification of personnel action (SF-50) and
documents supporting the action taken, letters of commendation and
reprimand, employee suggestion and evaluation of suggestion forms,
documentation of charges and decisions on charges, medical records
related to initial appointment, notices of reductions-in-force, and
locator files. Some duplicate records may contain office-specific
applications, personnel qualification statements (SF-171), resumes,
conflict of interest correspondence, and other related personnel
records in addition to those contained in the primary system.
Authority for maintenance of the system:
5 U.S.C. 7901; 42 U.S.C. 290dd-2; 42 U.S.C. 290ee-1 (1988); 42 U.S.C.
2201(d) (1988); 10 CFR part 0 (1992); Executive Order 9397, November
22, 1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. By the Office of Personnel Management and/or Merit Systems
Protection Board for making a decision when an NRC employee or former
NRC employee questions the validity of a specific document in an
individual's record;
b. To provide information to a prospective employer of a Government
employee. Upon transfer of the employee to another Federal agency, the
information is transferred to such agency;
c. To update monthly the Office of Personnel Management systems
concerning the Central Personnel Data File (CPDF), the Executive
Inventory File, and security investigations index hires, and to update
adverse actions and terminations records of the Merit Systems
Protection Board;
d. To provide statistical reports to Congress, agencies, and the
public on characteristics of the Federal work force;
e. To provide information to the Office of Personnel Management and/or
Merit Systems Protection Board for review and audit purposes;
f. To provide members of the public with the names, position titles,
grades, salaries, appointments (temporary or permanent), and duty
stations of employees;
g. For medical records, to provide information to the Public Health
Service in connection with Health Maintenance Examinations and to
other Federal agencies responsible for Federal benefit programs
administered by the Department of Labor (Office of Workmen's
Compensation Programs) and the Office of Personnel Management; and
h. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, magnetic tape, and computer
media.
Retrievability:
Records are indexed by any combination of name, birth date, social
security number, or identification number.
Safeguards:
Official Personnel Folders are maintained in locking cabinets and
related documents may be in unlocked file cabinets or an
electromechanical file organizer. Access to and use of these records
are limited to those persons whose official duties require such
access. Computer files are password protected.
Retention and disposal:
The Official Personnel Folder is sent to the next Federal employing
office if the employee transfers, or to the National Personnel Records
Center within 30 days of the date of the employee's separation from
the Federal service. Correspondence and forms maintained on the left
side of the Official Personnel Folder, such as letters of reprimand,
indebtedness, and vouchers, are temporary records and are maintained
for the periods of time specified in Federal Personnel Manual (FPM)
Chapter 293 and the FPM Supplement 293-31. Computer records are
retained until no longer needed.
System manager(s) and address:
For Headquarters and all NRC SES employees--Chief, Executive and
Operational Support Programs, Office of Personnel, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
For Region I-V non-SES employees--The appropriate Regional Personnel
Officer at the locations listed in Addendum I, Part 2.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the individual to
whom it applies; is derived from information supplied by that
individual; or is provided by agency officials, other Federal
agencies, universities, other academic institutions, or persons,
including references, private and Federal physicians, and medical
institutions.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k) (5) and (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 (1), and (f). The exemption rule is
contained in 10 CFR 9.95 of the NRC regulations.
NRC-12
System name: Government Motor Vehicle Operators License Files--
NRC.
System location:
Primary system--Administrative Service Center, Facility Management
Branch, Division of Contracts and Property Management, Office of
Administration, NRC, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole, or in part, at
the locations listed in Addendum I, Part 2.
Categories of individuals covered by the system:
Current and former NRC employees and contractor personnel licensed to
drive Government vehicles.
Categories of records in the system:
These records contain identifying data on individuals including, but
not limited to, name, social security number, hair and eye color, sex,
and date of birth as well as data on driving experience, traffic
violations, accidents, and medical history and conditions.
Authority for maintenance of the system:
40 U.S.C. 491 (1988); Executive Order 9397, November 22, 1943;
Executive Order 10579, December 1, 1954.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used for any of the routine uses
specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in logs and on paper in file folders.
Retrievability:
Indexed alphabetically by license holder's name.
Safeguards:
Maintained in locked file cabinets under control of supervisors.
Access to and use of these records are limited to those persons whose
official duties require such access.
Retention and disposal:
Records are destroyed 3 years after separation of employees or
contractor personnel or 3 years after recision of authorization to
operate Government-owned vehicle, whichever is sooner.
System manager(s) and address:
Coordinator, Administrative Service Center, Facility Management
Branch, Division of Contracts and Property Management, Office of
Administration, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Applications for Motor Vehicle Operator's Identification cards,
individuals on whom the record is maintained, supervisors and
personnel representatives, and medical examiners.
NRC-13
System name: Incentive Awards Files--NRC.
System location:
Primary system--Office of Personnel, NRC, 8120 Woodmont Avenue,
Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Current and former NRC employees who merit special recognition for
achievements either within or outside the employee's job
responsibilities and for length of service to the Government. Awards
include both NRC awards and awards of other agencies and organizations
for which NRC employees are eligible.
Categories of records in the system:
This system of records contains employee's name, title, office, grade,
and salary; justification to support recommendation and authorization
for cash award; monetary amount of cash award; actions by approving
officials; record of individuals receiving awards; suggestions and
evaluations of suggestions; citation to be used; and related
documents.
Authority for maintenance of the system:
5 U.S.C. 4501-4506, 5336 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. By the Office of Personnel Management to process and approve
nominations or awards;
b. By the Office of the Attorney General and the President of the
United States in reviewing recommended awards;
c. To make reports to the Office of Personnel Management and/or Merit
Systems Protection Board;
d. By other Government agencies to recommend whether suggestions
should be adopted in instances where the suggestion made by an NRC
employee affects the functions or responsibilities of the agencies;
and
e. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in file folders and computer disk.
Retrievability:
Information is accessed by name, type of award, office, and year of
award.
Safeguards:
Maintained in locking file cabinets and in a password-protected
computer system. Access to and use of these records are limited to
those persons whose official duties require such access.
Retention and disposal:
a. Records relating to meritorious and distinguished service awards
made at the Commission level, excluding those in the Official
Personnel Folder, are permanent;
b. Case files pertaining to NRC-sponsored awards, excluding those for
departmental-level awards, are destroyed 2 years after approval or
disapproval;
c. Correspondence pertaining to awards from other Federal agencies or
non-Federal organizations are destroyed when 2 years old;
d. Length of service files are destroyed when 1 year old;
e. Letters of commendation and appreciation, excluding copies filed in
the Official Personnel Folder, are destroyed when 2 years old;
f. Lists and indexes to agency award nominations are destroyed when
superseded or obsolete; and
g. Computer files are continually updated and information deleted when
no longer needed.
System manager(s) and address:
Chief, Recruitment, Incentive and Benefits Programs, Office of
Personnel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001. For awards limited to SES employees, Chief, Executive and
Operational Support Programs, Office of Personnel, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC employees, other agencies and organizations, and Official
Personnel Folders.
NRC-14
System name: Employee Assistance Program Files--NRC.
System location:
Office of Personnel, NRC, 8120 Woodmont Avenue, Bethesda, Maryland.
Categories of individuals covered by the system:
NRC employees or family members who have been counseled by or referred
to the Employee Assistance Program (EAP) for problems relating to
alcoholism, drug abuse, job stress, chronic illness, family or
relationship concerns, and emotional and other similar issues.
Categories of records in the system:
This system contains records of NRC employees or their families who
have participated in the Employee Assistance Program and the results
of any counseling or referrals which may have taken place. The records
contain information as to the nature of each individual's problem,
subsequent treatment, and progress.
Authority for maintenance of the system:
42 U.S.C. 290dd-1 and 290ee (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. For statistical reporting purposes; and
b. Any disclosure of information pertaining to an individual will be
made in compliance with the Confidentiality of Alcohol and Drug Abuse
Patient Records regulation, 42 CFR part 2, as authorized by 21 U.S.C.
1175 and 42 U.S.C. 4582, as amended.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in file folders and on computer media.
Retrievability:
Information accessed by the EAP identification number and name of the
individual.
Safeguards:
Files are maintained in a safe under the immediate control of the
Employee Assistance Program Manager.
Retention and disposal:
Employee counseling files are destroyed 3 years after termination of
counseling. Information contained in the related statistical database
is destroyed when no longer needed.
System manager(s) and address:
Manager, Employee Assistance Program, Office of Personnel, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information compiled by the Manager, Employee Assistance Program,
during the course of counseling with an NRC employee or members of the
employee's family.
NRC-15
System name: National Standards Committee Membership Files--
NRC.
System location:
Primary system--Office of Nuclear Regulatory Research, NRC, 5650
Nicholson Lane, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the National Institutes of Health Computer Facility, Bethesda,
Maryland and at locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
NRC employees who are serving on committees, subcommittees, working
groups, etc., that are developing nuclear standards.
Categories of records in the system:
This system is a comprehensive record of NRC personnel on the national
standards committees and contains members' names, the names of the
committees to which they belong, and the names of the NRC offices in
which the members work.
Authority for maintenance of the system:
42 U.S.C. 2201(b) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide information to persons or agencies requesting this
information including, but not limited to, persons using the NRC
Public Document Room and/or Technical Library; and
b. For the routine use specified in paragraph number 5 of the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on lists and computer media.
Retrievability:
Records are indexed by the individual's name, by individual's office
or region, and by the committee title.
Safeguards:
Maintained in an unlocked file cabinet, a loose-leaf notebook, and on
computer printouts.
Retention and disposal:
Updated when information is out-of-date. The information is retained
until the person is no longer a member of the committee or no longer
an NRC employee, whichever occurs first. Computer tape and disk are
destroyed by computer deletion, and lists are destroyed through
regular trash disposal system.
System manager(s) and address:
Research Program Coordination Assistant, Office of Nuclear Regulatory
Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the Director, Office
of Research (RES), the individual to whom it applies, or from his or
her supervisor.
NRC-16
System name: Facility Operator Licensees Record Files (10 CFR
part 55)--NRC.
System location:
Primary system--For power reactors, at the appropriate Regional Office
at the address listed in Addendum I, Part 2; for nonpower reactor
facilities at the Operator Licensing Branch, Division of Licensee
Performance and Quality Evaluation, Office of Nuclear Reactor
Regulation, NRC, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, in
the Operator Licensing Branch, Division of Licensee Performance and
Quality Evaluation, Office of Nuclear Reactor Regulation, NRC, 11555
Rockville Pike, Rockville, Maryland; Systems Development Branch,
Division of Computer and Telecommunications Services, Office of
Information Resources Management, 7920 Norfolk Avenue, Bethesda,
Maryland; and at the National Institutes of Health Computer Facility
in Bethesda, Maryland.
Categories of individuals covered by the system:
Individuals licensed pursuant to 10 CFR part 55, new applicants whose
applications are being processed, and individuals whose licenses have
expired.
Categories of records in the system:
These records contain information pertaining to 10 CFR part 55
applicants for a license, licensed operators, and individuals who
previously held licenses. This includes applications for a license,
license and denial letters, and related correspondence; correspondence
relating to actions taken against a licensee; 10 CFR 50.74
notifications; certification of medical examination and related
medical information; fitness for duty information; examination results
and other docket information.
Authority for maintenance of the system:
42 U.S.C. 2137 and 2201(i) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To determine if the individual meets the requirements of 10 CFR
part 55 to take an examination or to be issued an operator's license;
b. To provide researchers with information for reports and statistical
evaluations related to selection, training, and examination of
facility operators;
c. To provide for examination and testing material and obtain results
from contractors;
d. To provide facility management with sufficient information to
enroll the individuals in the licensed operator requalification
program; and
e. For any of the routine uses specified in paragraph numbers 1, 2, 4,
5, and 6 of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper logs, paper in file folders, and computer media.
Retrievability:
Records are accessed by name and docket number.
Safeguards:
Maintained in locked file cabinets or an area that is locked. Computer
access requires password. Access to and use of these records are
limited to those persons whose official duties require such access.
Retention and disposal:
a. Reactor Operator Licensees Records: When case files have been
inactive (i.e., after latest license expiration/termination/
revocation, application denial or withdrawal, or issuance of denial
letter), retired after 3 years to the Federal Records Center; and
destroyed after 10 years.
b. Operator Licensing Tracking System: Retained as long as system is
operational. Destroyed 2 years after system terminates.
System manager(s) and address:
Chief, Operator Licensing Branch, Division of Licensee Performance and
Quality Evaluation, Office of Nuclear Reactor Regulation, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system comes from the individual applying for a
license, the Part 50 licensee, a licensed physician, members of the
Operator Licensing Branch or Regional Operator licensing sections, and
other NRC and contractor personnel.
NRC-17
System name: Occupational Injuries and Illness Records--NRC.
System location:
Primary system--For Headquarters personnel, Office of Personnel, NRC,
8120 Woodmont Avenue, Bethesda, Maryland.
For Regional personnel, at each of the Regional Offices listed in
Addendum I, Part 2.
Categories of individuals covered by the system:
NRC employees who report an occupational injury or illness.
Categories of records in the system:
These records contain information regarding the location and
descriptions of the injury or illness, treatment, and disposition as
well as copies of Workman's Compensation claim forms.
Authority for maintenance of the system:
5 U.S.C. 7902; 29 U.S.C. 657(c) (1988); Executive Orders 12196,
February 26, 1980; 12223, June 30, 1980; 12608, September 9, 1987.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. By the Agency Safety and Health Officer and/or the Chief, Benefits
and Operations Support, Office of Personnel, to prepare periodic
statistical reports on employees' health and injury status for
transmission to and review by the Department of Labor;
b. For transmittal to the Secretary of Labor or an authorized
representative in accordance with duly promulgated regulations;
c. For transmittal to the Office of Personnel Management and/or Merit
Systems Protection Board as required to support individual claims; and
d. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in file folders and on computer disk.
Retrievability:
Indexed by assigned employee case number or name under report
category.
Safeguards:
Maintained in locked file cabinet under visual control of section
employees. Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
Employee case files are destroyed when 5 years old. Computer files are
deleted after the expiration of the retention period authorized for
the disposable hard copy file or when no longer needed, whichever is
later.
System manager(s) and address:
Director, Office of Personnel, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC Public Health Unit; NRC Headquarters and Regional Office feeder
reports; and forms with original information largely supplied by
employees concerned, supervisors, witnesses, medical personnel, etc.
NRC-18
System name:
Office of the Inspector General (OIG) Investigative Records--NRC.
System location:
Office of the Inspector General, NRC, 11545 Rockville Pike, Rockville,
Maryland.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
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).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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
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 to consumer reporting agencies:
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)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information contained in this system is stored manually on index
cards, in files, and in various ADP storage media.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Inspector General, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
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.
Record access procedures:
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.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
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.
Systems exempted from certain provisions of the act:
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.
NRC-19
System name: Official Personnel Training Records Files--NRC.
System location:
Primary system--Office of Personnel, NRC, 8120 Woodmont Avenue,
Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals who have applied for or were selected for either NRC or
other Government/non-Government training courses or programs.
Categories of records in the system:
These records contain information relating to the individual's
educational background and training courses, including applications
for training, training requests, authorizations for training,
evaluations, and other related personnel information (including, but
not limited to, name, address, telephone number (home and office),
social security number, position title, and grade) and correspondence.
Authority for maintenance of the system:
5 U.S.C. 3396; 5 U.S.C. 4103 (1988); Executive Order 9397, November
22, 1943; Executive Order 11348, April 20, 1967, as amended by
Executive Order 12107, December 28, 1978.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be:
a. Extracted from the records and made available to the Office of
Personnel Management; other Federal, State, and local Government
agencies; and educational institutions for use in training programs
related to NRC employees; and
b. Disclosed for the routine uses specified in paragraph numbers 5 and
6 of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Official forms are maintained on paper in file folders; computerized
training data is maintained in the Automated Training System. The
original training request and completion certifications are filed in
the Official Personnel Folder (NRC-11).
Retrievability:
Information is accessed by name, or social security number, or course
number.
Safeguards:
Paper is maintained in locked file cabinets. Access to and use of
these records is limited to those persons whose official duties
require such access. Records are also maintained in a password-
protected computer system.
Retention and disposal:
Paper forms are retained for 5 years, then destroyed by shredding.
Information in the ADP training file is maintained until no longer
needed for statistical and historical reference.
System manager(s) and address:
Chief, Organizational Development and Training, Office of Personnel,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information is provided by the individual to whom it applies, the
employee's supervisor, and training groups, agencies, or educational
institutions and learning activities.
NRC-20
System name: Official Travel Records--NRC.
System location:
Primary system--Division of Accounting and Finance, Office of the
Controller, NRC, 7735 Old Georgetown Road, Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Current and former NRC employees, prospective NRC employees,
consultants, and invitational travelers for NRC programs.
Categories of records in the system:
These records contain Request and Authorization for Official Travel
forms and Travel Vouchers which include individual's name and social
security number.
Authority for maintenance of the system:
5 U.S.C. 5701; 31 U.S.C. 1104, 1108, 3511, 716, 3512, 3701, 3711,
3717, 3718 (1988); Federal Travel Regulations, 41 CFR parts 301-304;
Federal Property Management Regulations, 41 CFR part 101-71; Executive
Order 9397, November 22, 1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. For transmittal to the U.S. Treasury for payment;
b. For transmittal to the Department of State or an embassy for
passports or visas; and
c. For any of the routine uses specified in the Prefatory Statement.
Disclosure to consumer reporting agencies::
Disclosure pursuant to 5 U.S.C. 552a(b)(12):Disclosures of information
to a consumer reporting agency are 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)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in file folders, on computer media, and on
magnetic tape.
Retrievability:
Records are accessed by name, social security number, authorization
number, and voucher payment schedule number.
Safeguards:
Maintained in locked file cabinets in same room as users. For ADP
records, an identification number, a password, and assigned access to
specific programs are required in order to retrieve information.
Retention and disposal:
Paper records are retained for 6 years and 3 months after period
covered by account, then destroyed through regular trash disposal
system. Electronic records are deleted after the expiration of the
retention period authorized for the disposable hard copy file or when
no longer needed, whichever is later.
System manager(s) and address:
Chief, Travel Management Branch, Division of Accounting and Finance,
Office of the Controller, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information is provided by the individual, the organizational
component approving the travel, outside transportation agents, and
rate books for cost information.
NRC-21
System name: Payroll Accounting Records--NRC.
System location:
Primary system--Division of Accounting and Finance, Office of the
Controller, NRC, 7735 Old Georgetown Road, Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Current and former NRC employees, special Government employees, and
consultants.
Categories of records in the system:
Pay, leave, and allowance histories, which includes, but not limited
to, individual's name and social security number.
Authority for maintenance of the system:
5 U.S.C. 6334 (1988); 31 U.S.C. 716, 1104, 1108, 1114, 3325, 3511,
3512, 3701, 3711, 3717, 3718 (1988); Executive Order 9397, November
22, 1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. For transmittal of data to U.S. Treasury to effect issuance of
paychecks to employees and consultants and distribution of pay
according to employee directions for savings bonds, allotments,
financial institutions, and other authorized purposes including the
withholding and reporting of Thrift Savings Plan deductions to the
Department of Agriculture's National Finance Center;
b. For reporting tax withholding to Internal Revenue Service and
appropriate State and local taxing authorities;
c. For FICA deductions to the Social Security Administration;
d. For dues deductions to labor unions;
e. For withholding for health insurance to the insurance carriers and
the Office of Personnel Management;
f. For charity contribution deductions to agents of charitable
institutions;
g. For annual W-2 statements to taxing authorities and the individual;
h. For transmittal to the Office of Management and Budget for review
of budget requests;
i. For withholding and reporting of retirement, reemployed annuitants,
and life insurance information to the Office of Personnel Management;
j. For transmittal of information to State agencies for unemployment
purposes; and
k. For any of the routine uses specified in the Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosures of
information to a consumer reporting agency are 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)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, microfiche, magnetic tape, and computer media.
Retrievability:
Accessed by name and social security number.
Safeguards:
File folders, microfiche, tape, and disks, including backup data, are
maintained in secured locked rooms after working hours. Computer
records are password protected. Access to and use of these records are
limited to those persons whose official duties require such access.
Retention and disposal:
a. Individual Account Files consisting of individual service cards or
equivalent which comprise the Annual and Quarterly Employee History
Records on microfiche are destroyed 56 years after the date of the
last entry on the card.
b. Employee and Consultant Payroll Records:
1. Individual Authorized Allotment Files consisting of documents that
pertain to savings bonds and CFC are destroyed when superseded or
after separation of employee.
2. Individual Authorized Allotment Files consisting of documents that
pertain to union dues and savings are destroyed when superseded or
after transfer or separation of employee.
3. Notification of Personnel Action Files consisting of the Payroll
copies of SF 50s are destroyed when related pay records are audited by
GAO or when 3 years old, whichever is sooner.
4. Payroll Change Files consisting of payroll change slips are
destroyed when related pay records are audited by GAO or when 3 years
old, whichever is sooner.
5. Tax Files consisting of State and Federal withholding tax exemption
certificates, such as IRS Form W-4 and the equivalent state form, are
destroyed 4 years after form is superseded or obsolete.
c. Time and Attendance Reports Files consisting of NRC Form 704 are
destroyed after GAO audit or when 6 years old, whichever is sooner.
d. Administrative Payroll Reports consisting of microfiche reports
that are generated by the Payroll System are destroyed when 3 years
old, excluding the long-term Employee History Reports.
e. Electronic records contained in the Payroll System (PAY) are
destroyed when no longer needed (NRCS 2-10.5). Currently, the
electronic records are retained on disk for 1 year, then transferred
to and retained on magnetic tapes for 3 years.
System manager(s) and address:
Chief, Payroll Branch, Division of Accounting and Finance, Office of
the Controller, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information is provided by the individual and the Office of Personnel.
NRC-22
System name: Personnel Performance Appraisals--NRC.
Part A: Senior Level System employees, GG-1 through 15 employees,
hourly wage employees, scientific and technical schedule employees,
and administratively determined rate employees.
Part B: Senior Executive Service and equivalent employees.
System location:
Primary system--Part A: For Headquarters personnel, Office of
Personnel, NRC, 8120 Woodmont Avenue, Bethesda, Maryland. For Regional
personnel, at the Regional Offices I-V listed in Addendum I, Part 2.
Part B: Office of Personnel, NRC, 8120 Woodmont Avenue, Bethesda,
Maryland.
Duplicate systems--Duplicate systems exist in whole or in part, at the
locations listed in Addendum I, Parts 1 and 2, except for Part B,
which is stored only at Headquarters.
Categories of individuals covered by the system:
NRC employees other than contractor employees, Commissioners, or
temporary personnel employed for less than 1 year.
Categories of records in the system:
This system of records contains performance appraisals, including
current elements and standards, and other related records.
Authority for maintenance of the system:
5 U.S.C 4301, et seq.; 5 U.S.C 4311 et seq. (1988); and 42 U.S.C.
2201(d), 5841 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. By agency management and the Office of Personnel for personnel
functions; and
b. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in folders in locking file cabinets. Summary
ratings are stored in a password-protected computer system.
Retrievability:
Paper records are accessed by name. Computer records are accessed by
name and social security number.
Safeguards:
Paper records are maintained in locking file cabinets; computer
records are password protected. Access to and use of these records are
limited to those persons whose official duties require such access.
Retention and disposal:
Part A: Records are normally retained for 3 years, then destroyed by
incineration. If an employee separates, the records are forwarded to
the next Government Agency employer or to the National Personnel
Records Center.
Part B: Retained for 5 years, or until the fifth annual appraisal is
completed, whichever is later, then destroyed by incineration. If the
employee separates, the records are forwarded to the next Government
Agency employer or to the National Personnel Records Center.
Electronic records: Deleted after the expiration of the retention
period authorized for the disposable hard copy file or when no longer
needed, whichever is later.
System manager(s) and address:
Part A: Chief, Policy and Labor Relations, Office of Personnel, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001. For Regional
personnel, at Regional Offices I-V listed in Addendum I, Part 2.
Part B: Chief, Executive and Operational Support Programs, Office of
Personnel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Part A: Individual to whom record pertains and employee's supervisors.
Part B: Individual to whom record pertains and employee's supervisors;
any documents and sources used to develop critical elements and
performance standards for that Senior Executive Service position.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k) (1) and (5), 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.
NRC-23
System name: Office of Investigations Indices, Files, and
Associated Records--NRC.
System location:
Primary system--Office of Investigations, NRC, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate system--Duplicate systems exist, in whole or in part, at the
locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals and entities referred to in potential or actual cases and
matters of concern to the Office of Investigations and correspondents
on subjects directed or referred to the Office of Investigations.
Categories of records in the system:
The system consists of alphabetical and numerical index files bearing
individual names and identifiers, and a numerical index of case
numbers. These indices provide access to associated records that are
arranged by subject matter, title, or identifying number(s) or
letter(s). The system incorporates the records of all Office of
Investigations correspondence, cases, memoranda, materials including,
but not limited to, investigative reports, confidential source
information, correspondence to and from the Office of Investigations,
memoranda, fiscal data, legal papers, evidence, exhibits, technical
data, investigative data, work papers, and management information
data.
Authority for maintenance of the system:
42 U.S.C. 2035(c), 2201(c), and 5841(f) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. A record in the system of records may be disclosed as a routine use
to a Federal, State, local, or foreign agency or to an individual or
organization if the disclosure is reasonably necessary to elicit
information or to obtain the cooperation of a witness or an informant.
b. A record in the system of records relating to a case or matter
falling within the purview of the Office of Investigations may be
disclosed as routine use to the referring agency, group, organization,
or individual of the status of the case or matter or of any decisions
or determinations that have been made.
c. A record in the system of records relating to an individual held in
custody pending arraignment, trial, or sentence, or after conviction,
may be disclosed as a routine use to a Federal, State, local, or
foreign prison, probation, parole, or pardon authority, to any agency
or individual concerned with the maintenance, transportation, or
release of such an individual.
d. A record in the system of records relating to a case or matter may
be disclosed as a routine use to a foreign country pursuant to an
international treaty or convention entered into and ratified by the
United States.
e. A record in the system of records may be disclosed as a routine use
to a Federal, State, local, or foreign law enforcement agency to
assist in the general crime prevention and detection efforts of the
recipient agency or to provide investigative leads to such agency.
f. A record in the system of records may be disclosed for any of the
routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information contained in this system is manually stored on index
cards, in files, and in various ADP storage media.
Retrievability:
Information is retrieved from indices by the name or identifier of the
individual or entity, and from the files by number(s) and/or letter(s)
assigned and appearing in the indices.
Safeguards:
The index is maintained in approved security containers and locking
filing cabinets; and the indices, associated records, disks, tapes,
etc., are located in locking metal filing cabinets, safes, storage
rooms, or similar secure facilities. All records are under visual
control during duty hours and are available only to authorized
personnel who have a need to know and whose duties require access to
the information.
Retention and disposal:
a. Inquiry case files--Retain closed inquiry case files in office for
2 years, then retire to the Office of Information Resources
Management. Destroy 10 years after cases are closed.
b. Investigation Case Files:
1. Significant headquarters official case files (received media
attention, were of significant interest to Congress, involved
extensive litigation, etc.) are retained by the government
permanently. Hold in office for 2 years after closing, then retire to
the Office of Information Resources Management. Transfer closed case
files in 10-year blocks to the National Archives.
2. Other headquarters official case files--Hold in office 2 years
after closing, then retire to the Office of Information Resources
Management. Destroy 10 years after cases are closed.
3. Regional office or investigator working files--Retained in regional
files for 6 months. At the end of 6 months, they are forwarded to
headquarters and combined with the headquarters files.
c. Index/Indices--Destroy or delete with related records or sooner if
no longer needed.
System manager(s) and address:
Director, Office of Investigations, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
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 the
procedures covering confidentiality in Chapter 7 of the Office of
Investigations Procedures Manual and will not be disclosed to the
extent that disclosure would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
The information in this system of records is obtained from sources
including, but not limited to, NRC officials and employees; Federal,
State, local, and foreign agencies; and other persons.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), (k)(2), 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.
NRC-24
System name: Government Property Accountability System--NRC.
System location:
Primary System--
a. Property, Procurement and Grants Branch, Division of Contracts and
Property Management, Office of Administration, NRC, 7920 Norfolk
Avenue, Bethesda, Maryland;
b. Law Library, Program Support Branch, Office of the General Counsel,
NRC, 11555 Rockville Pike, Rockville, Maryland;
c. Telecommunications Branch, Division of Computer and
Telecommunications Services, Office of Information Resources
Management, NRC, 7920 Norfolk Avenue, Bethesda, Maryland;
d. Library Services Section, Information and Records Management
Branch, Division of Information Support Services, Office of
Information Resources Management, NRC, 7920 Norfolk Avenue, Bethesda,
Maryland;
e. Information and Records Management Branch, Division of Information
Support Services, Office of Information Resources Management, NRC,
7735 Old Georgetown Road, Bethesda, Maryland;
f. Office Automation and Network Development Branch, Division of
Computer and Telecommunications Services, Office of Information
Resources Management, NRC, 7920 Norfolk Avenue, Bethesda, Maryland;
and
g. Administrative Service Center, Facility Management Branch, Division
of Contracts and Property Management, Office of Administration, NRC,
11555 Rockville Pike, Rockville, Maryland.
Duplicate Systems--Duplicate systems exist, in whole or in part, at
locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
NRC employees and contractors who have custody of Government property.
Categories of records in the system:
These records contain information about the property and library
materials (such as type, make, model, serial number, NRC tag numbers,
location, title, etc.), and information about the custodians of the
property and library materials (such as name, social security number,
office, and office location).
a. Property, Procurement and Grants Branch--Major items of equipment
(e.g., office furnishings, automobiles, etc.) and items of sensitive
property (e.g., cameras and cassette recorders);
b. Law Library--Library materials including books, microforms,
periodicals, and legislative materials.
c. Telecommunications Branch--Telecommunications property (e.g.,
pagers, modems, credit cards);
d. Library Services Section--Books and library materials;
e. Information and Records Management Branch--Record/nonrecord
holdings;
f. Office Automation and Network Development Branch--ADP equipment and
microcomputer software; and
g. Administrative Service Center--Parking permits for NRC-controlled
parking spaces.
Authority for maintenance of the system:
31 U.S.C. 3511; 40 U.S.C. 483 (b), (c) and 487(a) (1988); Executive
Order 9397, November 22, 1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To maintain an inventory and accountability of Government property;
b. To provide information for clearances of employees who separate
from the NRC; and
c. For any of the routine uses specified in paragraph numbers 1, 3, 5,
and 6 of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper records, NRC forms, magnetic tape, automated
systems, and in locked file cabinets, with history and audit files.
Retrievability:
Accessed by name, social security number, NRC tag number, office, and
office location.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access. Computer records are password
protected.
Retention and disposal:
The hardcopy records are retained for up to 3 years after an
individual's responsibility for the assigned equipment terminates;
then they are destroyed by shredding or in the regular trash disposal
system. The major automated records are destroyed when no longer
needed, or at the same time as the hardcopy records, whichever is
later. Minor automated tracking systems are destroyed when no longer
needed.
System manager(s) and address:
a. Chief, Property, Procurement and Grants Branch, Division of
Contracts and Property Management, Office of Administration, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001;
b. Chief, Program Support Branch, Office of the General Counsel, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001;
c. Chief, Telecommunications Branch, Division of Computer and
Telecommunications Services, Office of Information Resources
Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001;
d. Chief, Library Services Section, Information and Records Management
Branch, Division of Information Support Services, Office of
Information Resources Management, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001;
e. Chief, Information and Records Management Branch, Division of
Information Support Services, Office of Information Resources
Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001;
f. Chief, Office Automation and Network Development Branch, Division
of Computer and Telecommunications Services, Office of Information and
Resources Management, U.S. Nuclear Regulatory Commission, Washington,
DC 20555-0001; and
g. Coordinator, Administrative Service Center, Facility Management
Branch, Division of Contracts and Property Management, Office of
Administration, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from NRC forms signed by
the individuals having custody of the items, or from reports and
memoranda received by the Systems Managers.
NRC-25
System name: Oral History Program--NRC.
System location:
Office of the Secretary of the Commission, NRC, 11555 Rockville Pike,
Rockville, Maryland.
Categories of individuals covered by the system:
NRC employees, former employees, and other individuals who volunteer
to be interviewed for the purpose of providing information for a
history of the nuclear regulatory program.
Categories of records in the system:
Records consist of interviews on magnetic tape and transcribed scripts
of the interviews.
Authority for maintenance of the system:
42 U.S.C. 2161b (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. For incorporation in publications on the history of the nuclear
regulatory program; and
b. To provide information to historians and other researchers.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on magnetic tape and transcripts.
Retrievability:
Information is accessed by the name of the interviewee.
Safeguards:
Maintained in locked file room. Access to and use of these records are
limited to those authorized by the Historian or a designee.
Retention and disposal:
Transcripts are retained permanently. Tapes are retained until no
longer needed then erased and reused.
System manager(s) and address:
NRC Historian, Office of the Secretary, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records is obtained from interviews
granted on a voluntary basis to the Historian and his or her staff.
NRC-26
System name: Administrative Services Files--NRC.
System location:
Primary system--Office of Administration, Administrative Service
Center, One White Flint North, 11555 Rockville Pike, Rockville,
Maryland.
Duplicate system--A duplicate system exists, in whole or in part, at
the Energy Federal Credit Union, One White Flint North, 11555
Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
NRC Federal Government employees who apply for subsidized mass transit
costs.
Categories of records in the system:
The records consist of employee applications to participate in the NRC
FULL SHARE program. This application includes the employee applicant's
name, home address, duty station, duty telephone number, badge number,
and information regarding employee's commuting schedule and mass
transit system(s) used. Other records in the system include reports
from the Energy Federal Credit Union on employee purchases of
subsidized mass transit tickets, reports from the NRC's Division of
Accounting and Finance on the use of subsidized funds for the NRC FULL
SHARE program, and reports from Administrative Service Center when
employee has exceeded the allowable de minimis fare subsidy amount.
Authority for maintenance of the system:
5 U.S.C. 7901 note prec. (Supp. II 1990); 42 U.S.C. 161 (1988); 41 CFR
101-20.104-3(a) (1992).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To report to the Internal Revenue Service the amount of Government
funds used by a Government employee when the employee exceeds the
allowable de minimis fare subsidy amount;
b. To provide an electronic authorization to the Energy Federal Credit
Union that sell Federal subsidized mass transit tickets to employees;
c. To provide statistical reports to the city, county, State, and
Federal Government agencies;
d. For the routine uses specified in paragraph numbers 1, 4, 5, and 6
in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper in file folders and on computer disk.
Retrievability:
Indexed by name of employee and NRC badge number.
Safeguards:
Paper records and backup floppy disks are maintained in locked file
cabinets under visual control and employees of the Administrative
Services Center. Computer files are maintained on a hard drive, access
to which is password protected. Access to and use of these records are
limited to those persons whose official duties require access and
Energy Federal Credit Union employees who need authorization to sell
federally-subsidized mass transit tickets.
Retention and disposal:
Records are retained for 1 year following the last month of an
employee's participation in the subsidized mass transit fare program.
Paper copies are destroyed by shredding. Computer files are destroyed
by deleting the record from the file.
System manager(s) and address:
Coordinator, Administrative Service Center, Division of Contracts and
Property Management, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Applications submitted by NRC employees and reports from the Energy
Federal Credit Union, the NRC Division of Accounting and Finance, and
the Administrative Service Center.
NRC-27
System name: Radiation Exposure Information and Reports System
(REIRS) Files--NRC.
System location:
Primary system--Science Applications International Corporation (SAIC),
165 Mitchell Road, Oak Ridge, Tennessee 37830.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals monitored for radiation exposure while employed by or
visiting or temporarily assigned to certain NRC-licensed facilities;
individuals who are exposed to radiation or radioactive materials in
incidents required to be reported pursuant to 10 CFR 20.403 and 20.405
by all NRC licensees; individuals who may have been exposed to
radiation or radioactive materials offsite from a facility, plant
installation, or other place of use of licensed materials, or in
unrestricted areas, as a result of an incident involving byproduct,
source, or special nuclear material.
Categories of records in the system:
These records contain information relating to an individual's name,
sex, social security number, birth date, period of employment, place
and period date of exposure; name and license number of individual's
employer; name and number of licensee reporting the information;
radiation doses or estimates of exposure received during this period,
type of radiation, part(s) or organ(s) exposed, and nuclide(s)
involved.
Authority for maintenance of the system:
42 U.S.C. 2073, 2093, 2095, 2111, 2133, 2134, and 2201(o) (1988); 10
CFR 20.401, 20.408-20.409 (1992); Executive Order 9397, November 22,
1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide data to other Federal and State agencies involved in
monitoring and/or evaluating radiation exposure received by
individuals as enumerated in the paragraph ``Categories of individuals
covered by the system''; and
b. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are computerized and maintained on magnetic tape, maintained
in log books, and filed as either a computer printout or original
paper document.
Retrievability:
Records are accessed by individual name, social security number, and
by licensee name or number.
Safeguards:
Information maintained at SAIC is accessible only to the Office of
Nuclear Regulatory Research. Reports kept by the Office of Nuclear
Regulatory Research are in file cabinets and bookcases in a secured
building. A log is maintained of both telephone and written requests
for information.
Retention and disposal:
REIRS (NRC-27) Retention and Disposal
a. Original paper documents from which all data are entered into REIRS
are destroyed 2 years after input into REIRS;
b. Original paper documents from which only selected data are entered
into REIRS are retained permanently;
c. Log books are retained permanently;
d. Computer printouts are destroyed when superseded or obsolete; and
e. Magnetic tapes are retained permanently.
System manager(s) and address:
REIRS Project Manager, Radiation Protection & Health Effects Branch,
Division of Regulatory Applications, Office of Nuclear Regulatory
Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records either comes from licensees
required to report radiation exposure information; the subject
individual; the individual's employer; the person in charge of the
facility where the individual has been assigned; or NRC Form 5,
Occupational Exposure Record for a Monitoring Period.
NRC-28
System name: Recruiting, Examining, and Placement Records--NRC.
System location:
Primary system--For Headquarters personnel, Office of Personnel, NRC,
8120 Woodmont Avenue, Bethesda, Maryland. For Regional personnel, at
each of the Regional Offices listed in Addendum I, Part 2. For
applicants to the Honor Law Graduate Program, Office of the General
Counsel, NRC, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Persons who have applied for Federal employment with the NRC. NRC
employees in the upward mobility and COOP program.
Categories of records in the system:
These records contain general application information relating to the
education, training, employment history, earnings, past performance,
criminal convictions, if any, honors, awards or fellowships, military
service, veteran preference status, birth date, social security
number, home address and telephone numbers of persons who have applied
for Federal employment with the NRC (SF-171, resumes, and similar
documents). The records also contain personnel qualification
statements, job descriptions, self-evaluation forms, examination
results, supervisory evaluation forms, performance appraisals, upward
mobility counselor's reports, training guides, course plans,
interviewer evaluation forms, and related correspondence.
Authority for maintenance of the system:
5 U.S.C. 3301, 5101, 7201 (1988); 42 U.S.C. 2000e; 42 U.S.C. 2201(d)
(1988); Executive Order 9397, November 22, 1943; Executive Order
11478, August 8, 1969 as amended by Executive Order 11590, April 23,
1971; Executive Order 12106, December 28, 1978.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To furnish information to agencies related to transfer or
consideration of employment;
b. To prepare reports for transmittal to the Office of Personnel
Management and/or Merit Systems Protection Board; and
c. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained primarily on paper, forms, and lists in file
folders. Also, certain data is maintained on computer media.
Retrievability:
Records are indexed by name and an identification number assigned to
each individual.
Safeguards:
Maintained in unlocked file cabinets and in a password-protected
automated system. Access to and use of these records are limited to
those persons whose official duties require such access.
Retention and disposal:
a. Applications and related correspondence are destroyed when 2 years
old;
b. Registers of eligibles are destroyed 5 years after an individual's
eligibility terminates;
c. Cancelled and ineligible applications are returned to the applicant
or are destroyed 90 days after date of action;
d. Eligible applications are destroyed upon termination of the
register unless brought forward to new register or placed on inactive
register;
e. Electronic records contained in the Applicant Review System are
destroyed when 2 years old or when no longer needed, whichever is
later; and
f. General correspondence records are destroyed when 3 years old.
System manager(s) and address:
Chief, Recruitment, Incentive and Benefits Programs; Chief, Employment
Staffing Programs; Chief, Executive and Operational Support, Office of
Personnel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001. For applicants to the Honor Law Graduate Program--Chief, Program
Support Branch, Office of the General Counsel, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information was received in
confidence and will not be disclosed to the extent that disclosure
would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records either comes from the individual
to whom it applies or is derived from information supplied by that
individual, individual's current and previous supervisor within and
outside NRC, upward mobility and COOP counselors and program
coordinator, with the exception of reports from medical personnel on
physical qualifications, results of examinations, preemployment
evaluation data furnished by references and educational institutions
whose names were supplied by applicant, and information from other
Federal agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), 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.
NRC-29
System name: Nuclear Documents System (NUDOCS)--NRC.
System location:
Primary system--Office of Information Resources Management, NRC, 7920
Norfolk Avenue, Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2; NUDOCS Contractor
Site, 7101 Wisconsin Avenue, Suite 1400, Bethesda, Maryland; and the
NRC Local Public Document Rooms (LPDRs) at the addresses indicated in
NUREG/BR-0088; licensee locations, National Laboratories, and other
locations utilizing NRC documents.
Categories of individuals covered by the system:
NRC staff, contractors, subcontractors, licensees, Congressional
offices, and other correspondents with the NRC.
Categories of records in the system:
Documents both received by and originated by the NRC. No classified
information is maintained in the system.
Authority for maintenance of the system:
44 U.S.C. 3101 (1988).
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Information in these records may be used:
a. To refer, where appropriate, inquiries to other Federal agencies or
persons for their reply or action;
b. To provide information to persons or agencies requesting this
information, including provision of daily accession lists in the NRC
PDR and weekly and annual accession lists in the LPDRs;
c. To prepare a monthly ``Title List of Documents Made Publicly
Available (NUREG-0540)'';
d. To serve as the NRC's official record for documents placed in the
system; and
e. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on microfiche, disks, and tapes.
Retrievability:
Accessed by name (author, recipient, word, or phrase), corporate
source, title of document, subject matter, word or phrase, or other
identifying document or control number.
Safeguards:
Access to and use of NRC internal records are limited to NRC
personnel. Information not exempt from disclosure under the Freedom of
Information Act (FOIA), 10 CFR part 9, and 10 CFR 2.790 is publicly
available in the NRC PDR and LPDRs. Automated records are password
protected.
Retention and disposal:
NUDOCS records are currently unscheduled and must be retained until a
records disposition schedule for this material is approved by the
National Archives and Records Administration.
System manager(s) and address:
Chief, Document Management Branch, Office of Information Resources
Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the correspondence
originated by and received by NRC, and NRC employees.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), 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). This exemption rule is contained in
10 CFR 9.95 of the NRC regulations.
NRC-30
System name: Manpower Resource Tracking System Records--NRC.
System location:
Primary system--Division of Computer and Telecommunications Services,
Office of Information Resources Management, NRC, 7920 Norfolk Avenue,
Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2, and at the National
Institutes of Health Computer Facility, Bethesda, Maryland.
Categories of individuals covered by the system:
NRC employees.
Categories of records in the system:
These records contain information relating to the number of regular
and nonregular hours worked, the nature of the work, and work load
projections, scheduling and project assignments.
Authority for maintenance of the system:
42 U.S.C. 2201(d), 2201(p) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. As a project management tool in various management records
throughout the NRC; and
b. For the routine uses specified in paragraph numbers 5 and 6 of the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on paper and in computer files, computer records, on tapes,
and disks.
Retrievability:
Accessed by name, project, program, or activity numbers; docket
number; Technical Assignment Control System (TACS); or planned
accomplishment numbers.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access. Automated system records are
password protected.
Retention and disposal:
Retained until no longer needed.
System manager(s) and address:
Director, Division of Computer and Telecommunications Services, Office
of Information Resources Management, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the individual to
whom it pertains, individual's supervisors, and NRC management.
NRC-31
System name: Correspondence and Records, Office of the
Secretary--NRC.
System location:
Primary system--Office of the Secretary, Correspondence and Records
Branch, NRC, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the Contractor Site, 7101 Wisconsin Avenue, Suite 1400, Bethesda,
Maryland; and at the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
The majority of records in this system consist of internal NRC
memoranda between NRC employees and the Chairman, a Commissioner, or
the Secretary in the ordinary course of carrying out the official
business of the NRC. Records also include correspondence from Members
of Congress and their staffs including constituent referrals and White
House correspondence referred to the NRC for response as well as
correspondence from representatives of industries and other groups
affected by NRC regulations, and the general public. Correspondence
may identify an individual's social security number, birth date,
address, and employment.
Categories of records in the system:
These records contain information concerning all subjects which
directly or indirectly relate to the fulfillment of NRC's statutory
mandate. Records include information dealing with the policy, legal,
administrative, and adjudicatory functions of the NRC.
Authority for maintenance of the system:
44 U.S.C. 3101 (1988).
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Information in these records may be used for any of the routine uses
specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in file folders, on computer media, and on
microfiche.
Retrievability:
Records may be accessed by subject matter headings, author's last
name, addressee's last name, activity number, date of document, and
date of receipt of document or file location.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access. Classified materials are
maintained in approved safes, and unclassified records are maintained
in file cabinets and rolling file equipment. Computer files are
password protected.
Retention and disposal:
Paper records and the related computer indexes are retained
permanently.
System manager(s) and address:
Chief, Correspondence and Records Branch, Office of the Secretary,
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information is classified
pursuant to Executive Order 12356 and will not be disclosed.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from communications to the
Commission and responses thereto.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), 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.
NRC-32
System name:
Licensee and Applicant Taxpayer Identification Number Records--NRC.
System location:
License Fee and Debt Collection Branch, Office of the Controller, NRC,
11545 Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
NRC licensees and individuals or corporations who have filed
applications for an NRC license.
Categories of records in the system:
License Fee and Debt Collection Branch computer systems maintaining
taxpayer ID numbers, application or license numbers, and billing
information. These computerized data bases also include licensee or
applicant names, billing addresses, license or application numbers,
fee categories, regional affiliations, and billing histories. Paper
forms submitted by licensees and applicants containing taxpayer ID
numbers are also maintained in this system.
Authority for maintenance of the system:
5 U.S.C. 552a(b)(12); 5 U.S.C. 5514; 15 U.S.C. 1681a(f); 26 U.S.C.
6103(m)(2); 31 U.S.C. 37, subchapters I and II; 31 U.S.C. 3701(a)(3)
(1988); 31 U.S.C. 3711; 31 U.S.C. 3716; 31 U.S.C. 3717; 31 U.S.C.
3718; 31 U.S.C. 3720A (1988); 42 U.S.C. 2201 (1988); 42 U.S.C. 5841
(1988); Cash Management Improvement Act Amendments of 1992 (Pub. L.
102-589); 10 CFR parts 15, 16, 170, 171 (1994); section 206 of
Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To debt collection contractors for the purpose of collecting
delinquent debts as authorized by the Debt Collection Act of 1982, 31
U.S.C. 3718.
b. To the Defense Manpower Data Center, Department of Defense; the
United States Postal Service; or any other Federal, State, or local
agency to conduct an authorized computer matching program in
compliance with the Privacy Act of 1974, as amended, to identify and
locate individuals who are delinquent in their repayment of debts owed
to the U.S. Government under certain programs or services administered
by the NRC in order to collect the debts under the provisions of the
Debt Collection Act of 1982 (5 U.S.C. 5514) by voluntary repayment, by
administrative or salary offset, or by referral to collection
contractors.
c. To the U.S. General Accounting Office, Department of Justice,
United States Attorney, or other Federal agencies for further
collection action on any delinquent account when circumstances
warrant.
d. To a commercial credit reporting agency for the purpose of either
adding to a credit history file or obtaining a credit history file for
use in the administration of debt collection.
e. To any Federal agency where the debtor is employed or receiving
some form of remuneration for the purpose of enabling that agency to
collect a debt owed the U.S. Government on NRC's behalf by counseling
the debtor for voluntary repayment or by initiating administrative or
salary offset procedures under the provisions of the Debt Collection
Act of 1982 (5 U.S.C. 5514).
f. To the Internal Revenue Service (IRS) by computer matching to
obtain the mailing address of a taxpayer for the purpose of locating
such taxpayer to collect or to compromise a Federal claim by NRC
against the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in
accordance with 31 U.S.C. 3711, 3717, and 3718. Redisclosure of a
mailing address obtained from the IRS may be made only for debt
collection purposes, including to a debt collection agency to
facilitate the collection or compromise of a Federal claim under the
Debt Collection Act of 1982, except that redisclosure of a mailing
address to a commercial reporting agency is for the limited purpose of
obtaining a commercial credit report on the particular taxpayer. Any
such mailing address information obtained from the IRS will not be
used or shared for any other NRC purpose or disclosed by NRC to
another Federal, State, or local agency which seeks to locate the same
taxpayer for its own debt collection purpose.
g. Referral of legally enforceable debts to the Internal Revenue
Service to be offset against the debtor's tax refunds under the
Federal Tax Refund Offset Program.
h. For any of the routine uses specified in the Prefatory Statement of
General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures of
information to a consumer reporting agency are 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. 1681(a)(f)) or the Federal Claims Collection
Act of 1966, as amended (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system
Storage:
Information contained in this system is stored on hard copy and on
computer media.
Retrievability:
Information is retrieved by license number, application number,
licensee or applicant name, invoice number, or taxpayer identification
number.
Safeguards:
The hard copy records and data bases are maintained in an area where
access is controlled by keycard and limited to those with a need for
access to the work area, and in a building where access is controlled
by a security guard force.
These records are under visual control during duty hours. After duty
hours, access to the building is controlled by a security guard force
and access to each floor is controlled by key card. Computer records
are password protected.
Retention and disposal:
These records are destroyed in accordance with the retention periods
provided for in General Records Schedule (GRS) GRS 6-10.b. or when no
longer needed, whichever is later. Computer files are deleted after
the expiration of the retention period authorized under the General
Records Schedule for the disposable hard copy file or when no longer
needed, whichever is later.
System manager(s) and address:
Chief, License Fee and Debt Collection Branch, Division of Accounting
and Finance, Office of the Controller, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC; NRC licensees and applicants for NRC licenses; employing agency
of debtor; collection agencies; and Federal, State, or local agencies
furnishing identifying and/or address information.
NRC-33
System name: Special Inquiry File--NRC.
System location:
Primary system--Special Inquiry Group, NRC, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals possessing information regarding or having knowledge of
matters of potential or actual concern to the Commission in connection
with the investigation of an accident or incident at a nuclear power
plant or other nuclear facility, or an incident involving nuclear
materials or an allegation regarding the public health and safety
related to the NRC's mission responsibilities.
Categories of records in the system:
The system consists of an alphabetical index file bearing individual
names. The index provides access to associated records which are
arranged by subject matter, title, or identifying number(s) and/or
letter(s). The system incorporates the records of all Commission
correspondence, memoranda, audit reports and data, interviews,
questionnaires, legal papers, exhibits, investigative reports and
data, and other material relating to or developed as a result of the
inquiry, study, or investigation of an accident or incident.
Authority for maintenance of the system:
42 U.S.C. 2201 (c), (i) and (o) (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. To provide information relating to an item which has been referred
to the Commission or Special Inquiry Group for investigation by an
agency, group, organization, or individual and may be disclosed as a
routine use to notify the referring agency, group, organization, or
individual of the status of the matter or of any decision or
determination that has been made;
b. To disclose a record as a routine use to a foreign country pursuant
to an international treaty or convention entered into and ratified by
the United States;
c. To provide records relating to the integrity and efficiency of the
Commission's operations and management and may be disseminated outside
the Commission as part of the Commission's responsibility to inform
the Congress and the public about Commission operations; and
d. For any of the routine uses specified in paragraph numbers 1, 2, 4,
5, and 6 of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on microfiche, disks, tapes, and paper in file folders.
Documents are maintained in secured vault facilities.
Retrievability:
Accessed by name (author or recipient), corporate source, title of
document, subject matter, or other identifying document or control
number.
Safeguards:
These records are located in locking metal filing cabinets or safes in
a secured facility and are available only to authorized personnel
whose duties require access.
Retention and disposal:
Paper and microfiche records and related alphabetical indexes are
retained permanently. Electronic records are also retained
permanently.
System manager(s) and address:
Records Manager, Special Inquiry Group, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Information classified pursuant to
Executive Order 12356 will not be disclosed. Information received in
confidence will not be disclosed to the extent that disclosure would
reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
The information in this system of records is obtained from sources
including, but not limited to, NRC officials and employees; Federal,
State, local, and foreign agencies; NRC licensees; nuclear reactor
vendors and architectural engineering firms; other organizations or
persons knowledgeable about the incident or activity under
investigation; and relevant NRC records.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), 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.
NRC-34
System name: Advisory Committee on Reactor Safeguards (ACRS) and
Advisory Committee on Nuclear Waste (ACNW) Correspondence Index
and Associated Records--NRC.
System location:
Primary system--Advisory Committee on Reactor Safeguards and Advisory
Committee on Nuclear Waste, NRC, 7920 Norfolk Avenue, Bethesda,
Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the National Institutes of Health Computer Facility, Bethesda,
Maryland.
Categories of individuals covered by the system:
Persons providing information to or requesting information from the
ACRS or ACNW, individuals who correspond with the ACRS and ACNW, and
individuals who provide technical information to ACRS and ACNW.
Categories of records in the system:
These records contain information relating to incoming requests and
correspondence from individuals and replies thereto and a listing of
technical information by authors' names.
Authority for maintenance of the system:
44 U.S.C. 3101 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used for any of the routine uses
specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Indexing is maintained on computer media and individual materials are
located in ACRS and ACNW files in file folders and on microfilm.
Retrievability:
Indexed by one or more of the following categories: Author and
addressee's name, subject title using the Key Word Out of Context
(KWOC) index, and issuing organization or agency.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access. Automated records are password
protected.
Retention and disposal:
ACRS and ACNW program correspondence and project files are retained
permanently. Computer indexes and related microfilm are retained until
no longer needed.
System manager(s) and address:
Chief, Technical Information Branch, Advisory Committee on Reactor
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Records contain information prepared by private individuals or
organizations, Government agencies and their contractors, companies,
and other groups such as the American National Standards Institute
(ANSI).
NRC-35
System name: Drug Testing Program Records--NRC.
System location:
Primary system--Division of Security, Office of Administration, 7735
Old Georgetown Road, Bethesda, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in part,
at the locations listed in Addendum I, Parts 1 and 2; and at
contractor testing laboratories at collection/evaluation facilities,
and at the National Institutes of Health (NIH), Bethesda, Maryland.
Categories of individuals covered by the system:
Persons including NRC employees, applicants, consultants, licensees,
and contractors.
Categories of records in the system:
These records contain information regarding the drug testing program;
requests for and results of initial, confirmatory and followup
testing, if appropriate; additional information supplied by NRC
employees, employment applicants, consultants, licensees, or
contractors in challenge to positive test results; and written
statements or medical evaluations of attending physicians and/or
information regarding prescription or nonprescription drugs.
Authority for maintenance of the system:
5 U.S.C 7301 (note); 42 U.S.C. 290ee-3 (1988); Executive Order 12564,
September 15, 1986; Pub.L. 100-71, ``Supplemental Appropriations Act
of 1987,'' Amendment No. 416, July 11, 1987; Pub.L. 100-440, Section
628, September 22, 1988; Federal Personnel Manual Letter 792-19,
``Establishing a Drug-Free Federal Workplace,'' December 13, 1989.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used by the Division of Security
and NRC management:
a. To identify substance abusers within the agency;
b. To initiate counseling and/or rehabilitation programs;
c. To take personnel actions;
d. To take personnel security actions; and
e. For statistical purposes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, on index cards, and on
computer media. Specimens are maintained in appropriate environments.
Retrievability:
Records are indexed and accessed by name, social security number,
testing position number, specimen number, drug testing laboratory
accession number, or a combination thereof.
Safeguards:
Access to and use of these records is limited to those persons whose
official duties require such access, with records maintained and used
with the highest regard for personal privacy. Records in the Division
of Security are stored in an approved security container under the
immediate control of the Director, Division of Security, or designee.
Records at other NRC locations and in laboratory/collection/evaluation
facilities will be stored under appropriate security measures so that
access is limited and controlled.
Retention and disposal:
Employee acknowledgement of notice forms are destroyed when employee
separates from testing designated position. Selection and scheduling
records, chain of custody records, and test results are destroyed when
three years old, except for records used in disciplinary actions which
are destroyed four years after the case is closed. Collection and
handling record books are destroyed three years after date of last
entry. Electronic records of the Employee Drug Testing System are
deleted after the expiration of the retention period authorized for
the disposable hard copy file or when no longer needed, whichever is
later. Index cards are destroyed with related records or sooner if no
longer needed.
System manager(s) and address:
Director, Division of Security, Office of Administration, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC employees, employment applicants, consultants, and contractors who
have been identified for drug testing who have been tested; physicians
making statements regarding medical evaluations and/or authorized
prescriptions for drugs; NRC contractors for processing including, but
not limited to, specimen collection, laboratories for analysis, and
medical evaluations; and NRC staff administering the drug testing
program to ensure the achievement of a drug-free workplace.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), 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.
NRC-36
System name: Employee Locator Records Files--NRC.
System location:
Primary system--Part A: Telecommunications Branch, Division of
Computer and Telecommunications Services, Office of Information
Resources Management, 7920 Norfolk Avenue, Bethesda, Maryland.
Part B: Director, Office of Personnel, 8120 Woodmont Avenue, Bethesda,
Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
NRC employees, contractors, and consultants.
Categories of records in the system:
These records contain information relating to name, address (home and
business), telephone numbers (home, business, and pager), social
security number, organization, persons to be notified in case of
emergency, and other related records.
Authority for maintenance of the system:
44 U.S.C. 3101 (1988); Executive Order 9397, November 22, 1943.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used for:
a. Notification of employee in case of an emergency;
b. Notification of employee regarding matters of official business;
c. Verification of accuracy of and update of Automated Payroll System
file on employee home addresses and zip codes;
d. Conducting statistical studies, and
e. The routine use specified in paragraph number 6 of the Prefatory
Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained within computerized telephone directory systems and on
hardcopy listings.
Retrievability:
Indexed by name.
Safeguards:
Part A: System is password protected and is maintained in a controlled
access room under 24-hour visual control of NRC operators.
Part B: System is maintained in a locked room. Access to and use of
these records are limited to those persons whose official duties
require such access.
Retention and disposal:
Retained until 3 months after association with NRC is discontinued,
then destroyed by shredding.
System manager(s) and address:
Part A: Chief, Telecommunications Systems Support Section #1,
Telecommunications Branch, Division of Computer and Telecommunications
Services, Office of Information Resources Management, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Part B: Director, Office of Personnel, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Individual on whom the record is maintained, general personnel
records, and other related records.
NRC-37
System name: Information Security Files and Associated Records--
NRC.
System location:
Primary system--Division of Security, Office of Administration, NRC,
11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Persons including present or former NRC employees, contractors,
consultants and licensees; other Government agency personnel; and
other cleared persons.
Categories of records in the system:
These records include information regarding:
a. Personnel who are authorized access to specified levels, categories
and types of information, the approving authority, and related
documents; and
b. Names of individuals who classify documents (e.g., for the
protection of information relating to the U.S. national defense and
foreign relations) as well as information identifying the document.
Authority for maintenance of the system:
42 U.S.C 2165 and 2201(i) (1988); Executive Order 12356, April 2,
1982.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in this system may be used for any of the routine uses
specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained primarily in file folders, on index cards, and on computer
media.
Retrievability:
Indexed and accessed by name and/or assigned number.
Safeguards:
Maintained in locked buildings, containers, or security areas under
guard and/or alarm protection, as appropriate. Records are processed
only on systems approved for processing classified information. These
systems are stand alone systems with removable hard drives that are
either stored in locked security containers or in alarmed vaults
cleared for open storage of TOP SECRET information.
Retention and disposal:
a. Classified documents, administrative correspondence, document
receipts, destruction certificates, classified document inventories,
and related records--retained 2 years, then destroyed by shredding;
b. Top Secret Accounting and Control files: Registers--retained 5
years after documents shown on form are downgraded, transferred, or
destroyed by shredding; Accompanying forms--retained until related
document is downgraded, transferred, or destroyed by shredding.
c. Automated records are updated monthly and quarterly, and are
maintained until no longer needed.
System manager(s) and address:
Director, Division of Security, Office of Administration, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information is classified
pursuant to Executive Order 12356 and will not be disclosed. Other
information has been received in confidence and will not be disclosed
to the extent that disclosure would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Persons, including NRC employees, contractors, consultants, and
licensees, as well as information furnished by other Government
agencies or their contractors.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1) and (5), 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 NRC regulations.
NRC-38
System name: Mailing Lists--NRC.
System location:
Primary System--U.S. Government Printing Office, Superintendent of
Documents, 941 North Capitol Street, NW, Union Center Plaza, 4th
Floor, Washington, DC 20402.
Duplicate systems--Duplicate systems exist in whole or in part, at the
locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals with an interest in receiving information from the NRC.
Categories of records in the system:
Mailing lists include primarily the individual's name and address.
Some lists also include title, occupation, and institutional
affiliation.
Authority for maintenance of the system:
44 U.S.C. 3101 (1988).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used:
a. For distribution of documents to persons and organizations listed
on the mailing list; and
b. For the routine use specified in paragraph number 6 of the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic tape, paper, and microfiche.
Retrievability:
Records are accessed by company name, individual name, and file code
identification number.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access. Automated records are password
protected.
Retention and disposal:
Documents requesting changes are destroyed through the regular trash
disposal system after appropriate revision of the mailing list or
after 3 months, whichever is sooner; lists are retained until
cancelled or revised, then destroyed through the regular trash
disposal system. Computer files are deleted after cancelled or revised
or when no longer needed, whichever is later.
System manager(s) and address:
Chief, Printing and Mail Services Branch, Division of Freedom of
Information and Publications Services, Office of Administration, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC staff, NRC licensees, and individuals expressing an interest in
NRC activities and publications.
NRC-39
System name: Personnel Security Files and Associated Records--
NRC.
System location:
Primary system--Division of Security, Office of Administration, NRC,
7735 Old Georgetown Road, Bethesda, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2; and the Department
of Energy,
Headquarters Building, Germantown, Maryland.
Categories of individuals covered by the system:
Persons including NRC employees, employment applicants, consultants,
contractors, and licensees; other Government agency personnel (e.g.,
General Services Administration personnel), other persons who have
been considered for a personnel clearance, special nuclear material
access authorization, unescorted access to NRC buildings or nuclear
power plants, NRC building access, access to Federal automated
information systems or data, or participants in the criminal history
program; aliens who visit NRC's facilities; and actual or suspected
violators of laws administered by NRC.
Categories of records in the system:
These records contain information relating to personnel, including
name, address, date and place of birth, social security number,
citizenship, residence history, employment history, foreign travel,
foreign contacts, education, personal references, organizational
membership, and security clearance history. These records also contain
copies of personnel security investigative reports from other agencies
(primarily from the Office of Personnel Management or the Federal
Bureau of Investigation), summaries of investigative reports, results
of Federal agency indices checks, records necessary for participation
in the criminal history program, reports of personnel security
interviews, clearance actions information (e.g., grants and
terminations), access approval/disapproval actions related to NRC
building access or unescorted access to nuclear plants, or access to
Federal automated information systems or data, violations of laws,
reports of security infraction, ``Request for Visit or Access
Approval'' (Form NRC-277), and other related personnel security
processing documents.
Authority for maintenance of the system:
40 U.S.C. 318 (1988); 42 U.S.C 2165 and 2201(i) (1988); Executive
Order 9397, November 22, 1943; Executive Order 12356, April 2, 1982;
Executive Order 10865, February 20, 1960; 10 CFR part 11 (1992); Pub.
L. 99-399, ``Omnibus Diplomatic Security and Antiterrorism Act of
1986''; OMB Circular No. A-130, December 12, 1985; Federal Personnel
Manual Chapter 732 and authorities cited therein; and Pub. L. 99-500,
October 18, 1986 (Continuing Appropriations).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used by the Division of Security
and on a need-to-know basis by appropriate NRC officials, Hearing
Examiners, Personnel Security Review Examiners, Office of Personnel
Management, Federal Bureau of Investigation, and other Federal
agencies:
a. To determine clearance or access authorization eligibility;
b. To determine eligibility for access to NRC buildings or access to
Federal automated information systems or data;
c. To certify clearance or access authorization;
d. To maintain the NRC personnel security program;
e. To provide licensees criminal history information needed for their
unescorted access or access to safeguard information determinations;
and
f. For any of the routine uses specified in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained primarily in file folders, on tape, computer media, and
microfiche.
Retrievability:
Indexed and accessed by name, social security number, docket number,
or case file number or a combination thereof.
Safeguards:
File folders and computer printouts are maintained in security or
controlled areas under guard and/or alarm protection, as appropriate.
Automated records are password protected.
Retention and disposal:
a. Personnel security clearance/access authorization files--destroy
case files upon notification of death or 5 years from date of
termination of access authorization or final administrative action;
b. Request for Visit or Access Approval--maximum security areas
retained 5 years after final entry or after date of document, as
appropriate; Other areas: Retained 2 years after final entry or after
date of document, then destroyed by approved method of destruction;
and
c. Other security clearance/access authorization administration
files--retained 2 years after final entry or after date of document,
then destroyed by approved method of destruction; and
d. Criminal history record computer files are deleted after the
expiration of the retention period authorized for the disposable hard
copy file or when no longer needed, whichever is later.
System manager(s) and address:
Director, Division of Security, Office of Administration, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
Director, Division of Freedom of Information and Publications
Services, Office of Administration, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001.
Record access procedures:
Same as ``Notification procedure.'' Some information is classified
pursuant to Executive Order 12356 and will not be disclosed. Other
information has been received in confidence and will not be disclosed
to the extent the disclosure would reveal a confidential source.
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Persons including NRC applicants, employees, contractors, consultants,
licensees, visitors and others, as well as information furnished by
other Government agencies or their contractors.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (5), 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.
NRC-40
System name:
Facility Security Access Control Records--NRC.
System location:
Primary system--Division of Security, Office of Administration, NRC,
11555 Rockville Pike, Rockville, Maryland, and 11545 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part, at
the Technical Training Center, NRC, Osborne Office Center, 5700
Brainerd Road, Suite 200, Chattanooga, Tennessee 37411-4017, and the
locations listed in Addendum I, Part 2.
Categories of individuals covered by the system:
Persons including current and former NRC employees, consultants,
contractors, other Government agency personnel, and approved visitors.
Categories of records in the system:
These records include information regarding NRC personal
identification badges for access to NRC-controlled space, which
includes, but is not limited to, an individual's name, social security
number, citizenship, employer, purpose of visit, person visited, and
date and time of visit.
Authority for maintenance of the system:
42 U.S.C. 2165 and 2101 (i), (k), and (p) (1988); Executive Order
9397, November 22, 1943; Executive Order 12958, April 20, 1995.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the disclosures permitted under subsection (b) of the
Privacy Act, NRC 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 any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form in logs and files, and on
computer media.
Retrievability:
Information is indexed and accessed by an individual's name,
identification badge number, employer's name, date of visit, or
sponsor's name.
Safeguards:
All records are maintained in NRC-controlled space that is secured
after normal duty hours or in security areas under guard presence.
Automated records are protected by password.
Retention and disposal:
a. Records and forms related to NRC identification badges are retained
in files and destroyed when superseded or obsolete.
b. Manual visitor logs are retained in cabinets and destroyed 2 years
after date of entry.
c. The automated access control system reflects access to controlled
areas and employee/contractor/visitor identification information.
These records are disposed of after the retention period for those
records identified in a. and b., or when no longer needed, whichever
is later.
System manager(s) and address:
Director, Division of Security, Office of Administration, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Notification procedure:
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.
Record access procedures:
Same as ``Notification Procedure.''
Contesting record procedures:
Same as ``Notification Procedure.''
Record source categories:
Persons including NRC employees, contractors, consultants, employees
of other Government agencies, and visitors.
Addendum I--List of U.S. Nuclear Regulatory Commission Locations
Part 1--NRC Headquarters Offices
a. Gelman Building, 2120 L Street, NW., Washington, DC 20037.
b. One White Flint North, 11555 Rockville Pike, Rockville, Maryland
20852.
c. Two White Flint North, 11545 Rockville Pike, Rockville, Maryland
20852.
d. Warehouse, 5000 Boiling Brook Parkway, Rockville, Maryland 20852.
e. NRC Training Center, Osborne Office Center, 5700 Brainerd Road,
Suite 200, Chattanooga, Tennessee 37411-4017.
Part 2--NRC Regional and Other Offices
a. NRC Region I, 475 Allendale Road, King of Prussia, Pennsylvania
19406-1415.
b. NRC Region II, 101 Marietta Street, Suite 2900, Atlanta, Georgia
30323-0199.
c. NRC Region III, 801 Warrenville Road, Lisle, Illinois 60532-4351.
d. NRC Region IV, 611 Ryan Plaza Drive, Suite 400, Arlington, Texas
76011-8064.
e. Walnut Creek Field Office, 1450 Maria Lane, Walnut Creek,
California 94596-5368.
f. High-Level Waste Management Office, 301 East Stewart Avenue, #203,
Las Vegas, Nevada 89101.
PRIVACY ACT RULES
NUCLEAR REGULATORY COMMISSION
Title 10-Energy
Chapter I-Nuclear Regulatory Commission
PART 9--PUBLIC RECORDS
Sec.
Subpart B--Privacy Act Regulations
9.50 Scope of subpart.
9.51 Definitions.
Procedures Applicable to Requests by Individuals for Information, Access
or Amendment of Records Maintained About Them
Presentation of Requests
9.52 Types of requests.
9.53 Requests; how and where presented.
9.54 Verification of identity of individuals making requests.
9.55 Specification of records.
9.56 Accompanying persons.
NRC Procedures for Processing Requests
9.60 Acknowledgement of requests.
9.61 Procedures for processing requests for records exempt in whole or
in part.
9.62 Special procedures.
Determinations and Appeals
9.65 Access determinations; appeals.
9.66 Determinations authorizing or denying correction of records;
appeals.
9.67 Statements of disagreement.
9.68 NRC statements of explanation.
9.69 Notices of correction or dispute.
Disclosure to Others of Records About Individuals
9.80 Disclosure of record to persons other than the individual to whom
it pertains.
9.81 Notices of subpoenas.
9.82 Notices of emergency disclosures.
Fees
9.85 Fees.
Enforcement
9.90 Violations.
Exemptions
9.95 Specific exemptions.
Subpart B--Privacy Act Regulations
Source: 40 FR 44484, Sept. 26, 1975, unless otherwise noted.
Sec. 9.50 Scope of subpart.
This subpart implements the provisions of section 3 of the Privacy Act
of 1974, Pub. L. 93-579, 5 U.S.C. 552a, with respect to (a) the
procedures by which individuals may determine the existence of, seek
access to and request correction of NRC records concerning themselves,
and (b) the requirements applicable to NRC personnel with respect to the
use and dissemination of such records. The regulations in this subpart
apply to all records which are retrievable from a system of records
under the control of the Nuclear Regulatory Commission by the use of an
individual's name or of an identifying number, symbol, or other
identifying particular assigned to such individual. Except where
specifically provided otherwise, this subpart applies to all NRC records
maintained on individuals whether they predate or postdate September 27,
1975.
Sec. 9.51 Definitions.
As used in this subpart:
(a) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(b) The term ``maintain'' includes maintain, collect, use or
disseminate.
(c) ``Record'' means any item, collection or grouping of information
about an individual that is maintained by the NRC, including, but not
limited to, his education, financial transactions, medical history,
employment history or criminal history, and that contains the
individual's name, or the identifying number, symbol or other
identifying particular assigned to the individual, such as a finger or
voice print or a photograph.
(d) ``System manager'' means the NRC official responsible for
maintaining a system of records.
(e) ``Systems of records'' means a group of records under the control
of the NRC from which information is retrieved by the name of an
individual or by an identifying number, symbol, or other identifying
particular assigned to an individual.
(f) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by the Census Act, 13 U.S.C.
8.
(g) ``Routine use'' means, with respect to the disclosure of a record,
the use of such record for a purpose which is compatible with the
purpose for which it was collected, as described in a notice published
in the Federal Register.
Procedures Applicable to Requests by Individuals for Information, Access
or Amendment of Records Maintained About Them
Presentation of Requests
Sec. 9.52 Types of requests.
(a) Individuals may make the following requests respecting records
about themselves maintained by NRC in a system of records subject to the
provisions of the Privacy Act of 1974:
(1) Request a determination whether a record about the individual is
contained in a system of records.
(2) Request access to a record about the individual. Access requests
may include requests to review the record and to have a copy made of all
or any portion thereof in a form comprehensible to the individual.
(3) Request correction or amendment of a record about the individual.
(b) Requests for accounting of disclosures. Individuals may, at any
time, request an accounting by NRC of disclosures to any other person or
Government agency of any record about themselves contained in a system
of records controlled by NRC, except the following: (1) Disclosures made
pursuant to the Freedom of Information Act, 5 U.S.C. 552; (2)
disclosures made within the Nuclear Regulatory Commission; (3)
disclosures made to another Government agency or instrumentality for an
authorized law enforcement activity pursuant to 5 U.S.C. 552a(b)(7); (4)
disclosures expressly exempted by NRC regulations from the requirements
of 5 U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a(k).
Sec. 9.53 Requests; how and where presented.
(a) Requests may be made in person or in writing. Assistance regarding
requests or other matters relating to the Privacy Act of 1974 may be
obtained by writing to the Director, Office of Administration, U.S.
Nuclear Regulatory Commission, Washington, DC 20555. Requests relating
to records in multiple systems of records should be made to the
Director, Office of Administration, U.S. Nuclear Regulatory Commission,
Washington, DC 20555. The Director, or his designee, shall assist the
requestor in identifying his request more precisely and shall be
responsible for forwarding the request to the appropriate system
manager.
(b) All written requests shall be made to the Director, Office of
Administration, U.S. Nuclear Regulatory Commission, Washington, DC
20555, and should clearly state on the envelope and in the letter, as
appropriate: ``Privacy Act Request,'' ``Privacy Act Disclosure
Accounting Request,'' ``Privacy Act Correction Request.'' A request that
is not so marked will be deemed not to have been received by the NRC
until it is actually received by the Director, Office of Administration.
(c) Requests may be made in person during official hours at the U.S.
Nuclear Regulatory Commission office where the record is located, as
listed in the ``Notice of System of Records'' for the system in which
the record is contained.
[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976]
Sec. 9.54 Verification of identity of individuals making requests.
(a) Identification requirements in paragraphs (a)(1) and (2) of this
section are applicable to any individual who makes requests respecting
records about himself, except that no verification of identity shall be
required if the records requested are available to the public under the
provisions of the Freedom of Information Act. With respect to certain
sensitive records, additional requirements for verification of identity
stated in the appropriate published ``Notice of System of Records'' may
be imposed.
(1) Written requests. An individual making a written request
respecting a record about himself may establish his identity by a
signature, address, date of birth, employee identification number if
any, and one other item of identification such as a photocopy of a
driver's license or other document.
(2) Requests in person. An individual making a request in person
respecting a record about himself may establish his identity by the
presentation of a single document bearing a photograph (such as a
passport or identification badge) or by the presentation of two items of
identification which do not bear a photograph but do bear a name,
address and signature (such, as a driver's license or credit card).
(b) Inability to provide requisite documentation of identity. An
individual making a request in person or in writing respecting a record
about himself who cannot provide the necessary documentation of identity
may provide a notarized statement, swearing or affirming to his identity
and to the fact that he understands that penalties for false statements
may be imposed pursuant to 18 U.S.C. 1001, and that penalties for
obtaining a record concerning an individual under false pretenses may be
imposed pursuant to 5 U.S.C. 552a(i)(3). Forms for such notarized
statements may be obtained on request from the Director, Office of
Administration, U.S. Nuclear Regulatory Commission, Washington, DC
20555.
(c) Verification of parentage or guardianship. In addition to
establishing the identity of the minor, or other individual he
represents as required in paragraph (a) of this section, the parent or
legal guardian of a minor or of an individual judicially determined to
be incompetent shall establish his status as parent or guardian by
furnishing a copy of a birth certificate of the minor showing parentage
or a copy of a court order establishing guardianship.
Sec. 9.55 Specification of records.
(a)(1) Requests relating to records shall, insofar as practicable,
specify the nature of the record sought, the approximate dates covered
by the record, the system of records in which the record is thought to
be included and the system manager having custody of the record system
as shown in the annual compilation, ``Notices of Records Systems'',
published by the General Services Administration. Requests shall, in
addition, comply with any additional specification requirements
contained in the published ``Notice of System of Records'' for that
system.
(2) Requests for correction or amendment of records shall, in
addition, specify the particular record involved, state the nature of
the correction or amendment sought and furnish justification for the
correction or amendment.
(b) Requests which do not contain information sufficient to identify
the record requested will be returned promptly to the requestor, with a
notice indicating what information is lacking. Individuals making
requests in person will be informed of any deficiency in the
specification of records at the time the request is made. Individuals
making requests in writing will be notified of any such deficiency when
their request is acknowledged.
Sec. 9.56 Accompanying persons.
An individual requesting access to records about himself may be
accompanied by another individual of his own choosing. Both the
individual requesting access and the individual accompanying him shall
sign the required form indicating that the Nuclear Regulatory Commission
is authorized to discuss the contents of the subject record in the
presence of both individuals.
NRC Procedures for Processing Requests
Sec. 9.60 Acknowledge of requests.
(a) Written requests by individuals to verify the existence of, obtain
access to or correct or amend records about themselves maintained by NRC
in a system of records subject to the provisions of the Privacy Act of
1974, shall be acknowledged in writing by the Director, Office of
Administration, or his designee, within ten working days after date of
actual receipt. The acknowledgement shall advise the requestor if any
additional information is needed to process the request. Wherever
practicable, the acknowledgement shall notify the individual whether his
request to obtain access to the record or to correct or amend the record
has been granted or denied.
(b) When an individual requests access to records or permission to
correct or amend records in person, every effort will be made to make an
immediate determination as to whether access or correction or amendment
should be granted. If an immediate determination cannot be made, the
request will be processed in the same manner as a written request.
Records will be made available for immediate inspection whenever
possible.
Sec. 9.61 Procedures for processing requests for records exempt in
whole or in part.
(a) When an individual requests information concerning the existence
of, or access to, records about himself which have been compiled in
reasonable anticipation of a civil action or proceeding in either a
court or before an administrative tribunal, the NRC shall advise the
individual only that no record available to him pursuant to the Privacy
Act of 1974 has been identified.
(b) Specific exemptions pursuant to 5 U.S.C. 552a(k). Individual
requests for access to records which have been exempted from access
pursuant to the provisions of 5 U.S.C. 552a(k) and Sec. 9.95 shall be
processed as follows:
(1) Information classified pursuant to Executive Order 12356 and
exempted pursuant to 5 U.S.C. 552a(k)(1). (i) Requested information
classified by NRC will be reviewed by the responsible official of the
NRC to determine whether it continues to warrant classification under
the criteria of section 1.3 of Executive Order 12356.
(ii) Information which no longer warrants classification under these
criteria shall be declassified and made available to the individual. If
the requested information has been classified by another agency, the
responsible official of the NRC will request the classifying agency to
review the information to ascertain if classification is still
warranted. If the information continues to warrant classification, the
individual shall be advised that the information sought is classified,
that it has been reviewed and continues to warrant classification, and
that it has been exempted from access pursuant to 5 U.S.C. 552a(k)(1).
(2) Investigatory material compiled for law enforcement purposes
exempted pursuant to 5 U.S.C. 552a(k)(2). Requests shall be responded to
in the manner provided in paragraph (a) of this section unless a review
of the information indicates that the information has been used or is
being used to deny the individual any right, privilege or benefit for
which he is eligible or to which he would otherwise be entitled under
Federal law. In that event, the individual shall be advised of the
existence of the information and shall be provided the information
except to the extent it would reveal the identity of a confidential
source. Information that would reveal the identity of a confidential
source shall be extracted or summarized in a manner which protects the
source and the summary or extract shall be provided to the requesting
individual.
(3) Material within a system of records required by statute to be
maintained and used solely as statistical records and exempted pursuant
to 5 U.S.C. 552a(k)(4). The exempted information requested will be
reviewed by the responsible official of the NRC to determine whether it
continues to warrant exemption. Information which no longer warrants
exemption shall be made available to the individual. If the information
continues to warrant exemption, the individual shall be advised that the
information sought is exempt from disclosure, that it has been reviewed
and continues to warrant exemption, and that it has been exempted from
access pursuant to 5 U.S.C. 552a(k)(4).
(4) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information and exempted pursuant to 5 U.S.C. 552a(k)(5). Information
exempted pursuant to 5 U.S.C. 552a(k)(5) shall be made available to an
individual upon request except to the extent that the information would
reveal the identity of a confidential source. Material that would reveal
the identity of a confidential source shall be extracted or summarized
in a manner which protects the source and the summary or extract shall
be provided to the requesting individual.
(5) Testing or examination material exempted pursuant to 5 U.S.C.
552a(k)(6). Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service which has been exempted pursuant to 5 U.S.C. 552a(k)(6) shall
not be made available to an individual if disclosure would compromise
the objectivity or fairness of the testing or examination process but
may be made available if no possibility of such compromise exists.
[40 FR 44484, Sept. 26, 1975, as amended at 44 FR 50804, Aug. 30, 1979;
50 FR 50284, Dec. 10, 1985]
Sec. 9.62 Special procedures.
(a) Records under the control of another government agency- (1)
Medical records. Requests received by NRC pertaining to medical records
under the control of the U.S. Public Health Service or another
Government agency will either be referred to the appropriate agency or
returned to the requestor with the name of the controlling Government
agency, if known, within ten working days after receipt by NRC. NRC will
inform the requestor of any referral of his request to another
Government agency at the time the referral is made.
(2) Nonmedical records. Requests received by NRC pertaining to
nonmedical records under the control of another Government agency will
be returned to the requestor with the name of the controlling Government
agency, if known, within ten working days after receipt by NRC.
[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 44997, Oct. 14, 1976]
Determinations and Appeals
Sec. 9.65 Access determinations; appeals.
(a) Initial determinations. For agency records located in the Office
of the Inspector General, the Assistant Inspector General for Audits or
the Assistant Inspector General for Investigations shall determine
whether access to the record is available under the Privacy Act. For all
other agency records, the Director, Office of Administration, or the
Director's designee, with the advice of the system manager having
control of the record to which access is requested, shall determine
whether access to the record is available under the Privacy Act. The
Director, Office of Administration, or the Director's designee, shall
notify the requesting individual in person or in writing of the
determination. Unless the request presents unusual difficulties or
invovles extensive numbers of records, individuals shall be notified of
determinations to grant or deny access within 30 working days after
receipt of the request.
(1) Notices granting access shall inform the individual when and where
the requested record may be seen, how copies may be obtained, and of any
fees or anticipated charges which may be incurred pursuant to Sec. 9.85.
(2) Notices denying access must state the reasons for the denial, and
advise the individual that the denial may be appealed to the Inspector
General, for agency records located in the Office of Inspector General,
or the Executive Director for Operations, for all other agency records,
in accordance with the procedures set forth in this section.
(b) Appeals from denials of access. If an individual has been denied
access to a record the individual may request a final review and
determination of that individual's request by the Inspector General or
the Executive Director for Operations as appropriate. A request for
final review of an initial determination must be filed within 60 days of
the receipt of the initial determination. For agency records denied by
the Assistant Inspector General for Audits or the Assistant Inspector
General for Investigations, the appeal must be in writing and addressed
to the Inspector General, U.S. Nuclear Regulatory Commission,
Washington, DC 20555. For agency records denied by the Director, Office
of Administration, or the Director's designee, the appeal must be in
writing addressed to the Executive Director for Operations. The appeal
should clearly state on the envelope and in the letter ``Privacy Act
Appeal-Denial of Access.'' The NRC does not consider an appeal that is
not marked as indicated in this paragraph as received until it is
actually received by the Inspector General or Executive Director for
Operations.
(c) Final determinations. (1) The Inspector General, or the Executive
Director for Operations or the EDO's designee, shall make a final
determination within 30 working days of the receipt of the request for
final review, unless the time is extended for good cause shown such as
the need to obtain additional information, the volume of records
involved, or the complexity of the issue. The extension of time may not
exceed 30 additional working days. The requester shall be advised in
advance of any extension of time and of the reasons therefor.
(2) If the Inspector General, or the Executive Director for Operations
or the EDO's designee, determines that access was properly denied
because the information requested has been exempted from disclosure, the
Inspector General, or the Executive Director for Operations or the EDO's
designee shall undertake a review of the exemption to determine whether
the information should continue to be exempt from disclosure. The
Inspector General, or the Executive Director for Operations or the EDO's
designee, shall notify the individual in writing of the final agency
determination to grant or deny the request for access. Notices denying
access must state the reasons therefor and must advise the individual of
his/her right to judicial review pursuant to 5 U.S.C. 552a(g).
[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976;
41 FR 25997, June 24, 1976; 55 FR 33547, Aug. 17, 1990]
Sec. 9.66 Determinations authorizing or denying correction of
records; appeals.
(a) Initial determinations. (1) For agency records located in the
Office of the Inspector General, the Assistant Inspector General for
Audits or the Assistant Inspector General for Investigations shall
determine whether to authorize or refuse correction or amendment of a
record. For all other agency records, the Director, Office of
Administration, or the Director's designee, with the advice of the
system manager having control of the record, shall determine whether to
authorize or refuse correction or amendment of a record. The Director,
Office of Administration, or the Director's designee, shall notify the
requesting individual. Unless the request presents unusual difficulties
or involves extensive numbers of records, individuals must be notified
of determinations to authorize or refuse correction or amendment of a
record within 30 working days after receipt of the request. In making
this determination, the NRC official shall be guided by the following
standards:
(i) Records shall contain only such information about an individual as
is relevant and necessary to accomplish an NRC function required to be
accomplished by statute or by executive order of the President;
(ii) Records used by NRC in making any determination about any
individual shall be as accurate, relevant, current, and complete as is
reasonably necessary to assure fairness to the individual in the
determination;
(iii) No record shall describe how any individual has exercised rights
guaranteed by the First Amendment unless such record is expressly
authorized by statute or by the individual about whom the record is
maintained, or is pertinent to and within the scope of an authorized law
enforcement activity.
(2) For agency records located in the Office of Inspector General, if
correction or amendment of a record is authorized, the Assistant
Inspector General for Audits or the Assistant Inspector General for
Investigations shall correct or amend the record. For all other agency
records, the Director, Office of Administration, or the Director's
designee, shall correct or amend the record. The Director, Office of
Administration, or the Director's designee shall notify the requesting
individual in writing that the correction or amendment has been made and
provide the individual with a courtesy copy of the corrected record.
(3) If correction or amendment of a record is refused, the Director,
Office of Administration or the Director's designee, shall notify the
requesting individual in writing of the refusal and the reasons
therefor, and shall advise the individual that the refusal may be
appealed to the Inspector General or the Executive Director for
Operations, as appropriate, in accordance with the procedures set forth
in this section.
(b) Appeals from initial adverse determinations. If an individual's
request to amend or correct a record has been denied, in whole or in
part, the individual may request a final review and determination of
that individual's request by the Inspector General or the Executive
Director for Operations, as appropriate. A request for final review of
an initial determination must be filed within 60 days of the receipt of
the initial determination. For agency records located in the Office of
the Inspector General, the appeal must be in writing and addressed to
the Inspector General, U.S. Nuclear Regulatory Commission, Washington,
DC 20555. For agency records located in all other offices, the appeal
must be in writing addressed to the Executive Director for Operations.
The appeal should clearly state on the envelope and in the letter
``Privacy Act Correction Appeal.'' The NRC does not consider an appeal
that is not marked as indicated in this paragraph as received until it
is actually received by the Inspector General or Executive Director for
Operations. Requests for final review must set forth the specific item
of information sought to be corrected or amended and should include,
where appropriate, documents supporting the correction or amendment.
(c) Final determinations. (1) The Inspector General, for agency
records located in the Office of the Inspector General, or the Executive
Director for Operations or the EDO's designee, for all other ageny
records, shall make a final agency determination within 30 working days
of receipt of the request for final review, unless the time is extended
for good cause shown such as the need to obtain additional information,
the volume of records involved, or the complexity of the issue. The
extension of time may not exceed 30 additional working days. The
requester shall be advised in advance of any extension of time and of
the reasons therefor.
(2) For agency records located in the Office of the Inspector General,
if the Inspector General makes a final determination that an amendment
or correction of the record is warranted on the facts, the Inspector
General or the IG's designee, shall correct or amend the record pursuant
to the procedures in Sec. 9.66(a)(2). For all other agency records, if
the Executive Director for Operations, or the EDO's designee, makes a
final determination that an amendment or correction of the record is
warranted on the facts, the EDO or the EDO's designee, shall notify the
Director, Office of Administration, to correct or amend the record to
the procedures in Sec. 9.66(a)(2).
(3) If the Inspector General, or the Executive Director for Operations
or the EDO's designee, makes a final determination that an amendment or
correction of the record is not warranted on the facts, the individual
shall be notified in writing of the refusal to authorize correction or
amendment of the record in whole or in part, and of the reasons
therefor, and the individual shall be advised of his/her right to
provide a ``Statement of Disagreement'' for the record and of his/her
right to judicial review pursuant to 5 U.S.C. 552a(g).
[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976;
41 FR 25997, June 24, 1976; 55 FR 33647, Aug. 17, 1990]
Sec. 9.67 Statements of disagreement.
(a) Written ``Statements of Disagreement'' may be furnished by the
individual within 30 working days of the date of receipt of the final
adverse determination of the Inspector General or the Executive Director
for Operations. ``Statements of Disagreement'' must be addressed, as
appropriate, to the Inspector General or the Executive Director for
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
and should be clearly marked on the statement and on the envelope
``Privacy Act Statement of Disagreement''.
(b) The Inspector General or the Executive Director for Operations, or
their designees, as appropriate, are responsible for ensuring that: (1)
The ``Statement of Disagreement'' is included in the system or systems
of records in which the disputed item of information is maintained; and
(2) the original record is marked to indicate the information disputed,
the existence of a ``Statement of Disagreement'' and the location of the
``Statement of Disagreement'' within the system of records.
[55 FR 33648, Aug. 17, 1990]
Sec. 9.68 NRC statement of explanation.
The Inspector General, or the Executive Director for Operations or the
EDO's designee, may if deemed appropriate, prepare a concise statement
of the reasons why the requested amendments or corrections were not
made. Any NRC ``Statement of Explanation'' must be included in the
system of records in the same manner as the ``Statement of
Disagreement''. Courtesy copies of the NRC statement and of the notation
of the dispute as marked on the original record must be furnished to the
individual who requested correction or amendment of the record.
[55 FR 33648, Aug. 17, 1990]
Sec. 9.69 Notices of correction or dispute.
(a) When a record has been corrected upon request or when a
``Statement of Disagreement'' has been filed, the Director, Office of
Administration, or his designee, shall, within 30 working days thereof,
advise all prior recipients of the affected record whose identity can be
determined pursuant to an accounting of disclosures required by the
Privacy Act or any other accounting previously made, of the correction
or of the filing of the ``Statement of Disagreement''.
(b) Any disclosure of disputed information occurring after a
``Statement of Disagreement'' has been filed shall clearly identify the
specific information disputed and be accompanied by a copy of the
``Statement of Disagreement'' and a copy of any NRC ``Statement of
Explanation''.
Ddisclosure to Others of Records about Individuals
Sec. 9.80 Disclosure of record to persons other than the individual
to whom it pertains.
(a) NRC Commissioners and NRC personnel shall not disclose any record
which is contained in a system of records maintained by NRC by any means
of communication to any person, or to another Government agency, except
pursuant to a written request by, or with the prior written consent of,
the individual to whom the record pertains, unless disclosure of the
record is:
(1) To NRC Commissioners and NRC personnel who have a need for the
record in the performance of their duties;
(2) Required under 5 U.S.C. 552;
(3) For a routine use published in the Federal Register;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13 of the United States Code;
(5) To a recipient who has provided the agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record and the record is transferred in a form
that is not individually identifiable. The advance written statement of
assurance shall (i) state the purpose for which the record is requested,
and (ii) certify that the record will be used only for statistical
purposes. Prior to release for statistical purposes in accordance with
the provisions of this paragraph, the record shall be stripped of all
personally identifying information and reviewed to ensure that the
identity of any individual cannot reasonably be determined by combining
two or more statistical records;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or to the Administrator of
General Services or his designee for evaluation to determine whether the
record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the NRC specifying the particular portion of the
record desired and the law enforcement activity for which the record is
sought. A record may be disclosed to a law enforcement agency at the
initiative of the NRC if criminal conduct is suspected, provided that
such disclosure has been established as a routine use by publication in
the Federal Register, and the instance of misconduct is directly related
to the purpose for which the record is maintained;
(8) To any person upon a showing of compelling circumstances affecting
the health or safety of any individual;
(9) To either House of Congress or, to the extent of matter within its
jurisdiction, to any committee or subcommittee thereof or to any joint
committee of the Congress or to any subcommittee of such joint
committee;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
Sec. 9.81 Notices of subpoenas.
When records concerning an individual are subpoenaed or otherwise
disclosed pursuant to court order, the NRC officer or employee served
with the subpoena shall be responsible for assuring that the individual
is notified of the disclosure within five days after such subpoena or
other order becomes a matter of public record. The notice shall be
mailed to the last known address of the individual and shall contain the
following information: (a) The date the subpoena is returnable; (b) the
court in which it is returnable; (c) the name and number of the case or
proceeding; and (d) the nature of the information sought.
Sec. 9.82 Notices of emergency disclosures.
When information concerning an individual has been disclosed to any
person under compelling circumstances affecting health or safety, the
NRC officer or employee who made or authorized the disclosure shall
notify the individual at his last known address within five days of the
disclosure. The notice shall contain the following information: (a) The
nature of the information disclosed; (b) the person or agency to whom
the information was disclosed; (c) the date of the disclosure; and (d)
the compelling circumstances justifying the disclosure.
Fees
Sec. 9.85 Fees.
(a) Fees shall not be charged for search for or review of records
requested pursuant to this subpart or for making copies or extracts of
records in order to make them available for review. Fees established
pursuant to 31 U.S.C. 483c and 5 U.S.C. 552a(f)(5) shall be charged
according to the schedule contained in Sec. 9.35 for actual copies of
records requested by individuals, pursuant to the Privacy Act of 1974,
unless the Director, Division of Freedom and Publication Services,
waives the fee because of the inability of the individual to pay or
because making the records available to pay without cost, or at a
reduction in cost, is otherwise in the public interest.
[52 FR 49362, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988]
Enforcement
Sec. 9.90 Violations.
(a) An injunction or other court order may be obtained pursuant to 5
U.S.C. 552a(g) (1-3) to compel NRC to permit an individual to review,
amend or copy a record pertaining to him, or to be accompanied by
someone of his own choosing when he reviews his record. A court order
may be obtained for the payment of a civil penalty imposed pursuant to 5
U.S.C. 552a(g)(4) if NRC intentionally or willfully fails to maintain a
record accurately, or fails to comply with any provision of 5 U.S.C.
552a, or any provision of this subpart, if such failure results in an
adverse determination or has an adverse effect on an individual. Court
costs and attorney's fees may be awarded in civil actions.
(b) Any officer or employee of NRC who willfully maintains a system of
records without meeting the notice requirements of 5 U.S.C. 552a(e)(4),
or who willfully discloses information knowing such disclosure to be
prohibited by 5 U.S.C. 552a or by any rules or regulations issued
thereunder, may be guilty of a criminal misdemeanor and upon conviction
may be fined up to $5000. Any person who knowingly and willfully
requests or obtains any record concerning an individual from NRC under
false pretenses may be convicted of a criminal misdemeanor and upon
conviction may be fined up to $5000.
Exemptions
Sec. 9.95 Specific exemptions.
The following records, contained in the designated NRC Systems of
Records (NRC-5, NRC-9, NRC-11, NRC-18, NRC-22, NRC-28, NRC-29, NRC-31,
NRC-33, NRC-37, NRC-39, and NRC-40) are exempt from 5 U.S.C. 552a(c)(3),
(d), (e)(i), (e)(4)(G), (H), (I), and (f) in accordance with 5 U.S.C.
552a(k). Each of these records is subject to the provisions of
Sec. 9.61.
(a) Contracts Records Files, NRC-5;
(b) Equal Employment Opportunity Records Files, NRC-9;
(c) General Personnel Records (Official Personnel Folder and Related
Records), NRC -11;
(d) Investigative Offices Index, Files, and Associated Records, NRC-
18;
(e) Personnel Performance Appraisals, NRC-22;
(f) Recruiting, Examining, and Placement Records, NRC-28;
(g) Document Control System, NRC-29;
(h) Correspondence and Records Branch, Office of the Secretary, NRC-
31;
(i) Special Injury File, NRC-33;
(j) Information Security Files and Associated Records, NRC-37;
(k) Personnel Security Files and Associated Records, NRC-39; and
(l) Facility Security Support Files and Associated Records, NRC-40.
[52 FR 760, Jan. 9, 1987]
48 CFR 2024--PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION
Subpart 2024.1--Protection of Individual Privacy
Authority: 42 U.S.C. 2201; 42 U.S.C. 5841; and 41 U.S.C. 418(b).
Sec. 2024.103 Procedures.
The provisions of 10 CFR part 9, subpart B, Privacy Act Regulations,
are applicable to the maintenance or disclosure of information for a
system of records on individuals.
[57 FR 61169, Dec. 23, 1992]