[Privacy Act Issuances (2001)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NUCLEAR REGULATORY COMMISSION
NRC Systems of Records
1. Parking Permit Records--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. Child Care Tuition Assistance Program Records
13. Incentive Awards Files--NRC.
14. Employee Assistance Program Files--NRC.
15. Employees on Standards Developing Bodies 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. Full Share Program Records--NRC.
27. Radiation Exposure Information and Reports System (REIRS)
Files--NRC.
28. Recruiting, Examining, and Placement Records--NRC.
29. [Revoked.]
30. Manpower Resource Tracking System--NRC.
31. Correspondence and Records, Office of the Secretary--NRC.
32. Office of the Chief Financial Officer Financial Transactions
and Dept Collection Management Records--NRC.
33. Special Inquiry File--NRC.
34. Advisory Committee on Reactor Safeguards (ACRS) and Advisory
Committee on Nuclear Waste (ACNW) Correspondence Index, Text/Imaging
Management System 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.
41. Tort Claims and Personal Property Claims Records--NRC.
42. Skills Assessment and Employee Profile Records--NRC.
43. Employee Health Center Records--NRC.
44. Employee Fitness Center Records--NRC.
These systems of records are those systems maintained by the 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) of the Act, 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. If 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. This 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:
Parking Permit Records-NRC.
System location:
Office of Administration, Administrative Services Center, NRC,
One White Flint North, 11555 Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
Employees and contractors who apply for parking permits for NRC-
controlled parking spaces.
Categories of records in the system:
These records consist of the applications and the revenue
collected for the headquarters buildings garage. The application
includes the applicant's name, address, telephone number, length of
service and vehicle information.
Authority for maintenance of the system:
31 U.S.C. 3511, 41 CFR 101-20.104, Parking Facilities; Management
Directive 13.4, ``Transportation Management,'' Part I, ``White Flint
North Parking Procedures''.
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 record amount paid and revenue collected for parking;
b. To contact permit holder in case of an emergency;
c. To determine priority for issue of permits; and
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 media.
Retrievability:
Accessed by name, tag number and permit number.
Safeguards:
Paper records and backup disks are maintained in locked file
cabinets under visual control 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.
Retention and disposal:
Records are retained for up to 3 years after a permit holder
ceases to purchase a permit, then they are destroyed by shredding or
in the regular trash disposal system. The automated records are
destroyed when no longer needed.
System manager(s) and address:
Chief, Administrative Services Center, Division of Administrative
Services, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
Applications submitted by NRC employees and contractors.
NRC-2
System name:
Biographical Information Records--NRC.
System location:
Office of Public Affairs, NRC, One White Flint North, 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 (1994-
1996).
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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, One White Flint
North, 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, One White
Flint North, 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 or who have been the subject of
correspondence indicating that they are being, or have been,
considered for enforcement action.
Categories of records in the system:
The system includes, but is not limited to, individual
enforcement actions, including Orders, Notices of Violations with and
without Civil Penalties, Orders Imposing Civil Penalties, Letters of
Reprimand, Demands for Information, and letters to individuals who
are being considered for enforcement action or have been considered.
Also included are responses to these actions and letters. In
addition, the files may contain other relevant documents directly
related to those actions and letters that have been issued. Files are
arranged numerically by Individual Action (IA) number, which is
assigned as individual enforcement actions are issued. In instances
where only letters are issued, these letters also receive IA numbers.
The system includes a computerized database from which information is
retrieved by names of the individuals subject to the action and IA
numbers.
Authority for maintenance of the system:
42 U.S.C. 2114, 2167, 2201(i), and 2282 (1994-1996).
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, the NRC may disclose information contained 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 respond to general information requests from the Congress;
b. To deter future violations, certain information in this system
of records may be routinely disseminated to the public by means such
as publishing in the Federal Register certain enforcement actions
issued to individuals; making the information available at the NRC
Web Site and/or NRC Public Document Room; and listing all individuals
currently subject to an order that affects their participation in
licensed activities in NUREG-0940, Part I, ``Enforcement Actions:
Significant Actions Resolved, Individual Actions'' published
semiannually. Copies of NUREG-0940, Part I, are sent to all power
reactor licensees and major materials licensees, and are made
available to other licensees and the general public on request;
c. When considered appropriate for disciplinary purposes,
information in this system of records, such as enforcement actions
and hearing proceedings, may be disclosed 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. Where appropriate to ensure the public health and safety,
information in this system of records, such as enforcement actions
and hearing proceedings, may be disclosed to a Federal or State
agency with licensing jurisdiction;
e. 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; and
f. For the routine uses specified in paragraphs 1, 2, 3, 4, and 5
of 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 on paper in file folders, on computer
printouts, and on computer media.
Retrievability:
Records are accessed by individual action file number or by the
name of the individual.
Safeguards:
Records are maintained in lockable file cabinets or computer
databases. Access to and use of these records is limited to those NRC
employees whose official duties require access. Access to automated
records requires use of proper password and user identification
codes. Paper 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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, 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 NRC.
NRC-4
System name:
Conflict of Interest Files--NRC.
System location:
Primary system--Office of the General Counsel, NRC, One White
Flint North, 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 2634-2640, 5801 (2000): 18 U.S.C. 201-209 (1999); Executive
Order 12731 (October 17, 1990); Ethics in Government Act of 1978; as
amended.
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:
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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, Two White Flint North, 11545 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:
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:
44 U.S.C. 3301; 42 U.S.C. 205, et al.; 31 U.S.C. 3511; 48 CFR
Subpart 4.8; 41 CFR Chapter 201, Subchapter B, Parts 1-20; NRC
Management Directive 3.53, Records Management.
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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, One White Flint
North, 11555 Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems may exist, in whole or in
part, in the Office of the General Counsel, NRC, One White Flint
North, 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 211 of the Energy Reorganization Act.
Categories of records in the system:
The system consists of files arranged alphabetically by name to
track complaints filed by individuals with DOL under section 211 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 the Regional
Administrators of DOL's Occupational, Safety, and Health
Administration, Administrative Law Judges, and the Administrative
Review Board.
Authority for maintenance of the system:
42 U.S.C. 2201, 2282; 42 U.S.C. 5851 (1994-1996); 10 CFR 30.7,
40.7, 50.7, 60.9, 61.9, 70.7, and 72.10 (2000).
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 of the individual who has
filed a complaint with DOL.
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 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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 under 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 the Chief Information Officer, NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, MD.
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:
44 U.S.C. 3101 et seq.; 41 CFR 101-35.1, Use of Government
Telephones; 41 CFR 101, Subchapter B, Management and Use of
Information and Records; NRC Management Directive 3.53, Records
Management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information ln 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 under 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)(1996)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in paper files and on computer media.
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 are destroyed
when no longer needed.
System manager(s) and address:
Director, Information Technology Infrastructure Division, Office
of the Chief Information Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Human Resources, NRC, Two White Flint
North, 11545 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:
Applicants for NRC employment, current and former NRC employees,
and annuitants who have filed written complaints brought to the
Office of Human Resource'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., 4303 et seq., 7501 et seq. (1994); 42
U.S.C. 2201(d) (1996).
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 under 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, Organization and Labor Relations, Office of Human
Resources, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Business and Civil Rights, NRC,
Two White Flint North, 11545 Rockville Pike, Rockville, Maryland.
Duplicate system--Office of the General Counsel, NRC, One White
Flint North, 11555 Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
Applicants for NRC employment and current and former NRC
employees who have initiated EEO counseling and/or filed a complaint
of discrimination with the Office of Small Business and Civil Rights.
Categories of records in the system:
This system of records contains copies of written reports by
counselors; the investigative file; administrative files including
documentation of withdrawn and/or dismissed complaints; complainant's
name, title, and grade; kind of discrimination alleged; description
of action, decision, condition giving rise to the complaint and
settlement agreements; description of remedial action; description of
disciplinary action, if any; request for a hearing; procedural
information regarding Alternative Dispute Resolution (ADR); record of
hearing examiner's findings, analysis, and recommended decision;
record of appeals examiner's finding, analysis, and recommended
decision; final agency decision and notice of intent to file in
Federal District Court, if any, and Federal court decisions.
Authority for maintenance of the system:
29 U.S.C. 206(d), as amended (1996); 29 U.S.C. 633a, as amended
(1995); 29 U.S.C. 794(a) (1978); 42 U.S.C. 2000e-16, as amended
(1998); 42 U.S.C. 5891 (1974); Executive Orders 11246, September 24,
1965; 11375, August 8, 1967; and 12086, October 5, 1978; 29 CFR part
1614 (1999); 10 CFR part 4 (2000).
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 under
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 and docket number.
Safeguards:
Paper records are maintained in locked 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:
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 Business and Civil Rights, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, mediators,
NRC, the 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--Freedom of Information/Privacy Act Section,
Information Management Division, Office of the Chief Information
Officer, NRC, Two White Flint North, 11545 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 made FOIA or PA requests for NRC records.
Categories of records in the system:
This system contains copies of the written requests from
individuals or organizations made under the FOIA or PA, the NRC
response letters, and related documents.
Authority for maintenance of the system:
5 U.S.C. 552 and 552a (2000); 42 U.S.C. 2201 (1996).
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. Some of the FOIA records are placed in the NRC Public
Document Room and/or made available to the public on the NRC Web
site, http://www.nrc.gov.
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 in
electronic computer readable form.
Retrievability:
Accessed by unique assigned number for each request and by
requester's name.
Safeguards:
Records are maintained in locked file cabinets that are kept in
locked rooms. Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
Records are retained in hard copy or electronic record format for
2 years from date of reply if the request is granted, 6 years if
denied, and 6 years from date of final determination, if appealed.
The FOIA official files are on paper and in electronic form. FOIA/PA
records are disposed of by placement in receptacles designated for
classified and sensitive unclassified waste.
System manager(s) and address:
Chief, Information Services Branch, Information Management
Division, Office of the Chief Information Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Human Resources, NRC, One and Two White
Flint North, 11555 and 11545 Rockville Pike, Rockville, Maryland. For
Regional personnel, at Regional Offices I-IV 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 (1996); 42 U.S.C. 290dd-2; 42 U.S.C. 290ee-1
(2000); 42 U.S.C. 2201(d) (1996); 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 The
Guide to Personnel Recordkeeping. Computer records are retained until
no longer needed.
System manager(s) and address:
For Headquarters and all NRC SES employees--Chief, Human
Resources Services and Operations Programs, Office of Human
Resources, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
For Region I-IV non-SES employees--The appropriate Regional
Personnel Officer at the locations listed in Addendum I, Part 2.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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)(l), (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:
Child Care Tuition Assistance Program Records
System location:
Office of Human Resources, NRC, Two White Flint North, 11545
Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
NRC employees who voluntarily apply for child care tuition
assistance.
Categories of records in the system:
These records include application forms for child care tuition
assistance containing personal information, including employee
(parent) name, social security number, grade, home and work telephone
numbers, home and work addresses, total family income, names of
children on whose behalf the parent is applying for tuition
assistance, child's date of birth; information on child care
providers used, including name, address, provider license number and
State where issued, tuition cost, and provider tax identification
number; and copies of IRS Form 1040 and 1040A for verification
purposes.
Authority for maintenance of the system:
Pub. L. 107-67, sec. 630 and Executive Order 9397.
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, the NRC may disclose information contained 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 the Office of Personnel Management to provide statistical
reports;
b. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposition of records in the system:
Storage:
Information may be collected on paper or electronically and may
be stored as paper forms or on computers.
Retrievability:
Information may be retrieved by employee name or social security
number.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable file cabinets and computer records are protected by the
use of passwords.
Retention and disposal:
The records in this system are currently unscheduled and must be
retained until the National Archives and Records Administration
(NARA) approves a records disposition schedule for this material.
System manager and Address:
Director, Office of Human Resources, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.''
Contesting record Procedure:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records is obtained from NRC
employees who apply for child care tuition assistance. Furnishing of
the information is voluntary.
NRC-13
System name:
Incentive Awards Files--NRC.
System location:
Primary system--Office of Human Resources, NRC, One White Flint
North, 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:
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. 4501-4513, 5336 (1994-2000).
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 media.
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, Human Resources Services and Operations, Office of Human
Resources, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Human Resources, NRC, Two White Flint North, 11545
Rockville Pike, Rockville, 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 290dd-2 (2000).
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 Human Resources,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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:
NRC Employees on Standards Developing Bodies Files--NRC.
System location:
Office of Nuclear Regulatory Research, NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, Maryland.
Categories of individuals covered by the system:
NRC employees who participate on standards developing bodies.
Categories of records in the system:
Records include name of each NRC employee on a standards
developing body, name of standards developing body, name of
employee's NRC office, and specified term of employee on standards
body.
Authority for maintenance of the system:
42 U.S.C. 2201(b) (1996).
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;
b. To satisfy the provision in OMB Circular A-119 for an agency-
wide directory of employee participation on standards developing
bodies; and
c. 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 computer disks for desktop computer and
as computer printouts.
Retrievability:
Records are indexed by the employee's name, employee's office and
standards body.
Safeguards:
Computer disks and computer printouts are maintained in an
unlocked file cabinet.
Retention and disposal:
Individual records are incorporated into system as received.
Information is retained until the employee is no longer a member of
the standards body or is no longer an NRC employee. Computer records
are destroyed by computer deletion and paper copies are destroyed
through regular trash disposal system.
System manager(s) and address:
NRC Standards Executive, Office of Nuclear Regulatory Research,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Nuclear Regulatory Research (RES), the employee 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 and Human Performance
Section, Operator Licensing, Human Performance and Plant Support
Branch, Division of Inspection Program Management, Office of Nuclear
Reactor Regulation, NRC, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part,
in the Operator Licensing and Human Performance Section, Operator
Licensing, Human Performance and Plant Support Branch, Division of
Inspection Program Management, Office of Nuclear Reactor Regulation,
NRC, 11555 Rockville Pike, Rockville, Maryland and at the National
Institutes of Health Computer Facility in Bethesda, Maryland.
Categories of individuals covered by the system:
Individuals licensed under 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) (1996).
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 and Human Performance Section, Operator
Licensing, Human Performance and Plant Support Branch, Division of
Inspection Program Management, Office of Nuclear Reactor Regulation,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 and Human Performance Section, Operator Licensing,
Human Performance and Plant Support Branch or Regional Operator
licensing branches, 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 Human
Resources, NRC, Two White Flint North, 11545 Rockville Pike,
Rockville, 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 (1996); 29 U.S.C. 657(c) (1994); 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,
Human Resources Services and Operations, Office of Human Resources,
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 under 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 media.
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 Human Resources, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, Two White Flint North,
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 after 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
(2000); 42 U.S.C. 2035(c), 2201(c), and 5841(f) (1996).
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 that OIG or NRC contemplates
it will contract or 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 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 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) (1996)).
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 only two OIG investigative employees on only one
terminal.
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 cutoff.
3. Significant cases (those that result in national media
attention, congressional investigation, or substantive changes in
agency policy or procedures). PERMANENT. Cut off closed cases
annually. Transfer to National Archives of the United States 20 years
after cut off.
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Information classified under
Executive Order 12356 will not be disclosed. Information received in
confidence will be maintained under the Inspector General Act, 5
U.S.C. App. 3, and the Commission's Policy Statement on
Confidentiality, Management Directive 8.8, ``Management of
Allegations.''
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:
Under 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. Under 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 Human Resources, NRC, Two White Flint
North, 11545 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 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 (1994); 5 U.S.C. 4103 (2000); 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, Human Resources Development, Office of Human Resources,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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
Chief Financial Officer, NRC, Two White Flint North, 11545 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:
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 (2000); 31 U.S.C. 1104, 1108, 3511, 716, 3512,
3701, 3711, 3717, 3718 (1996-2000); 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) (1996)).
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 Chief Financial Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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
Chief Financial Officer, NRC, Two White Flint North, 11545 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:
Current and former NRC employees, special Government Employees,
and consultants.
Categories of records in the system:
Pay, leave, and allowance histories, which includes, but is not
limited to, an individual's name and social security number.
Authority for maintenance of the system:
Pub. L. 104-193, Personal Responsibility and Work Opportunity
Reconciliation Act of 1996; 5 U.S.C. 6334 (1996); 31 U.S.C. 716,
1104, 1108, 1114, 3325, 3511, 3512, 3701, 3711, 3717, 3718 (1996-
2000); Executive Order 9397, November 22, 1943.
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, the NRC may disclose information contained 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. 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, re-employed
annuitants, and life insurance information to the Office of Personnel
Management;
j. For transmittal of information to State agencies for
unemployment purposes;
k. For transmittal to the Office of Child Support Enforcement,
Administration for Children and Families, Department of Health and
Human Services Federal Parent Locator System and Federal Tax Offset
System for use in locating individuals and identifying their income
sources to establish paternity, establish and modify orders of
support, and for enforcement action;
l. For transmittal to the Office of Child Support Enforcement for
release to the Social Security Administration for verifying social
security numbers in connection with the operation of the Federal
Parent Locator System by the Office of Child Support Enforcement;
m. For transmittal to the Office of Child Support Enforcement for
release to the Department of Treasury for purpose of administering
the Earned Income Tax Credit Program (Section 32, Internal Revenue
Code of 1986) and verifying a claim with respect to employment in a
tax return;
n. 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; and
o. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
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) (1996)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained in computerized form, on microfiche,
and in paper copy. Computerized form includes information stored in
memory, on disk and magnetic tape, and on computer printouts.
Retrievability:
Information is accessed by name and social security number.
Safeguards:
Records in the primary system of records are maintained in
buildings where access is controlled by a security guard force. File
folders, microfiche, tapes, and disks, including backup data, are
maintained in secured locked rooms after working hours. All records
are in areas where access is controlled by keycard and is limited to
NRC and contractor personnel and to others who need the information
to perform their official duties. Access to computerized records
requires use of proper passwords and user identification codes.
Retention and disposal:
a. Individual employee pay record for each employee and
consultant maintained in the electronic PAY/PERS system is updated as
required under General Records Schedule (GRS) 2-1.a.
b. Individual employee pay records containing pay data on each
employee and consultant maintained in the Annual and Quarterly
Employee History Records on microfiche are transferred to the
National Personnel Records Center and destroyed when 56 years old.
c. Copies of non-current payroll data maintained on microfiche
are destroyed 15 years after close of pay year in which generated
under GRS 2-2.
d. Employee and Consultant Payroll Records:
1. U.S. savings bond authorizations are destroyed when superseded
or after separation of employee under GRS 2-14.a.
2. Combined Federal Campaign allotment authorizations are
destroyed after Government Accounting Office (GAO) audit or when 3
years old, whichever is sooner, under GRS 2-15.a.
3. Union dues and savings allotment authorizations are destroyed
after GAO audit or when 3 years old, whichever is sooner, under GRS
2-15.b.
4. Payroll Change Files consisting of records used to change or
correct an individual's pay transaction are destroyed after GAO audit
or when 3 years old, whichever is sooner, under GRS 2-23.a.
5. Tax Files consisting of State and Federal withholding tax
exemption certificates, such as Internal Revenue Service (IRS) Form
W-4 and the equivalent State form are destroyed 4 years after the
form is superseded or obsolete or upon separation of employee under
GRS 2-13.a.
6. Agency copy of employee wages and tax statements, such as IRS
Form W-2 and State equivalents, are destroyed when 4 years old under
GRS 2-13.b.
7. Leave record prepared upon transfer or separation of employee
maintained in the Payroll office is destroyed when 3 years old under
GRS 2-9.b.
e. Time and attendance source records maintained by Time and
Attendance clerks and certifying officials are destroyed after GAO
audit or when 6 years old, whichever is sooner, under GRS 2-7.
f. Electronic time and attendance input records maintained in the
PAY/PERS system are destroyed after GAO audit or when 6 years old,
whichever is sooner, under GRS 2-8.
g. Payroll system reports providing fiscal information on agency
payroll consisting of hardcopy and microfiche reports generated by
the PAY/PERS system are destroyed when 3 years old, excluding the
long-term Employee History Reports, under GRS 2-22.c.
h. Payroll system reports serving as error reports, ticklers,
system operation reports are destroyed when related actions are
completed or when no longer needed, not to exceed 2 years, under GRS
2-22.a.
i. Official notice of levy or garnishment (IRS Form 668A or
equivalent), change slip, work papers, correspondence, release and
other forms, and other records relating to charge against retirement
funds or attachment of salary for payment of back income taxes or
other debts of Federal employees are destroyed 3 years after
garnishment is terminated under GRS 2-18.
System manager(s) and address:
Chief, Financial Operations Branch, Division of Accounting and
Finance, Office of the Chief Financial Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity contained in 10
CFR part 9.
Contesting record procedures:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity contained in 10
CFR part 9.
Record source categories:
Information in this system of records is obtained from sources,
including but not limited to the individual to whom it pertains, the
Office of Human Resources and other NRC officials, and other agencies
and entities.
Exemptions claimed for the system:
None.
NRC-22
System name:
Personnel Performance Appraisals--NRC.
System location:
Primary system--Part A: For Headquarters personnel, Office of
Human Resources, NRC, 11545 and 11555 Rockville Pike, Rockville,
Maryland. For Regional personnel, at Regional Offices I-IV listed in
Addendum I, Part 2.
Part B: Office of Human Resources, NRC, 11545 and 11555 Rockville
Pike, Rockville, Maryland.
Duplicate systems: Duplicate systems exist in whole or in part at
the locations listed in Addendum I, 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.
Part A: Senior Level System employees, GG-1 through GG-15
employees, hourly wage employees, scientific and technical schedule
employees, and administratively determined rate employees.
Part B: Senior Executive Service and equivalent employees.
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. (1994-2000); 42
U.S.C. 2201(d), 5841 (1994); and 5 CFR 293.404(a) (2000).
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, the NRC may disclose information contained 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. By agency management and the Office of Human Resources for
personnel functions; and
b. For 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:
Information is maintained in computerized form and in paper copy
in locking file cabinets. Computerized form includes information
stored in memory, on disk and magnetic tape, and on computer
printouts. Summary ratings are stored in a computer system protected
by password and user identification codes.
Retrievability:
Records are accessed by name. Some computer records are accessed
by name and social security number.
Safeguards:
Records are maintained in areas where access is controlled by
keycard and is limited to NRC and contractor personnel and to others
who need the information to perform their official duties. Access to
the two Headquarters buildings in Rockville, Maryland, is controlled
by a security guard force. Paper records are maintained in folders in
locking file cabinets. Access to computerized records requires use of
proper passwords and user identification codes.
Retention and disposal:
Part A: Records are normally retained for 4 years, then destroyed
by incineration under General Records Schedule (GRS) 1-23.a(4). If an
employee separates, the records are forwarded to the next Government
agency employer or to the National Personnel Records Center under GRS
1-23.a(3)(a).
Part B: Retained for 5 years, or until the fifth annual appraisal
is completed, whichever is later, then destroyed by incineration
under GRS 1-23.b(3). If the employee separates, the records are
forwarded to the next Government agency employer or to the National
Personnel Records Center under GRS 1-23.b(2)(a).
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 under GRS 20-3.a.
System manager(s) and address:
Chief, Human Resources Services and Operations, Office of Human
Resources, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001. For Regional personnel, at Regional Offices I-IV listed in
Addendum I, Part 2.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity contained in 10
CFR part 9.
Contesting record procedures:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity contained in 10
CFR part 9.
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 and 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, One White Flint
North, 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) (1996), and 5841(f) (1994).
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 under 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
the 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. 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 the Chief Information Officer. 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 the Chief Information
Officer. Destroy 10 years after cases are closed.
3. Regional office or investigator working files--Retained in
regional files for 6 months. At the end 6 months, they are forwarded
to headquarters and combined with the headquarters files.
b. 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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Information classified under
Executive Order 12356 will not be disclosed. Information received in
confidence will be maintained under 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--Property and Acquisition Oversight Branch,
Division of Contracts and Property Management, Office of
Administration, NRC, Two White Flint North, 11545 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 Government property
(including, but not limited to, supplies, furnishings, automobiles,
audio/visual equipment, library materials, telecommunications
equipment, record/nonrecord holdings, and computer hardware/software)
such as type, make, model, tag number, serial number, stock number,
location, title, etc. and information about the custodians of the
property such as name, social security number, office, office
location, etc.
Authority for maintenance of the system:
40 U.S.C. 483(b), (c) and 487(a) (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 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,
office location, and stock number.
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:
Chief, Property and Acquisition Oversight Branch, Division of
Contracts and Property Management, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 NRC form
signed by the individual having custody of the property, or from
reports and memoranda received by the System Manager.
NRC-25
System name:
Oral History Program--NRC.
System location:
Office of the Secretary, NRC, One White Flint North, 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. 2161(b) (1996).
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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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:
Full Share Program Records--NRC.
System location:
Office of Administration, Administrative Services Center, NRC,
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 applications to participate in the
program. This application includes the 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. The social security number is collected when an
individuals photo identification badge is scanned to record receipt
of their metro check.
Authority for maintenance of the system:
26 U.S.C. 132; 31 U.S.C. 3511 (1996); 41 CFR 101-201.104-3(a)
(1999); Executive Order 9397, November 22, 1943; Executive Order
13150, Federal Workforce Transportation; Qualified Transportation
Fringe Benefits, 65 FR 4388, January 27, 2000; NRC Management
Directive 3.53, Records Management.
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 statistical reports to the city, county, State, and
Federal Government agencies;
b. To provide the basis for program approval and issue monthly
subsides; and
c. 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:
Accessed by name and NRC badge number.
Safeguards:
Paper records and backup disks are maintained in locked file
cabinets under visual control 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.
Retention and disposal:
Records are destroyed when 3 years old under General Records
Schedule 9-7. Paper copies are destroyed by shredding. Computer files
are destroyed by deleting the record from the file.
System manager(s) and address:
Chief, Administrative Services Center, Division of Administrative
Services, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.''
Contesting record procedures:
Same as ``Notification procedure.''
Record source categories:
NRC employees.
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 under 10 CFR 20.2201-20.2204 and
20.2206 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) (1996);
10 CFR 20.2106, 20.2201-20.2204, and 20.2206 (2000); 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'';
b. To return data provided by licensee upon request; 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 computerized and maintained in a centralized database
management system. Backup tapes of the database are generated and
maintained at a secure, off site location for disaster recovery
purposes. During the processing and data entry, paper records are
temporarily stored in designated business offices that are locked
when not in use and are accessible only to authorized personnel. Upon
completion of data entry and processing, the paper records are stored
in an off site security storage facility accessible only to
authorized personnel.
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, individuals that have been authorized
for access by NRC, and SAIC employees that are directly involved in
the REIRS project. 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.
The data maintained in the REIRS database are protected from
unauthorized access by several means. The database server resides in
a protected environment with physical security barriers under key-
card access control. Accounts authorizing access to the server and
databases are maintained by the SAIC REIRS system administrator. In
addition, SAIC maintains a computer security ``firewall'' that
further restricts access to the SAIC computer network. Authorization
for access must be approved by NRC, SAIC project management, and SAIC
computer security. Transmittal of data via the Internet is protected
by data encryption.
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. Paper documents generated for QC purposes are destroyed 2
years after input into REIRS; and
e. Floppy disks and compact disks are destroyed 2 years after
input into REIRS.
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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Human
Resources, NRC, One and Two White Flint North, 11555 and 11545
Rockville Pike, Rockville, Maryland. For Regional personnel, at each
of the Regional Offices 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.
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 (1994-2000); 42 U.S.C. 2000e (1999); 42
U.S.C. 2201(d) (1996); 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. Canceled 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, Human Resources Services and Operations, Office of Human
Resources, 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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 [Revoked.]
NRC-30
System name:
Manpower Resource Tracking System--NRC.
System location:
Primary system--Office of the Chief Information Officer, NRC, Two
White Flint North, 11545 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, 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) (1996).
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, Applications Development Division, Office of the Chief
Information Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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, NRC, One White Flint
North, 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:
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 (1995).
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:
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:
Assistant for Correspondence and Records, Office of the
Secretary, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Some information is
classified under 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:
Office of the Chief Financial Officer Financial Transactions and
Debt Collection Management Records--NRC.
System location:
Primary system--Office of the Chief Financial Officer, NRC, Two
White Flint North, 11545 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. Other NRC
systems of records contain payment and/or collection transaction
records and background information that may duplicate some of the
records in this system. These other systems include, but are not
limited to:
NRC-5, Contracts Records Files--NRC;
NRC-7, Telephone Call Detail Records--NRC;
NRC-10, Freedom of Information Act (FOIA) and Privacy Act (PA)
Requests--NRC;
NRC-18, Office of the Inspector General Investigative Records--
NRC;
NRC-19, Official Personnel Training Records Files--NRC;
NRC-20, Official Travel Records--NRC;
NRC-21, Payroll Accounting Records--NRC;
NRC-24, Government Property Accountability System--NRC; and
NRC-41, Tort Claims and Personal Property Claims--NRC.
Categories of individuals covered by the system:
Individuals the NRC owes/owed money to or who receive/received a
payment from NRC and those who owe/owed money to the United States.
Individuals receiving payments include, but are not limited to,
current and former employees, contractors, consultants, vendors, and
others who travel or perform certain services for NRC. Individuals
owing money include, but are not limited to, those who have received
goods or services from NRC for which there is a charge or fee (NRC
licensees, applicants for NRC licenses, Freedom of Information Act
requesters, etc.) and those who have been overpaid and owe NRC a
refund (current and former employees, contractors, consultants,
vendors, etc.).
Categories of records in the system:
Information in the system includes, but is not limited to, names,
addresses, telephone numbers, Social Security Numbers (SSN), Taxpayer
Identification Numbers (TIN), Individual Taxpayer Identification
Numbers (ITIN), fee categories, application and license numbers,
contract numbers, vendor numbers, amounts owed, background and
supporting documentation, correspondence concerning claims and debts,
credit reports, and billing and payment histories. The overall agency
accounting system contains data and information integrating
accounting functions such as general ledger, funds control, travel,
accounts receivable, accounts payable, equipment, and appropriation
of funds. Although this system of records contains information on
corporations and other business entities, only those records that
contain information about individuals that is retrieved by the
individual's name or other personal identifier are subject to the
Privacy Act.
Authority for maintenance of the system:
5 U.S.C. 552a(b)(12) (2000); 5 U.S.C. 5514 (2000); 15 U.S.C.
1681a(f) (1993); 26 U.S.C. 6103(m)(2) (1999); 31 U.S.C. 37,
subchapters I and II; 31 U.S.C. 3701(a)(3) (1996); 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 (2000);
42 U.S.C. 2201 (1996); 42 U.S.C. 5841 (1994); Cash Management
Improvement Act Amendments of 1992 (Pub. L. 102-589); Debt Collection
Improvement Act of 1996 (Pub. L. 104-134); 4 CFR parts 101-105; 10
CFR parts 15, 16, 170, 171 (2000); Executive Order 9397, November 22,
1943; section 201 of Executive Order 11222.
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, the NRC may disclose information contained 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 debt collection contractors (31 U.S.C. 3718) or to other
Federal agencies such as the Department of the Treasury (Treasury)
for the purpose of collecting and reporting on delinquent debts as
authorized by the Debt Collection Act of 1982 or the Debt Collection
Improvement Act of 1996;
b. To Treasury; the Defense Manpower Data Center, Department of
Defense; the United States Postal Service; government corporations;
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, including Federal
employees, who are delinquent in their repayment of certain debts
owed to the U.S. Government, including those incurred under certain
programs or services administered by the NRC, in order to collect
debts under common law or under the provisions of the Debt Collection
Act of 1982 or the Debt Collection Improvement Act of 1996 which
include by voluntary repayment, administrative or salary offset, and
referral to debt collection contractors.
c. To the Department of Justice, United States Attorney,
Treasury, or other Federal agencies for further collection action on
any delinquent account when circumstances warrant.
d. To credit reporting agencies/credit bureaus for the purpose of
either adding to a credit history file or obtaining a credit history
file or comparable credit information for use in the administration
of debt collection. As authorized by the DCIA, NRC may report current
(not delinquent) as well as delinquent consumer and commercial debt
to these entities in order to aid in the collection of debts,
typically by providing an incentive to the person to repay the debt
timely. Proposed revisions to the Federal Claims Collection Standards
(FCCS) published in the Federal Register on December 31, 1997, direct
agencies to report information on delinquent debts to the Department
of Housing and Urban Development's Credit Alert Interactive Voice
Response System (CAIVRS). NRC will report this information to CAIVRS
if this requirement is contained in the final rule amending the FCCS.
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 Federal Government on NRC's behalf
by counseling the debtor for voluntary repayment or by initiating
administrative or salary offset procedures, or other authorized debt
collection methods under the provisions of the Debt Collection Act of
1982 or the Debt Collection Improvement Act of 1996. Under the DCIA,
NRC may garnish non-Federal wages of certain delinquent debtors so
long as required due process procedures are followed. In these
instances, NRC's notice to the employer will disclose only the
information that may be necessary for the employer to comply with the
withholding order.
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 under 26 U.S.C. 6103(m)(2) and under 31 U.S.C.
3711, 3717, and 3718 or common law. Redisclosure of a mailing address
obtained from the IRS may be made only for debt collection purposes,
including to a debt collection agent to facilitate the collection or
compromise of a Federal claim under the Debt Collection Act of 1982
or the Debt Collection Improvement Act of 1996, except that
redisclosure of a mailing address to a reporting agency is for the
limited purpose of obtaining a credit report on the particular
taxpayer. Any 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 purposes.
g. To refer legally enforceable debts to the IRS or to Treasury's
Debt Management Services to be offset against the debtor's tax
refunds under the Federal Tax Refund Offset Program.
h. To prepare W-2, 1099, or other forms or electronic submittals,
to forward to the IRS and applicable State and local governments for
tax reporting purposes. Under the provisions of the DCIA, NRC is
permitted to provide Treasury with Form 1099-C information on
discharged debts so that Treasury may file the form on NRC's behalf
with the IRS. W-2 and 1099 Forms contain information on items to be
considered as income to an individual, including certain travel
related payments to employees, payments made to persons not treated
as employees (e.g., fees to consultants and experts), and amounts
written-off as legally or administratively uncollectible, in whole or
in part.
i. To banks enrolled in the Treasury Credit Card Network to
collect a payment or debt when the individual has given his or her
credit card number for this purpose.
j. To another Federal agency that has asked the NRC to effect an
administrative offset under common law or under 31 U.S.C. 3716 to
help collect a debt owed the United States. Disclosure under this
routine use is limited to name, address, SSN, TIN, ITIN, and other
information necessary to identify the individual; information about
the money payable to or held for the individual; and other
information concerning the administrative offset.
k. To Treasury or other Federal agencies with whom NRC has
entered into an agreement establishing the terms and conditions for
debt collection cross servicing operations on behalf of the NRC to
satisfy, in whole or in part, debts owed to the U.S. Government.
Cross servicing includes the possible use of all debt collection
tools such as administrative offset, tax refund offset, referral to
debt collection contractors, and referral to the Department of
Justice. The DCIA requires agencies to transfer to Treasury or
Treasury-designated Debt Collection Centers for cross servicing
certain nontax debt over 180 days delinquent. Treasury has the
authority to act in the Federal Government's best interest to
service, collect, compromise, suspend, or terminate collection action
under existing laws under which the debts arise.
l. Information on past due, legally enforceable nontax debts more
than 180 days delinquent will be referred to Treasury for the purpose
of locating the debtor and/or effecting administrative offset against
monies payable by the government to the debtor, or held by the
government for the debtor under the DCIA's mandatory, government-wide
Treasury Offset Program (TOP). Under TOP, Treasury maintains a
database of all qualified delinquent nontax debts, and works with
agencies to match by computer their payments against the delinquent
debtor database in order to divert payments to pay the delinquent
debt. Treasury has the authority to waive the computer matching
requirement for NRC and other agencies upon written certification
that administrative due process notice requirements have been
complied with.
m. For debt collection purposes, NRC may publish or otherwise
publicly disseminate information regarding the identity of delinquent
nontax debtors and the existence of the nontax debts under the
provisions of the Debt Collection Improvement Act of 1996.
n. To the Department of Labor (DOL) and the Department of Health
and Human Services (HHS) to conduct an authorized computer matching
program in compliance with the Privacy Act of 1974, as amended, to
match NRC's debtor records with records of DOL and HHS to obtain
names, name controls, names of employers, addresses, dates of birth,
and TINs. The DCIA requires all Federal agencies to obtain taxpayer
identification numbers from each individual or entity doing business
with the agency, including applicants and recipients of licenses,
grants, or benefit payments; contractors; and entities and
individuals owing fines, fees, or penalties to the agency. NRC will
use TINs in collecting and reporting any delinquent amounts resulting
from the activity and in making payments.
o. If NRC decides or is required to sell a delinquent nontax debt
under 31 U.S.C. 3711(i), information in this system of records may be
disclosed to purchasers, potential purchasers, and contractors
engaged to assist in the sale or to obtain information necessary for
potential purchasers to formulate bids and information necessary for
purchasers to pursue collection remedies.
p. If NRC has current and delinquent collateralized nontax debts
under 31 U.S.C. 3711(i)(4)(A), certain information in this system of
records on its portfolio of loans, notes and guarantees, and other
collateralized debts will be reported to Congress based on standards
developed by the Office of Management and Budget , in consultation
with Treasury.
q. To Treasury in order to request a payment to individuals owed
money by the NRC.
r. 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.
s. 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)(1996)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is stored on paper and microfiche, and
in computer media.
Retrievability:
Information is retrieved a number of ways, including by name,
SSN, TIN, license or application number, contract or purchase order
number, invoice number, voucher number, and vendor code.
Safeguards:
Records in the primary system are maintained in a building where
access is controlled by a security guard force. Records are kept in
lockable file rooms or at user's workstations in an area where access
is controlled by keycard and is limited to NRC and contractor
personnel who need the records to perform their official duties. The
records are under visual control during duty hours. Access to
automated data requires use of proper password and user
identification codes by NRC or contractor personnel.
Retention and disposal:
Paper records are destroyed when six years and three months old
under GRS 6-1.a except that administrative claims files, for which
collection action is terminated without extension, are destroyed when
ten years and three months old under GRS 6-10.b. Computer files are
deleted after the expiration of the retention period authorized under
the GRS for the disposable hard copy file or when no longer needed,
whichever is later.
System manager(s) and address:
Director, Division of Accounting and Finance, Office of the Chief
Financial Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedure:
Same as ``Notification Procedures.''
Contesting record procedures:
Same as ``Notification Procedures.''
Record source categories:
Record source categories include, but are not limited to,
individuals covered by the system, their attorneys, or other
representatives; NRC; collection agencies or contractors; employing
agencies of debtors; and Federal, State and local agencies.
Systems exempted from certain provisions of the act:
None.
NRC-33
System name:
Special Inquiry File--NRC.
System location:
Primary system--Special Inquiry Group, NRC, One White Flint
North, 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) (1996).
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
under 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:
Individuals seeking to determine whether this system of records
contains information pertaining to themselves should write to the
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Information classified under
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, Text/Imaging
Management System and Associated Records--NRC.
System location:
Primary system--Advisory Committee on Reactor Safeguards and
Advisory Committee on Nuclear Waste, NRC, Two White Flint North,
11545 Rockville Pike, Rockville, 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 (1995).
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, electronic text/
imaging system, 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; and documents are,
in whole or in part, full-text indexed.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Automated records are
password protected; paper records are located within a controlled
area with door combination-lock access, or are stored in locked file
containers.
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:
Information Systems Specialist, Operations Support Branch,
Advisory Committee on Reactor Safeguards, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Facilities and Security, Office of
Administration, Two White Flint North, 11545 Rockville Pike,
Rockville, 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.
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) (2000); 42 U.S.C. 290dd-2 (2000); 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; 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 by the Division of
Facilities and 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 Facilities and Security are stored in an approved
security container under the immediate control of the Director,
Division of Facilities and 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 acknowledgment 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 when no longer needed. Index cards
are destroyed with related records or sooner if no longer needed.
System manager(s) and address:
Director, Division of Facilities and 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 1: Office of Human Resources, NRC, Two White
Flint North, 11545 Rockville Pike, Rockville, Maryland.
Part 2: Office of the Chief Information Officer, NRC, Two White
Flint North, 11545 Rockville Pike, Rockville, Maryland.
Part 3: Office of Administration, NRC, One White Flint North,
11555 Rockville Pike, Rockville, Maryland.
Part 4: Office of the Chief Financial Officer, NRC, Two White
Flint North, 11545 Rockville Pike, Rockville, Maryland.
Part 5: Incident Response Operations, NRC, Two White Flint North,
11545 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:
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 (1995); 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 individual identified by employee) in case of
an emergency;
b. Notification of employee regarding matters of official
business;
c. Verification of accuracy of and update of payroll systems
files 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 systems and on hardcopy listings.
Retrievability:
Indexed by name.
Safeguards:
Electronic records are password protected. Paper copies of
records are maintained in locked files. 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 1: Director, Office of Human Resources; Part 2: Chief
Information Officer; Part 3: Director, Office of Administration; Part
4: Chief Financial Officer; Part 5: Director, Incident Response
Operations, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Facilities and Security, Office of
Administration, NRC, One White Flint North, 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, licensees, 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 and/or declassify 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 (2000) and 2201(i) (1996); Executive Order 12958,
April 17, 1995.
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 or accessible through password protected systems for
unclassified information. The classified systems are stand alone
systems located within secure facilities or 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 Facilities and 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Some information is
classified under Executive Order 12958 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--Reproduction and Distribution Services Section,
Publishing Services Branch, Information Management Division, Office
of the Chief Information Officer, 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 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 (1995).
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
canceled or revised, then destroyed through the regular trash
disposal system. Computer files are deleted after canceled or revised
or when no longer needed, whichever is later.
System manager(s) and address:
Chief, Reproduction and Distribution Services Section, Publishing
Services Branch, Information Management Division, Office of the Chief
Information Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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 Facilities and Security, Office of
Administration, NRC, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in
part, at the locations listed in Addendum I, Parts 1 and 2; and the
Department of Energy, 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 (1992); 42 U.S.C. 2165 (2000) and 2201(i) (1996);
Executive Order 9397, November 22, 1943; Executive Order 10450, April
27, 1953; Executive Order 12958, April 17, 1995; Executive Order
12968, August 2, 1995; Executive Order 10865, February 20, 1960; 10
CFR part 11 (2000); Pub. L. 99-399, ``Omnibus Diplomatic Security and
Antiterrorism Act of 1986''; OMB Circular No. A-130, December 12,
1985; 5 CFR parts 731 and 732 and authorities cited therein; 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
Facilities and Security and on a need-to-know basis by appropriate
NRC officials, Hearing Examiners, Personnel Security Review Panel
members, 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 when no
longer needed.
System manager(s) and address:
Director, Division of Facilities and 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification procedure.'' Some information is
classified under Executive Order 12958 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 Facilities and Security, Office of
Administration, NRC, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in
part, at 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, digital image, badge 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 (2000) and 2201(i), (k) and (p) (1996); 5 CFR part
2634; 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:
Information in these records may be used to control access to NRC
classified information and to NRC spaces by human or electronic
means.
Information (identification badge) may also be used for tracking
applications within the NRC for other than security access purposes.
In addition to the disclosures permitted under subsection (b) of
the Privacy Act, NRC may disclose information and digital image
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 forms, in logs, and files, and on
computer media.
Retrievability:
Information is indexed and accessed by individual's name, social
security number, 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 Facilities and 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
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.
NRC-41
System name:
Tort Claims and Personal Property Claims--NRC.
System location:
Primary system--Office of the General Counsel, NRC, One White
Flint North, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems exist, in whole or in part,
in the Office of the Chief Financial Officer (OCFO), NRC, Two White
Flint North, 11545 Rockville Pike, Rockville, Maryland, and at the
locations listed in Addendum I, Parts 1 and 2. Other NRC systems of
records, including but not limited to, NRC-18, ``Office of the
Inspector General Investigative Records--NRC,'' and NRC-32, ``OCFO
Financial Transactions and Debt Collection Management Records--NRC,''
may contain some of the information in this system of records.
Categories of individuals covered by the system:
Individuals who have filed claims with NRC under the Federal Tort
Claims Act or the Military Personnel and Civilian Employees' Claims
Act and individuals who have matters pending before the NRC that may
result in a claim being filed.
Categories of records in the system:
This system contains information relating to loss or damage to
property and/or personal injury or death in which the U.S. Government
may be liable. This information includes, but is not limited to, the
individual's name, home address and phone number, work address and
phone number, claim forms and supporting documentation, police
reports, witness statements, medical records, insurance information,
investigative reports, repair/replacement receipts and estimates,
litigation documents, court decisions, and other information
necessary for the evaluation and settlement of claims and pre-claims.
Authority for maintenance of the system:
Federal Tort Claims Act, 28 U.S.C. 2671 et seq.; The Military
Personnel and Civilian Employees' Claims Act of 1964, as amended, 31
U.S.C. 3721.
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 the following routine uses:
a. To third parties, including claimants' attorneys, insurance
companies, witnesses, potential witnesses, local police authorities
where an accident occurs, and others who may have knowledge of the
matter to the extent necessary to obtain information that will be
used to evaluate, settle, refer, pay, and/or adjudicate claims.
b. To the Department of Justice (DOJ) when the matter comes
within their jurisdiction, such as to coordinate litigation or when
NRC's authority is limited and DOJ advice or approval is required
before NRC can award, adjust, compromise, or settle certain claims.
c. To the appropriate Federal agency or agencies when a claim has
been incorrectly filed with NRC or when more than one agency is
involved and NRC makes agreements with the other agencies as to which
one will investigate the claim.
d. The Department of the Treasury to request payment of an award,
compromise, or settlement of a claim.
e. Information contained in litigation records is public to the
extent that the documents have been filed in a court or public
administrative proceeding, unless the court or other adjudicative
body has ordered otherwise. This public information, including
information concerning the nature, status, and disposition of the
proceeding, may be disclosed to any person, unless it is determined
that release of specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
f. 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.
g. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
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 of records 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) (1996)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system of records is stored on paper, in log
books, and on computer media.
Retrievability:
Information is indexed and accessed by the claimant's name and/or
claim number.
Safeguards:
The paper records and log books are stored in locked file
cabinets or locked file rooms and access is restricted to those
agency personnel whose official duties and responsibilities require
access. Automated records are protected by password.
Retention and disposal:
a. Tort claims and employee claims are destroyed six years and
three months after payment or disallowance under General Records
Schedule (GRS) 6-10.a.
b. Claims affected by a court order or subject to litigation are
destroyed after the related action is concluded, or when six years
and three months old, whichever is later, under GRS 10-6.c.
c. Log books are destroyed or deleted when no longer needed under
GRS 23-8.
d. Copies of memoranda contained on electronic media are deleted
when no longer needed under GRS 20-13.
e. Copies of tort claims and personal property claims that become
part of NRC's Litigation Case File are retained by the Government
permanently under NRC Schedule (NRCS) 2-13.4.
System manager(s) and address:
Assistant General Counsel for Administration, Office of the
General Counsel, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification Procedure.''
Contesting record procedures:
Same as ``Notification Procedure.''
Record source categories:
Information is obtained from a number of sources, including but
not limited to, claimants, NRC employees involved in the incident,
witnesses or others having knowledge of the matter, police reports,
medical reports, investigative reports, insurance companies, and
attorneys.
NRC-42
System name:
Skills Assessment and Employee Profile Records--NRC.
System location:
Primary system--Office of the Chief Information Officer, NRC, Two
White Flint North, 11545 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in
part, at the NRC's Headquarters, regional, and other offices listed
in Addendum I, Parts 1 and 2. This system of records may contain some
of the information contained in other system of records. These other
systems may include, but are not limited to:
NRC-11, General Personnel Records (Official Personnel Folder and
Related Records)--NRC;
NRC-13, Incentive Awards Files--NRC;
NRC-19, Official Personnel Training Records Files--NRC;
NRC-22, Personnel Performance Appraisals--NRC; and
NRC-28, Recruiting, Examining, and Placement Records--NRC.
Categories of individuals Covered:
Current, prospective, and former NRC employees, experts,
consultants, contractors, and employees of other Federal agencies and
State, local, and foreign governments and private entities.
Categories of records in the system:
Specific information maintained on individuals includes
individual skills assessments that identify the knowledge and skills
possessed by the individual and the level of skills possessed, and
may include a skills profile containing, but not limited to, their
name; date of birth; social security number; service computation
date; series and grade; address and phone number; education;
training; work and skills experience; special qualifications;
licenses and certificates held; honors and awards; career interests,
goals and objectives; and availability for travel or geographic
relocation. Individual training plans, when developed, may also be
maintained in this system.
Authority for maintenance of the system:
Pub. L. 104-106, National Defense Authorization Act for Fiscal
Year 1996, sec. 5125, Agency Chief Information Officer, February 10,
1996; 5 USC 3396 (1994); 5 USC 4103 (2000); 42 USC 2201 (1996);
Executive Order 9397, November 22, 1943; Executive Order 11348,
February 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:
The primary use of the records will be to assess the knowledge
and skills needed to perform the functions assigned to individuals
and their organizations. It will specifically be used by the Chief
Information Officer (CIO) to carry out the provisions of section
5125(c)(3) of the National Defense Authorization Act for Fiscal Year
1996 that requires the CIO to assess the requirements established for
agency personnel regarding knowledge and skill in information
resources management and the adequacy of the requirements for
achieving performance goals established for information resources
management; assess the extent to which certain positions and
personnel meet the requirements; develop strategies and specific
plans for hiring, training, and professional development to rectify
deficiencies in meeting the requirements; and report to the head of
the agency the progress made in improving information resources
management.
Information in the system may be used by the CIO to prepare
skills profiles of employees reporting to the CIO, including those in
the Office of Information Resources Management; to assess the skills
of the CIO staff in light of the functions performed by the CIO
organization; to develop an organizational training plan/program; to
prepare individual training plans; to develop recruitment plans; and
to assign personnel. Other offices may maintain similar kinds of
records relative to their specific duties, functions, and
responsibilities.
In addition to the disclosures permitted under subsection (b) of
the Privacy Act, which includes disclosure to other NRC employees who
have a need for the information in the performance of their duties,
NRC may disclose information contained in this system of records
without the consent of the subject individual if the disclosure is
compatible with the purpose for which the information was collected
under the following routine uses:
a. To employees and contractors of other Federal, State, local,
and foreign agencies or to private entities in connection with joint
projects, working groups, or other cooperative efforts in which the
NRC is participating.
b. 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.
c. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposition of records in the system:
Storage:
Information is maintained in computerized form and in paper copy.
Computerized form includes information stored in memory, on disk, and
on computer printouts.
Retrievability:
Information may be retrieved in a number of ways, including but
not limited to the individual's name, social security number,
position title, office, or skill level; various skills, knowledge,
training, education, or work experience; or subject or key words
developed for the system.
Safeguards:
Records are maintained in buildings where access is controlled by
a security guard force. Records are maintained in areas where access
is controlled by keycard and is limited to NRC and contractor
personnel and to others who need the records to perform their
official duties. Access to computerized records requires use of
proper password and user identification codes.
Retention and disposal:
System input records are destroyed after the information is
converted to electronic medium and verified under General Records
Schedules 20-2.a and b. System data maintained electronically are
currently unscheduled and must be retained until a records
disposition schedule for this information is approved by the National
Archives and Records Administration. Hard copy records documenting
skills requirements, assessments, strategies, and plans for meeting
the requirements are currently unscheduled and must be retained until
a records disposition schedule for this information is approved by
the National Archives and Records Administration.
System manager(s) and address:
Director, Planning and Resource Management Division, Office of
the Chief Information Officer, 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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedure:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity and record access
procedures contained in NRC's Privacy Act regulations, 10 CFR part 9.
Contesting record procedure:
Same as ``Notification Procedure'' and comply with NRC's Privacy
Act regulations regarding verification of identity and contesting
record procedures contained in NRC's Privacy Act regulations, 10 CFR
part 9.
Record source categories:
Information in this system of records is obtained from a number
of sources, including but not limited to the individual to whom it
pertains, information derived from that supplied by the individual,
other systems of records, supervisors and other NRC officials,
contractors, and other agencies or entities.
NRC-43
System name:
Employee Health Center Records--NRC.
System location:
Primary system--NRC Employee Health Center, One White Flint
North, 11555 Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in
part, at the NRC's regional and other offices listed in Addendum I,
Parts 1 and 2, and/or at any other health care facilities operating
under a contract or agreement with NRC for health-related services.
This system may contain some of the information maintained in other
systems of records, including NRC-11, ``General Personnel Records
(Official Personnel Folder and Related Records)--NRC,'' NRC-17,
``Occupational Injuries and Illness Records--NRC,'' and, when in
effect, NRC-44, ``Employee Fitness Center Records--NRC.''
Categories of individuals covered by the system:
Current and former NRC employees, consultants, contractors, other
Government agency personnel, and anyone on NRC premises who requires
emergency or first-aid treatment.
Categories of records in the system:
This system is comprised of records developed as a result of
voluntary employee use of health services provided by the Health
Center, and of emergency health services rendered by Health Center
staff to individuals for injuries and illnesses suffered while on NRC
premises. Specific information maintained on individuals includes,
but is not limited to, their name, date of birth, and Social Security
number; medical history and other biographical data; test reports and
medical diagnoses based on employee health maintenance physical
examinations or health screening programs (tests for single medical
conditions or diseases); history of complaint, diagnosis, and
treatment of injuries and illness rendered by the Health Center
staff; immunization records; records of administration by Health
Center staff of medications prescribed by personal physicians;
medical consultation records; statistical records; daily log of
patients; and medical documentation such as personal physician
correspondence and test results submitted to the Health Center staff
by the employee. Forms used to obtain or provide information include
the following:
(1) Employee Health Record.
(2) Immunization/Health Profile.
(3) Problem List.
(4) Progress Notes.
(5) Consent for Release of Medical Information.
(6) Against Medical Advice (AMA) Release.
(7) Patient Treatment Record.
(8) Injection Record.
(9) Allergy.
(10) Respirator Certification Form.
(11) Pre-travel Questionnaire.
(12) Flu Vaccine Form.
(13) Pneumonia Vaccine Form.
(14) TB Test Form.
(15) Office of Workers' Compensation Programs (OWCP) Occupational
Injury Form.
(16) Medical History.
(17) Medical Examination.
(18) Prostate Symptoms Questionnaire.
(19) Proctosigmoidoscopy Form.
Authority for maintenance of the system:
5 U.S.C. 7901 (1996); Executive Order 9397, November 22, 1943.
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, the NRC may disclose information contained 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 refer information required by applicable law to be
disclosed to a Federal, State, or local public health service agency
concerning individuals who have contracted certain communicable
diseases or conditions in an effort to prevent further outbreak of
the disease or condition.
b. To disclose information to the appropriate Federal, State, or
local agency responsible for investigation of an accident, disease,
medical condition, or injury as required by pertinent legal
authority.
c. To disclose information to the Office of Workers' Compensation
Programs in connection with a claim for benefits filed by an
employee.
d. To Health Center staff and medical personnel under a contract
or agreement with NRC who need the information in order to schedule,
conduct, evaluate, or follow up on physical examinations, tests,
emergency treatments, or other medical and health care services.
e. To refer information to private physicians designated by the
individual when requested in writing.
f. 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.
g. For 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 stored in file folders, on microfiche, on computer
media, and on file cards, logs, x-rays, and other medical reports and
forms.
Retrievability:
Records are retrieved by the individual's name, date of birth,
and Social Security number, or any combination of those identifiers.
Safeguards:
Records in the primary system are maintained in a building where
access is controlled by a security guard force and entry to each
floor is controlled by keycard. Records in the system are maintained
in lockable file cabinets with access limited to agency or contractor
personnel whose duties require access. The records are under visual
control during duty hours. Access to automated data requires use of
proper password and user identification codes by authorized
personnel.
Retention and disposal:
Records documenting an individual employee's medical history,
physical condition, and visits to Government health facilities, for
nonwork-related purposes, are maintained for six years from the date
of the last entry as are records on consultants, contractors, other
Government agency personnel, and anyone on NRC premises who requires
emergency or first-aid treatment under Government Records Schedule
(GRS) 1-19. Health Center control records such as logs or registers
reflecting daily visits are destroyed three months after the last
entry if the information is summarized on a statistical report under
GRS 1-20a and two years after the last entry if the information is
not summarized under GRS 1-20b. Employees are given copies of their
records if requested upon separation from the agency.
System manager(s) and address:
Employee Assistance Program Manager, Office of Human Resources,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001; comply with the procedures contained in
NRC's Privacy Act regulations, 10 CFR part 9; and provide their full
name, any former name(s), date of birth, and Social Security number.
Record access procedures:
Same as ``Notification Procedures.''
Contesting record procedures:
Same as ``Notification Procedures.''
Record source categories:
Information in this system of records is obtained from a number
of sources including, but not limited to, the individual to whom it
pertains; laboratory reports and test results; NRC Health Center
physicians, nurses, and other medical technicians or personnel who
have examined, tested, or treated the individual; the individual's
coworkers or supervisors; other systems of records; the individual's
personal physician(s); NRC Fitness Center staff; other Federal
agencies; and other Federal employee health units.
Systems exempted from certain provisions of the act:
None.
NRC-44
System name:
Employee Fitness Center Records--NRC.
System location:
Primary system--NRC Fitness Center, Two White Flint North, 11545
Rockville Pike, Rockville, Maryland.
Duplicate systems--Duplicate systems may exist, in whole or in
part, at the NRC's regional and other offices listed in Addendum I,
Parts 1 and 2, and/or at other facilities operating under a contract
or agreement with NRC for fitness-related services. This system may
contain some of the information maintained in other systems of
records, including NRC-32, ``Office of the Chief Financial Officer
Financial Transactions and Debt Collection Management Records-NRC.''
Categories of individuals covered by the system:
NRC employees who apply for membership in the Fitness Center as
well as current and inactive Fitness Center members.
Categories of records in the system:
The system includes employees' applications to participate in
NRC's Fitness Center, information on individuals' degree of physical
fitness and their fitness activities and goals, and various forms,
memoranda, and correspondence related to Fitness Center membership
and financial/payment matters. Specific information contained in the
application for membership includes the employee applicant's name,
gender, age, Social Security number, height, weight, and medical
information, including a history of certain medical conditions; the
name of the individual's personal physician and any prescription or
over-the-counter drugs taken on a regular basis; and the name and
address of a person to be notified in case of emergency. Forms used
to obtain or provide information include the following:
(1) Application Package.
(2) Release of Medical Information/Physician's Statement.
(3) Fitness Assessment.
(4) Pre-exercise Health Screening.
(5) Account Logs.
(6) Terminated Memberships.
(7) New Memberships.
(8) Monthly Dues Collected.
(9) Accident Report.
(10) ``Dear Participant'' Letter.
(11) Refund Request.
(12) Regional Employee Sign-in Log.
(13) Member of the Month.
(14) User Evaluation Form.
Authority for maintenance of the system:
5 U.S.C. 7901(1996) ; Executive Order 9397, November 22, 1943.
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, the NRC may disclose information contained 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 the individual listed as an emergency contact, in the event
of an emergency.
b. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 or 2906.
c. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses.
Disclosures 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) (1996)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on computer media and in paper form in
logs and files.
Retrievability:
Information is indexed and accessed by an individual's name and/
or Social Security number.
Safeguards:
Records in the primary system are maintained in a building where
access is controlled by a security guard force. Access to the Fitness
Center is controlled by keycard and bar code verification. Records in
paper form are stored alphabetically by individuals' names in
lockable file cabinets maintained in the NRC Fitness Center where
access to the records is limited to agency and Fitness Center
personnel whose duties require access. The records are under visual
control during duty hours. Automated records are protected by screen
saver. Access to automated data requires use of proper password and
user identification codes. Only authorized personnel have access to
areas in which information is stored.
Retention and disposal:
Fitness Center records are currently unscheduled and must be
retained until the National Archives and Records Administration
approves a records disposition schedule for this material.
System manager(s) and address:
Safety and Health Program Manager, Office of Human Resources,
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
Freedom of Information Act and Privacy Act (FOIA/PA) Officer, Office
of the Chief Information Officer, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, and comply with the procedures contained
in NRC's Privacy Act regulations, 10 CFR part 9.
Record access procedures:
Same as ``Notification Procedures.''
Contesting record procedures:
Same as ``Notification Procedures.''
Record source categories:
Information in this system of records is principally obtained
from the individuals upon whom the records are maintained. Other
sources of information include, but are not limited to, the NRC
Fitness Center Director and other staff, physicians retained by the
NRC, the individuals' personal physicians, and other systems of
records.
Systems exempted from certain provisions of the act:
None.
Addendum I--List of U.S. Nuclear Regulatory Commission Locations
Part 1--NRC Headquarters Offices
a. Gelman Building, 2120 L Street, NW., Washington, DC 20003-
1527.
b. One White Flint North, 11555 Rockville Pike, Rockville,
Maryland 20852-2738.
c. Two White Flint North, 11545 Rockville Pike, Rockville,
Maryland 20852-2738.
d. Warehouse, 5008 Boiling Brook Parkway, Rockville, Maryland
20852-2738.
Part 2--NRC Regional Offices
a. NRC Region I, 475 Allendale Road, King of Prussia,
Pennsylvania 19406-1415.
b. NRC Region II, Atlanta Federal Center, 23 T85, 61 Forsyth
Street, SW., Atlanta, Georgia 30303-3415.
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. High-Level Waste Management Office, 1551 Hillshire Drive, Las
Vegas, Nevada 89134.
f. NRC Technical Training Center, 5746 Marlin Road, Suite 200,
Chattanooga, Tennessee 37411-5677.
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 PART 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]
NUCLEAR WASTE TECHNICAL REVIEW BOARD
TABLE OF CONTENTS
1. Administrative and Travel Files.
2. Mailing Lists.
NWTRB-1
System name:
Administrative and Travel Files.
Security classification:
Unclassified.
System location:
Nuclear Waste Technical Review Board, 2300 Clarendon Boulevard,
Suite 1300, Arlington, VA 22201.
Categories of individuals covered by the system:
Employees and applicants for employment with the Board, including
NWTRB contractors and consultants.
Categories of records in the system:
Records containing the following information:
(1) Time and attendance;
(2) Payroll actions and deduction information requests;
(3) Authorizations for overtime and night differential;
(4) Credit cards and telephone calling cards issued to
individuals;
(5) Destination, itinerary, mode and purpose of travel;
(6) Date(s) of travel and all expenses;
(7) Passport number;
(8) Request for advance of funds and voucher with receipts;
(9) Travel authorizations;
(10) Name, address, social security number, and birth date; and,
(11) Employee public transit subsidy applications and vouchers.
Authority for maintenance of the system:
Pub. L. 100-203, Part E.
Routine uses of records maintained in the system including
categories of users and the purposes of such uses:
Information is used ``in house.'' Notwithstanding the above,
access may also be gained under the following conditions:
(a) In the event that a system of records maintained by this
agency to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule 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 statutes, or
rule, regulation or order issued pursuant thereto.
(b) A record from the system of records may be disclosed as a
``routine use'' to a federal, state or local agency maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, such as current licenses, if necessary to
obtain information relevant to an agency 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.
(c) A record from this system of records may be disclosed to a
federal agency, in response to this 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
benefits by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision on the
matter.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and computer disk.
Retrievability:
By type of document, then name.
Safeguards:
Access is limited to employees having a need to know. Records are
stored in locked file cabinets in a controlled access area in
accordance with federal guidelines or in password protected
electronic databases.
Retention and disposal:
Records retention and disposal authorities are contained in the
``General Records Schedules'' published by National Archives and
Records Administration, Washington, DC. Records within NWTRB are
destroyed by shredding or purging.
System manager(s) and address:
Nuclear Waste Technical Review Board, 12300 Clarendon Boulevard,
Suite 1300, Arlington, VA 22201, Attention: Office of Administration.
Notification procedure:
Requests by an individual to determine if NWTRB-1 contains
information about him/her should be directed to the Systems Manager
listed above. Required identifying information: Complete name, social
security number, and date of birth.
Record access procedures:
Same as notification procedures above, except individual must
show official photo identification before viewing records.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individuals, timekeepers, travel officers, official
personnel records, GSA for accounting and payroll, and travel agency
contract.
Exemptions claimed for the system:
None.
NWTRB-2
System name:
Mailing Lists.
Security classification:
Unclassified.
System location:
Nuclear Waste Technical Review Board, 2300 Clarendon Boulevard,
Suite 1300, Arlington, VA 22201.
Categories of individuals covered by the system:
Those who receive reports in compliance with statutory authority
and those individuals who have requested Board reports, newsletters,
meeting transcripts and/or press releases.
Categories of records in the system:
List of names, addresses and materials requested.
Authority for maintenance of the system:
Pub. L. 100-203, Part E.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Distribution of Board reports, newsletters, meeting transcripts,
and press releases. Information is used ``in house.'' Notwithstanding
the above, access may also be gained under the following condition.
In the event that a system of records maintained by this agency
to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule 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 statutes, or
rule, regulation or order issued pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer disk.
Retrievability:
By name and type of information requested.
Safeguards:
Access is limited to employees having a need to know. Lists are
kept in password protected electronic databases.
Retention and disposal:
Requesters are sent periodic requests to update their records
and/or remain on the mailing list. Nonrespondents and all asking to
be deleted are purged from the list.
System manager(s) and address:
Nuclear Waste Technical Review Board, 2300 Clarendon Boulevard,
Suite 1300, Arlington, VA 22201, Attention: Office of Administration.
Notification procedures:
Requests by an individual to determine if NWTRB-2 contains
information about him/her should be directed to the System Manager
(above). Required identifying information: complete name and address.
Record access procedures:
Same as notification procedure above, except individual must show
official photo identification before viewing records.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Statutory reporting authority and requests from individuals to be
placed on a distribution.
Exemptions claimed for the system:
None.