[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NUCLEAR REGULATORY COMMISSION
NRC Systems of Records
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. Office of Small Business and Civil Rights 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--NRC.
13. Incentive Awards Files--NRC.
14. Employee Assistance Program Files--NRC.
15. [Revoked.]
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. Property and Supply System (PASS)--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. Reactor Program System (RPS)/Regulatory Information Tracking
System (RITS)--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. [Revoked.]
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 (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 of General Routine Uses.
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 applications
include, but are not limited to, the applicant's name, address,
telephone number, length of service, and vehicle, rideshare and
handicap 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:
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 record amount paid and revenue collected for parking;
b. To contact permit holder;
c. To determine priority for issuance of permits;
d. To provide statistical reports to city, county, State, and
Federal Government agencies; and
e. For the routine uses specified in paragraph numbers 1, 4, 5,
and 6 in the Prefatory Statement of General Routine Uses.
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 destroyed when 3 years old in accordance with GRS
3.3a(1)(b) 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Applications submitted by NRC employees and contractors.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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:
Current and former Commissioners 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
about the Commissioners and senior NRC staff members, including
photographs of Commissioners.
Authority for maintenance of the system:
42 U.S.C. 5841, 5843(a), 5844(a), 5845(a), and 5849.
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 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 of General Routine Uses. Biographies of
current Commissioners are available on the NRC's Web site.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are maintained in file folders and on computer
media.
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:
Information on Commissioners retained until updated or no longer
needed. Senior NRC staff information retained until updated or
association with NRC is discontinued. Paper records discarded in
regular trash disposal.
System manager(s) and address:
Deputy 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 system--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 or have been considered for enforcement action. 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) numbers, which are assigned
when individual enforcement actions are considered. 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; 42 U.S.C. 2167, as amended; 42 U.S.C. 2201(i), as
amended; and 42 U.S.C. 2282, as amended; 10 CFR 30.10, 40.10, 50.5,
60.11, 61.9b, 70.10, 72.12, and 110.7b.
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 and making the information available in the
Public Electronic Reading Room accessible through the NRC Web site,
http://www.nrc.gov.
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 activities;
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:
Paper records are maintained in lockable file cabinets and are
under visual control during duty hours. Access to computer records
requires use of proper password and user identification codes. Access
to and use of these records is limited to those NRC employees whose
official duties require access.
Retention and disposal:
Significant Enforcement Actions Case Files are permanent records
and are transferred to NARA with related indexes when 20 years old in
accordance with NARA approved schedule N1-431-00-05, Item 3.a(1) and
3.a(4). All other enforcement actions and violations are destroyed 10
years after the actions are cut off, in accordance with NARA approved
schedule N1-431-00-05, Item 3.b(1) and 3.b(4).
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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-4
System name:
Conflict of Interest Files--NRC.
System location:
Office of the General Counsel, NRC, One White Flint North, 11555
Rockville Pike, Rockville, Maryland.
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 2634-2641, 5801; 18 U.S.C. 201-209; Executive Order 12731;
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:
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 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 of General Routine Uses.
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:
Financial disclosure records are destroyed when 6 years old in
accordance with GRS 25-2.a and GRS 25-2.b; 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-5
System name:
Contracts Records Files--NRC.
System location:
Primary system--Division of Contracts, NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems exist, in part, at the
locations listed in Addendum I, Parts 1 and 2, in working files
maintained by the assigned office project manager and in the NRC's
Agencywide Documents Access and Management System (ADAMS).
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
Acquisition Officials, assessment of contractor performance, invoice
payment records, and related information.
Authority for maintenance of the system:
44 U.S.C. 3301; 31 U.S.C. 3511; 48 CFR Subpart 4.8; 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:
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 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 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 and on computer
media.
Retrievability:
Paper records are accessed by contract number, taxpayer
identification number (TIN), or purchase order number; and are cross-
referenced to the automated system that contains the name of the
contractor, vendor, project officer, procurement official, or
contractor manager.
Safeguards:
File folders are maintained in unlocked conserver files in a key
code locked room. Access to and use of these records are limited to
those persons whose official duties require such access. Access to
automated systems is protected by password and roles and
responsibilities.
Retention and disposal:
Records for transactions of more than $100,000 are destroyed 6
years and 3 months after final payment, in accordance with GRS 3-
3.a(1)(a). Transactions of $100,000 or less are destroyed 3 years
after final payment in accordance with GRS 3-3.a(1)(b). Records are
destroyed through regular trash disposal system, except for
confidential business (proprietary) information which is destroyed by
shredding. Electronic records are retained until no longer needed.
System manager(s) and address:
Director, Division of Contracts, 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 PROCEDURE:
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 PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from the contractor
or potential contractor or NRC employee.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1) 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-6
System name:
Department of Labor (DOL) 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, as amended; 42 U.S.C. 2282, as amended; 42 U.S.C.
5851, as amended; 10 CFR 30.7, 40.7, 50.7, 60.9, 61.9, 70.7, and
72.10.
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:
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 on paper in file folders, on computer
printouts, and on computer media.
Retrievability:
Records are accessed by the name of the individual who has filed
a complaint with DOL.
Safeguards:
Paper records are maintained in lockable file cabinets. Access to
computer records requires use of proper password and user
identification codes. Access to and use of these records are limited
to those NRC employees whose official duties require access.
Retention and disposal:
Nonrecord materials are destroyed when no longer needed by NRC.
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 PROCEDURE:
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 PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Individuals to whom a record pertains, attorneys for these
individuals, union representatives serving as advisors to these
individuals, NRC licensees, NRC staff, and DOL.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-7
System name:
Call Detail Records--NRC.
System location:
Office of the Chief Information Officer, NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, MD, and NRC's Regional
offices I-IV listed in Addendum I, Part 2.
Categories of individuals covered by the system:
Individuals utilizing NRC telecommunication services, including
the recipients of long distance and cellular calls.
Categories of records in the system:
Call detail records of calls originating from or otherwise billed
to NRC including, but not limited to, originating and destination
telephone numbers, cities, States, date, time, cost, duration, and
agency billing hierarchy code.
Authority for maintenance of the system:
44 U.S.C. 3101 et seq.; 41 CFR 101-35.1, Use of Government
Telephones; 41 CFR part 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:
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 determine an individual's responsibility for telephone
calls;
b. To assist in the planning and effective management of NRC
telecommunication services, and to determine that those services are
being used in an efficient and economical manner;
c. To verify invoices for telecommunication services; and
d. For the routine uses specified in paragraphs 1, 3, 5, and 6 of
the Prefatory Statement of General Routine Uses.
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) (1970)) 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 telephone number or organizational code.
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 are destroyed when 3
years old in accordance with GRS 12-4. Records pertaining to location
of telephone equipment, equipment requests, and phone service are
destroyed when 3 years old in accordance with GRS 12-2.b.
System manager(s) and address:
Headquarters: Director, Infrastructure and Computer Operations
Division, Office of the Chief Information Officer, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001.
Regional Offices I-IV: The appropriate Director, Division of
Resource Management and Administration, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Call detail data from telecommunications service providers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 system--A duplicate system may be maintained, in whole
or in part, in the Office of the General Counsel, NRC, One White
Flint North, 11555 Rockville Pike, Rockville, Maryland, and at NRC's
Regional Offices at locations listed in Addendum I, Part 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, 5 U.S.C. 4303, as amended, 5 U.S.C. 7503; 42
U.S.C. 2201(d), as amended.
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 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 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 and binders and
on computer media.
Retrievability:
Records are retrieved by individual's name.
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 in accordance with
GRS 1-30.a and GRS 1-30.b, 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 PROCEDURE:
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 PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-9
System name:
Office of Small Business and Civil Rights 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--A duplicate system exists, in part, in the
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 formal
complaint of employment discrimination under Title VII of the Civil
Rights Act, the Age Discrimination in Employment Act, the Equal Pay
Act, and the Rehabilitation Act. Individuals in the United States in
education programs or activities receiving Federal financial
assistance from the NRC who initiated an informal complaint and/or
filed a formal complaint of sex discrimination under Title IX of the
Civil Rights Act. Individuals in the United States in programs or
activities receiving Federal financial assistance from the NRC who
initiated an informal complaint and/or filed a formal complaint of
discrimination under Title VI of the Civil Rights Act, the Age
Discrimination Act of 1975, Section 504 of the Rehabilitation Act of
1973, and Title IV of the Energy Reorganization Act of 1974, as
amended.
Categories of records in the system:
This system of records may contain copies of written reports by
counselors; investigative files; administrative files, including
documentation of withdrawn and/or dismissed complaints; complainant's
name, title, and grade; types and theories of discrimination alleged;
description of action and conditions giving rise to complaints,
settlement agreements, and compliance documents; description of
corrective and/or remedial actions; description of disciplinary
actions, if any; request for hearings, procedural information, and
hearing transcripts; procedural information and forms regarding
Alternative Dispute Resolution (ADR); Equal Employment Opportunity
Commission (EEOC), Merit System Protection Board (MSPB), Department
of Education, and Department of Justice findings, analyses, decisions
and orders; final agency decisions and final actions; and notices of
intent to file in Federal district court, notices of cases filed in
Federal district court, and Federal court decisions
Authority for maintenance of the system:
29 U.S.C. 206(d), as amended; 29 U.S.C. 633a, as amended; 29
U.S.C. 791 et seq.; 42 U.S.C. 2000e-16, as amended; 42 U.S.C. 5891;
Executive Order (E.O.) 11246; E.O. 11375; E.O. 12086; E.O. 13166; 29
CFR part 1614; 10 CFR part 4; and Public Law 107-174, Notification
and Federal Employee Anti-discrimination and Retaliation Act of 2002.
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 furnish information related to discrimination complaints to
the Equal Employment Opportunity Commission, the Office of Personnel
Management, the Merit Systems Protection Board, the Department of
Justice, the Department of Education, Health and Human Services,
Office of Management and Budget, and Congress, under applicable
requirements; 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:
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. Automated
system is 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 in accordance with GRS 1-25.a.
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:
Civil Rights Program Manager, 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 PROCEDURE:
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 PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Individual to whom the record pertains, counselors, mediators,
investigators, NRC staff, Office of Human Resources, the Equal
Employment Opportunity Commission, the Office of Personnel
Management, the Merit Systems Protection Board, the Department of
Justice and/or Department of Education officials, affidavits or
statements from complainants, testimony of witnesses, and official
documents relating to the complaints.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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--FOIA/Privacy Team, Records and FOIA/Privacy
Services Branch, Information and Records Services Division, Office of
the Chief Information Officer, NRC, Two White Flint North, 11545
Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems may exist, 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 records.
Authority for maintenance of the system:
5 U.S.C. 552 and 552a; 42 U.S.C. 2201, as amended.
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. 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;
c. To another Federal agency when consultation or referral is
required to process a request; and
d. For any of the routine uses specified in the Prefatory
Statement of General Routine Uses. Some of the FOIA records are made
publicly available in the Public Electronic Reading Room accessible
through 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 on paper, CD ROM, audio and video tapes,
and disks in file folders; and on computer media.
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. Computerized 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:
Records are retained in hard copy or electronic record format for
2 years from date of reply if the request is granted in accordance
with GRS 14-11.a(1), 6 years if denied in accordance with GRS 14-
11.a(3)(a), and 6 years from date of final determination, if
appealed, in accordance with GRS 14-12.a. The FOIA/PA 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:
Freedom of Information Act and Privacy Act (FOIA/PA) Officer,
FOIA/Privacy Team, Records and FOIA/Privacy Services Branch,
Information and Records Services 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.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Requests are made by individuals. The response to the request is
based upon information contained in NRC records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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. NRC has an interagency agreement with the U.S. Department of
the Interior, Federal Personnel/Payroll System, in Denver, Colorado,
to maintain electronic personnel and payroll information for its
employees as of November 2, 2003.
Duplicate system--Duplicate systems exist, in part, within the
organization where the employee actually works for administrative
purposes, at the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals COVERED BY THE SYSTEM;
Current NRC employees and those formerly employed by the NRC
(terminated through death, resignation, retirement, or separation).
Categories of records in the system:
This system contains personnel records that document an
individual's Federal career and includes notification of personnel
action (SF-50) and documents supporting the action taken; life
insurance, thrift savings plan, health benefits and related
beneficiary forms; letters of disciplinary action; notices of
reductions-in-force; and other records retained in accordance with
Office of Personnel Management's Guide to Personnel Recordkeeping.
These records include employment information such as personal
qualification statements (SF-171 and OF-612), resumes, and related
documents including information about an individual's birth date,
social security number, veterans preference status, tenure, minority
group designator, physical handicaps, past and present salaries,
grades, position titles; employee locator forms identifying home and
work address, phone numbers and emergency contacts; and certain
medical records related to initial appointment and employment.
Authority for maintenance of the system:
5 U.S.C. 7901; 42 U.S.C. 290dd-2; 42 U.S.C. 290ee-1; 42 U.S.C.
2201(d); Executive Order 9397.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In accordance with an interagency agreement the NRC may disclose
records to the U.S. Department of the Interior (DOI), Federal
Personnel/Payroll System (FPPS), in order to effect the maintenance
of electronic personnel records on behalf of the NRC related to its
employees.
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; or, where determined
to be appropriate and necessary, the NRC may authorize DOI to make
the disclosure:
a. By the Office of Personnel Management (OPM) 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 store all personnel actions and related documentation, OPM
investigations, OIG investigations, security investigations,
determine eligibility for Federal benefits, employment verification,
and to update monthly Central Personnel Data File (CPDF);
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 Workers'
Compensation Programs) and the Office of Personnel Management; and
h. 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 maintained on paper in file folders and on computer
media. Beginning November 2, 2003, electronic records are maintained
in the Department of the Interior's (DOI) Federal Personnel/Payroll
System (FPPS). Electronic records prior to November 2, 2003, are
maintained at NRC in the Human Resources Management System (HRMS).
Retrievability:
Records are retrieved by name and/or social security number.
Safeguards:
Official Personnel Folders are maintained in locking cabinets in
a keypad locked room and related documents may be maintained in
unlocked file cabinets or an electromechanical file organizer.
Automated systems are password protected. Access to and use of these
records are limited to those persons whose official duties require
such access.
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 in accordance with GRS 1-1.b-OPF.
Correspondence and forms maintained on the left side of the Official
Personnel Folder are temporary records and are maintained for the
periods of time specified in The Guide to Personnel Recordkeeping or
other agency guidelines in accordance with GRS 1-10. 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, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(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-12
System name:
Child Care Tuition Assistance Program Records--NRC.
System location:
Federal Employee Education and Assistance Fund (FEEA), 8441 W.
Bowles Avenue, Suite 200, Littleton, Colorado.
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 about the employee
(parent), their spouse (if applicable), their child/children, and
their child care provider, including name, social security number,
employer, grade, home and work telephone numbers, home and work
addresses, total family income, name of child 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 or
1040A for verification purposes.
Authority for maintenance of the system:
Public Law 107-67, section 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; 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 DISPOSITION of records in the system:
Storage:
Information maintained on paper forms and on computers at the
FEEA contractor site.
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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information is obtained from NRC employees who apply for child
care tuition assistance and their child care provider. Furnishing of
the information is voluntary.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-13
System name:
Incentive Awards Files--NRC.
System location:
Primary system--Office of Human Resources, NRC, Two White Flint
North, 11545 Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems may exist, in part, within
the organization where the employee actually works, 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. 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.
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 other Government agencies or organizations 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 of General Routine Uses.
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 is 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 in accordance with NRCS 2-22.3.a;
b. Case files pertaining to NRC-sponsored awards, excluding those
for departmental-level awards, are destroyed 2 years after approval
or disapproval in accordance with GRS 1-12.a(1);
c. Correspondence pertaining to awards from other Federal
agencies or non-Federal organizations are destroyed when 2 years old
in accordance with GRS 1-12.a(2);
d. Letters of commendation and appreciation, excluding copies
filed in the Official Personnel Folder, are destroyed when 2 years
old in accordance with GRS 1-12.c;
e. Lists and indexes to agency award nominations are destroyed
when superseded or obsolete in accordance with GRS 1-12.d; and
f. Computer files are continually updated and information deleted
when no longer needed.
System manager(s) and address:
Manager, Human Resources Services and Benefits, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
NRC employees, other agencies and organizations, and Official
Personnel Folders.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 EAP and the results of any counseling or
referrals which may have taken place. The records may contain
information as to the nature of each individual's problem, subsequent
treatment, and progress.
Authority for maintenance of the system:
5 U.S.C. 7901; 21 U.S.C. 1101; 42 U.S.C. 290dd-1 and 290dd-2; 44
U.S.C. 3101.
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 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 regulations, 42 CFR Part 2, as authorized by 42
U.S.C. 290dd-2, 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 and Wellness Services Manager.
Retention and disposal:
Employee counseling files are destroyed 3 years after termination
of counseling in accordance with GRS 1-26.a. Information contained in
the related statistical database is destroyed when no longer needed.
System manager(s) and address:
Manager, Employee Assistance and Wellness Services, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information compiled by the Manager, Employee Assistance and
Wellness Services, and the Employee Assistance Program contractor
during the course of counseling with an NRC employee or members of
the employee's family.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-15 (Revoked.)
RC-16
System name:
Facility Operator Licensees Record Files (10 CFR Part 55)--NRC.
System location:
For power reactors, at the appropriate Regional Office at the
address listed in Addendum I, Part 2; for nonpower (test and
research) reactor facilities, at the Operator Licensing and Human
Performance Section, Reactor Operations Branch, Division of
Inspection Program Management, Office of Nuclear Reactor Regulation,
NRC, One White Flint North, 11555 Rockville Pike, Rockville,
Maryland. The Operator Licensing Tracking System (OLTS) is located at
NRC Headquarters and is accessible by the four Regional Offices.
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).
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 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 examination, testing material, and results to
facility management; and
d. For any of the routine uses specified in paragraph numbers 1,
2, 4, 5, and 6 of the Prefatory Statement of General Routine Uses.
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: Inactive case files (i.e.,
after latest license expiration/termination/revocation, application
denial or withdrawal, or issuance of denial letter), are retired
after 3 years to the Federal Records Center, and destroyed after 10
years in accordance with NRCS 2-24.13.
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, Reactor
Operations 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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, Reactor Operations
Branch or regional operator licensing branches, and other NRC and
contractor personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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:
Current and former 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, as amended; 29 U.S.C. 657(c), as amended;
Executive Order (E.O.) 12196; E.O. 12223; E.O. 12608.
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 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, Merit
Systems Protection Board, and/or Equal Employment Opportunity
Commission as required to support individual claims; and
d. 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:
Maintained on paper in file folders and on computer media.
Retrievability:
Records retrieved by employee name or assigned case number.
Safeguards:
Maintained in locked file cabinet under visual control of HR
staff. Electronic 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:
Employee case files are destroyed when 5 years old in accordance
with GRS 1-34. 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
NRC Health Unit; NRC Headquarters and Regional Office reports;
and forms with original information largely supplied by the employees
or their representative, supervisors, witnesses, medical personnel,
etc.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 Investigative
Database Program containing reports of investigations, inquiries, and
other reports closed since 1989; (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, inquiries, and other reports; (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, inquiry, or other report,
and dates that the investigation, inquiry, or other report, 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
(2004); 42 U.S.C. 2035(c), 2201(c) (1992), and 5841(f) (1986).
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) (1970)) 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 computer media.
Retrievability:
Information is retrieved from the Investigative Database Program
by the name of an individual, by case number, or by subject matter.
Information in the paper files backing up the Investigative Database
Program 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 Investigative Database Program 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
Investigative Database Program 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 maintained in secure office facilities.
All records in this system are available only to authorized 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 in accordance with NARA approved schedule
N1-431-00-2, Item 1.d.
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 in
accordance with NARA approved schedule N1-431-00-2, Item 1.c.
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 in accordance with NARA approved schedule N1-431-00-2,
Item 1.b.
b. Index/Indices. Destroy or delete with the related records or
sooner if no longer needed.
c. Investigative Database Program. 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 PROCEDURE:
Same as ``Notification procedure.'' Information classified under
Executive Order 12958 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 PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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 system--Duplicate systems exist, in part, within the
organization where the NRC employee works, 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 an individual's
educational background and training courses including training
requests and authorizations, evaluations, and supporting
documentation, and other related personnel information, including but
not limited to, individual's name, address, telephone number,
position title, organization, and grade.
Authority for maintenance of the system:
5 U.S.C. 3396; 5 U.S.C. 4103; Executive Order (E.O.) 9397; E.O.
11348, as amended by E.O. 12107.
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. 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;
and
b. Disclosed for the routine uses specified in paragraph numbers
5 and 6 of the Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are maintained in file folders. Computerized data
is maintained in the Learning Management System (Contractor site: MCI
Center, Ashburn, Virginia.)
Retrievability:
Information is accessed by name, user identification number,
course number, or course session number.
Safeguards:
Electronic records are maintained in a password protected
computer system, Government online Learning Center hosting site.
Paper is maintained in lockable file cabinets and file rooms. Access
to and use of these records is limited to those persons whose
official duties require such access, with level of access controlled
by roles and responsibilities.
Retention and disposal:
Paper forms are retained for 5 years, then destroyed by shredding
in accordance with GRS 1-29.b. Information in the Learning Management
System is maintained until no longer needed for statistical and
historical reference.
System manager(s) and address:
Associate Director for Training and 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-20
System name:
Official Travel Records--NRC.
System location:
Primary system--Division of Financial Services, Office of the
Chief Financial Officer, NRC, Two White Flint North, 11545 Rockville
Pike, Rockville, Maryland.
Duplicate system--Duplicate systems may exist, in part, within
the organization where the employee actually works for administrative
purposes, at the locations listed in Addendum I, Parts 1 and 2,
published on September 24, 2004 (69 FR 57579).
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 requests and authorizations for official
travel, travel vouchers, passports, and related documentation; charge
card applications, terms and conditions for use of charge cards,
charge card training documentation, monthly reports regarding
accounts, credit data, and related documentation; all of which may
include, but are not limited to, an individual's name, address,
social security number, and telephone numbers.
Authority for maintenance of the system:
5 U.S.C. 5701; 31 U.S.C. 716, 1104, 1108, 3511, 3512, 3701, 3711,
3717, 3718; Federal Travel Regulations, 41 CFR Parts 301-304; Federal
Property Management Regulations, 41 CFR Part 101-41; Executive Order
9397; Section 639 of the Consolidated Appropriations Act, 2005 (Pub.
L. 108-447).
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 U.S. Treasury for payment;
b. To the Department of State or an embassy for passports or
visas;
c. To the General Services Administration and the Office of
Management and Budget for required periodic reporting;
d. To the charge card issuing bank;
e. To the Department of Interior, National Business Center, for
collecting severe travel card delinquencies by employee salary
offset;
f. To a consumer reporting agency to obtain credit reports; and
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):
Disclosures of information to a consumer reporting agency, other
than to obtain credit reports, 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) (1970)) 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 key locked file cabinets and in conserver files in
a passcode locked room. Passports and visas are maintained in a
locked file cabinet. For electronic 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 disposal in a Classified
and Sensitive Unclassified Waste container in accordance with GRS 9.
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, Payment Policy and Obligations Team, Division of Financial
Services, 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 procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information is provided by the individual, NRC Agency staff, NRC
contractors, the charge card issuing bank, the consumer reporting
agency, and outside transportation agents.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-21
System name:
Payroll Accounting Records--NRC.
System location:
Primary system--Division of Financial Services, Office of the
Chief Financial Officer, NRC, Two White Flint North, 11545 Rockville
Pike, Rockville, Maryland. NRC has an interagency agreement with the
Department of the Interior, Federal Personnel/Payroll System, in
Denver, Colorado, to maintain electronic personnel information and
conduct payroll-related activities for its employees as of November
2, 2003.
Duplicate system--Duplicate systems exist, in part, within the
organization where the employee actually works for administrative
purposes, 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, allowance histories, and labor activities, 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; 31 U.S.C. 716, 1104, 1108,
1114, 3325, 3511, 3512, 3701, 3711, 3717, 3718; Executive Order 9397.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In accordance with an interagency agreement the NRC may disclose
records to the U.S. Department of the Interior (DOI), Federal
Personnel/Payroll System (FPPS), in order to effect all financial
transactions on behalf of the NRC related to employee pay.
Specifically, the DOI/FPPS may effect employee pay or deposit funds
on behalf of NRC employees, and/or it may withhold, collect or offset
funds from employee salaries as required by law or as necessary to
correct overpayment or amounts due.
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; or, where determined
to be appropriate and necessary, the NRC may authorize DOI to make
the disclosure:
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
by 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
financial reporting;
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;
o. Time and labor data are used by the NRC as a project
management tool in various management records and reports (i.e. work
performed, work load projections, scheduling, project assignments,
budget), and for identifying reimbursable and fee billable work
performed by the NRC; and
p. 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) (1970)) 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 on computer media (stored in memory, on
disk, and magnetic tape), on microfiche, and in paper copy.
Electronic payroll, time, and labor records prior to November 2,
2003, are maintained in the Human Resources Management System (HRMS)
at NRC. Electronic payroll records from November 2, 2003, forward are
maintained in the DOI/FPPS in Denver, Colorado. Time and labor
records are maintained in the HRMS at NRC.
Retrievability:
Information is accessed by employee identification number, name
and social security number.
Safeguards:
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 and
file cabinets after working hours. All records are in areas where
access is controlled by keycard and is limited to NRC and contractor
personnel 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 Human Resources Management
System (HRMS) is updated in accordance with 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 in
accordance with GRS 2-1.b.
c. Copies of non-current payroll data maintained on microfiche
are destroyed 15 years after close of pay year in which generated in
accordance with GRS 2-2.
d. Employee and Consultant Payroll Records:
1. U.S. savings bond authorizations are destroyed when superseded
or after separation of employee in accordance with 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, in accordance with GRS 2-15.a.
3. Union dues and savings allotment authorizations are destroyed
after GAO audit or when 3 years old, whichever is sooner, in
accordance with 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, in accordance with 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 in
accordance with 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 in
accordance with 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 in
accordance with 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, in accordance with
GRS 2-7.
f. Electronic time and attendance input records maintained in the
HRMS are destroyed after GAO audit or when 6 years old, whichever is
sooner, in accordance with GRS 2-8.
g. Payroll system reports providing fiscal information on agency
payroll consisting of hardcopy and microfiche reports generated by
the HRMS are destroyed when 3 years old, excluding the long-term
Employee History Reports, in accordance with 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, in
accordance with 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 in accordance with GRS 2-18.
System manager(s) and address:
Chief, Time, Labor and Payroll Services Team, Division of
Financial Services, 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 procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
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, 11555 Rockville Pike,
Rockville, Maryland.
NRC has an interagency agreement with the U.S. Department of the
Interior, Federal Personnel/Payroll System, in Denver, Colorado, to
maintain electronic personnel and payroll information for its
employees as of November 2, 2003.
Duplicate system--Duplicate systems may exist in part, within the
organization where the employee actually works, at the locations
listed in Addendum I, Parts 1 and 2.
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, 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
elements and standards, summary ratings and other related records.
Authority for maintenance of the system:
5 U.S.C. 4301, et seq.; 5 U.S.C. 4311 et seq.; 42 U.S.C. 2201(d),
5841; and 5 CFR 293.404(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In accordance with an interagency agreement the NRC may disclose
records to the U.S. Department of the Interior (DOI), Federal
Personnel/Payroll System (FPPS), in order to effect the maintenance
of electronic personnel records on behalf of the NRC related to its
employees.
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:
Maintained on paper in folders and on computer media. Summary
ratings from 11/2/2003 forward are stored in the Department of the
Interior's Federal Personnel/Payroll System (FPPS). Prior to 11/2/
2003 they are maintained at the NRC in the Human Resources Management
System (HRMS).
Retrievability:
Records are accessed by name and/or 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 in accordance with 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 in accordance
with 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 in
accordance with 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 in accordance with 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 in accordance with 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: Regional Personnel Officer at the
appropriate Regional Office 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Part A: Individual to whom record pertains and employee's
supervisors.
Part B: Individual to whom record pertains and employee's
supervisors and any documents and sources used to develop critical
elements and performance standards for that Senior Executive Service
position.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1) 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-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--Records exist within the NRC Regional Office
locations, listed in Addendum I, Part 2, during an active
investigation.
Categories of individuals covered by the system:
Individuals and entities referred to in potential or actual
investigations and matters of concern to the Office of Investigations
and correspondence 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:
420 U.S.C. 2035(c), 2201(c) (1992), and 5841(f).
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. 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 an investigation
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.
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 an investigation
or matter may be disclosed as a routine use to a foreign country
under an international treaty or agreement.
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 of General
Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in this system is stored on index cards,
paper and photographs in files, video tapes, and computer 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 in accordance with NRCS 2-17.2.a. Hold in office for 2
years after closing, then retire to the Office of the Chief
Information Officer. Transfer closed case files in 20-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 20 years after cases are closed in accordance with
NRCS 2-17.2.b.
3. Regional office or investigator working files--Retained in
regional files for 6 months. At the end of 6 months, they are
forwarded to headquarters and combined with the headquarters files in
accordance with NRCS 2-17.2.c.
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.
RECORDS ACCESS PROCEDURES:
Same as ``Notification procedure.'' Information classified under
Executive Order 12958 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 PROCEDURE:
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, employees, and
licensees; Federal, State, local, and foreign agencies; and other
persons.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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:
Property and Supply System (PASS)--NRC.
System location:
Administrative Services Center, Division of Administrative
Services, Office of Administration, NRC, One White Flint North, 11555
Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems may exist, in part, with
designated property custodians 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:
PASS contains records of NRC sensitive and nonsensitive
equipment, which includes but is not limited to, acquisition and
depreciated costs, date of acquisition, item description,
manufacturer, model number, serial number, stock number, tag number,
property custodians, user ID, office affiliation, office location,
and furniture and supply records.
Authority for maintenance of the system:
40 U.S.C. 483(b), (c) and 487(a); 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 maintain an inventory and accountability of Government
property;
b. To provide information for clearances of employees who
separate from the NRC;
c. To report excess agency property to GSA; and
d. For any of the routine uses specified in paragraph numbers 1,
3, 5, and 6 of the Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in automated system (Property and Supply System). Data
entry paper records in file folders.
Retrievability:
Accessed by NRC tag number, user id, organization, office
location and stock number.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Electronic 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 in accordance with GRS 8-3. 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, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information in this system is provided by property custodians,
contract specialists, and purchase card holders and/or other
individuals buying equipment or supplies on behalf of the NRC.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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).
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 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 in accordance with NRCS 1-
2.2.a. 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 employees who apply for subsidized mass transit costs.
Categories of records in the system:
The records consist of an individual's application to participate
in the program which includes, but is not limited to, the applicant's
name, home address, office telephone number, social security number,
and information regarding employee's commuting schedule and mass
transit system(s) used.
Authority for maintenance of the system:
26 U.S.C. 132; 31 U.S.C. 3511; 41 CFR 101-201.104-3(a); Executive
Order (E.O.) 9397; E.O. 13150, Federal Workforce Transportation;
Qualified Transportation Fringe Benefits, 66 FR 2241; 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:
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 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 of General Routine Uses.
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 and scanned NRC badge. Access by social security
number when an individual's photo identification badge is scanned to
record receipt of their transit subsidy.
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 in accordance with GRS 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
NRC employees.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-27
System name:
Radiation Exposure Information and Reports System (REIRS) Files--
NRC.
System location:
Primary system--Science Applications International Corporation
(SAIC), 301 Laboratory Road, Oak Ridge, Tennessee 37830.
Duplicate system--Duplicate systems exist, in part, regarding
employee exposure records, with the NRC's Radiation Safety Officers
at Regional office locations listed in Addendum 1, Part 2, in the
Office of Nuclear Reactor Regulations, and in the Office of Nuclear
Material Safety and Safeguards, at Headquarters, White Flint North
Complex, Rockville, Maryland. Duplicates of records submitted by
licensees exist, in part, in the Office of Nuclear Regulatory
Research, Two White Flint North, Rockville, Maryland. The Office of
Administration, One White Flint North, Rockville, Maryland, maintains
the employee dosimeter tracking system.
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:
5 U.S.C. 7902; 29 U.S.C. 668; 42 U.S.C. 2073, 2093, 2095, 2111,
2133, 2134, and 2201(o); 10 CFR 20.2106, 20.2201-20.2204, and
20.2206; Executive Order 9397; Executive Order 12196.
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 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 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 and on computer media. The
computerized records maintained in Oak Ridge, TN, are 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,
date of birth, and/or by licensee name or number.
Safeguards:
Information maintained at SAIC is accessible to the Office of
Nuclear Regulatory Research and individuals that have been authorized
access by NRC, including all Radiation Safety Officers and SAIC
employees that are directly involved in the REIRS project. Reports
received and reviewed by the NRC's Office of Nuclear Regulatory
Research, Office of Nuclear Reactor Regulations, Office of Nuclear
Material Safety and Safeguards, and Regional offices are in lockable
file cabinets and bookcases in secured buildings. 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:
Licensee submitted exposure data:
a. Original paper documents from which all data are entered into
REIRS are destroyed 2 years after input into REIRS in accordance with
NRCS 2-21.8.a;
b. Original paper documents from which only selected data are
entered into REIRS are retained permanently in accordance with NRCS
2-21.8.b;
c. Log books are currently unscheduled and must be retained until
the National Archives and Records Administration (NARA) approves a
records disposition schedule for this material;
d. Paper documents generated for QC purposes are destroyed 2
years after input into REIRS;
e. Floppy disks and compact disks are destroyed 2 years after
input into REIRS; and
f. Electronic licensee submitted data maintained in the REIRS
database is permanent.
NRC employee exposure data:
a. Paper records created before 04/01/2000 are destroyed 75 years
from the date of the creation of the record in accordance with NARA
approved schedule N1-431-00-13, Item 16.a.
b. Paper records created after 04/01/2000 are scanned into ADAMS.
Paper records are destroyed 2 months after the creation of an ADAMS
electronic record in accordance with NARA approved schedule N1-431-
00-13, Item 16.b.
c. Electronic files used to create ADAMS records (i.e.
WordPerfect, Lotus, InForms, e-mail, etc.), including electronic
records received from outside the agency are destroyed after the
creation of ADAMS electronic record or when no longer needed for
reference or updating, whichever is later in accordance with NARA
approved schedule N1-431-00-13, Item 16.c.
d. Remit Program (used to transmit electronic data, originating
from contractor reports, to REIRS). Data deleted after information
has been transferred to REIRS and verified in accordance with GRS 20-
1.b.
e. Employee exposure data maintained in REIRS is currently
unscheduled and must be retained until the NARA approves a records
disposition schedule for this material.
f. Dosimeter Tracking System (paper and electronic). System data
is currently unscheduled and must be retained until the NARA approves
a records disposition schedule for this material.
System manager(s) and address:
REIRS Project Manager, Radiation Protection, Environmental Risk,
and Waste Management Branch, Division of Systems Analysis and
Regulatory Effectiveness, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information in this system of records comes from licensees; the
subject individual; the individual's employer; the person in charge
of the facility where the individual has been assigned; NRC Form 5,
``Occupational Exposure Record for a Monitoring Period,'' or
equivalent, contractor reports, and Radiation Safety Officers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 system--Duplicate systems exist, in part, within the
organization with the position vacancy, 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.
Categories of records in the system:
This system contains application information of persons applying
to NRC for Federal employment or merit promotion within the NRC,
including application for Federal employment (OF-612, resume or
similar documents); vacancy announcements; job descriptions;
examination results; supervisory evaluation or performance appraisal
forms; reference forms; and related correspondence. These records
include applicant information relating to education, training,
employment history, earnings, past performance, awards and
commendations, citizenship, veteran's preference, birth date, social
security number, and home address and telephone numbers.
Authority for maintenance of the system:
5 U.S.C. 3301, 5101, 7201; 42 U.S.C. 2000e; 42 U.S.C. 2201(d);
Executive Order (E.O.) 9397; E.O. 11478, as amended by E.O. 11590;
E.O. 12106.
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 prepare reports for a variety of internal and external
sources including the Office of Personnel Management, Merit Systems
Protection Board; EEOC and EEO Investigators; Union representatives
and EEO Committee representatives, 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:
Records are maintained on paper in file folders (merit files) and
on computer media (NRCareers.)
Retrievability:
Records are retrieved by vacancy announcement number, applicant
name, or social security number.
Safeguards:
Maintained in lockable file cabinets and in a password protected
automated system, NRCareers. 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 in accordance with GRS 1-32, 1-33m, and 1-33n;
b. Registers of eligibles are destroyed 2 years after the date on
which the register or inventory is terminated in accordance with GRS
1-33g;
c. Canceled and ineligible applications for positions filled from
a register or inventory are cut off annually and destroyed one year
after cut off in accordance with GRS 1-33k;
d. Eligible applications are destroyed 90 days after termination
of the register unless brought forward to new register in accordance
with GRS 1-33l(1), or cut off annually and destroyed one year after
cut off if on an inactive register or inventory in accordance with
GRS 1-33l(2);
e. Electronic records contained in NRCareers 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
in accordance with GRS 1-3.
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 PROCEDURE:
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 PROCEDURE:
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 supervisors
within and outside NRC, preemployment evaluation data furnished by
references and educational institutions whose names were supplied by
applicant, and information from other Federal agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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 (Revoked.)
NRC-31 (Revoked.)
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.
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, Call Detail Records--NRC;
NRC-10, Freedom of Information Act (FOIA) and Privacy Act (PA)
Requests Records--NRC;
NRC-18, Office of the Inspector General (OIG) 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, Property and Supply System (PASS)--NRC; and
NRC-41, Tort Claims and Personal Property Claims Records--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), Data Universal Numbering System (DUNS) number, 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); 5 U.S.C. 5514; 15 U.S.C. 1681a(f); 26
U.S.C. 6103(m)(2); 31 U.S.C. 37, subchapters I and II; 31 U.S.C.
3701(a)(3); 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; 42 U.S.C. 2201; 42 U.S.C. 5841; Cash
Management Improvement Act Amendments of 1992 (Pub. L. 102-589); Debt
Collection Improvement Act of 1996 (Pub. L. 104-134); 31 CFR Chapter
IX, Parts 900-904; 10 CFR Parts 15, 16, 170, 171; Executive Order
9397; 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 (DCIA) 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.
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, salary offset, administrative wage
garnishment, 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.
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. 1681a(f) (1970)) 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, DUNS number, 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
in accordance with 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 in accordance with GRS
6-10.b. Computer files are deleted after the expiration of the
retention period authorized in accordance with GRS for the disposable
hard copy file or when no longer needed, whichever is later.
System manAGER:
Director, Division of Financial Management, 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.
RECORDS ACCESS PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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 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 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).
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 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 of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on microfiche, disks, tapes, paper in file folders,
and computer media. 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 records relating to subject files are retained permanently
in accordance with NRCS 1-2.2.a. Paper records relating to case files
are retained permanently in accordance with NRCS 2-20.9.a.
Alphabetical indexes are retained permanently in accordance with NRCS
1-2.2.a. Microfiche records are retained permanently in accordance
with NRCS 2-20.9.a.
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 PROCEDURE:
Same as ``Notification procedure.'' Information classified under
Executive Order 12958 will not be disclosed. Information received in
confidence will not be disclosed to the extent that disclosure would
reveal a confidential source.
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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 (Revoked.)
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 system--Duplicate systems exist in part at the NRC
Regional office locations listed in Addendum I, Part 2 (for a
temporary period of time); and at contractor testing laboratories,
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
follow-up testing, if appropriate; additional information supplied by
NRC employees, employment applicants, consultants, licensees, or
contractors in challenge to positive test results; and written
statements or medical evaluations of attending physicians and/or
information regarding prescription or nonprescription drugs.
Authority for maintenance of the system:
5 U.S.C 7301 (note); 42 U.S.C. 290dd-2; Executive Order 12564;
Pub. L. 100-71, Title V Sec. 503; Pub. L. 100-440, Title VI Sec. 628;
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 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 on paper in file folders 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. The Employee Drug
Testing Tracking System (EDTTS) is password protected and located on
a jazz cartridge and stored in an approved security container. Drug
testing records are also contained in the Integrated Personnel
Security System (IPSS). This system is password protected with
additional roles and responsibilities protection. Social security
numbers are encrypted. Both systems have approved system security
plans. 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 may be destroyed when
employee separates from testing designated position in accordance
with GRS 1-36.b. Selection and scheduling records, chain of custody
records, and test results are destroyed when three years old in
accordance with GRS 1-36.c, 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 in accordance with GRS 1-36.d. Electronic records
of the Employee Drug Testing System are deleted when no longer needed
in accordance with GRS 20-3.b. 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
NRC employees, employment applicants, consultants, licensees, 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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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, Human
Resources Services and Operations, NRC, Two White Flint North, 11545
Rockville Pike, Rockville, Maryland.
Part 2: Office of the Chief Information Officer, Infrastructure
and Computer Operations Division, NRC, Two White Flint North, 11545
Rockville Pike, Rockville, Maryland.
Part 3: Office of Administration, Division of Administrative
Services, NRC, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
Duplicate system--Duplicate systems exist, in part, for Incident
Response Operations, within the Office of Nuclear Security and
Incident Response, NRC, Two White Flint North, 11545 Rockville Pike,
Rockville, Maryland, and at the NRC's Regional Offices, at the
locations listed in Addendum I, Part 2.
Duplicate system--Duplicate systems may exist, in part, within
the organization where an individual actually works, 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 include, but are not limited to, an individual's
name, address (home and business), telephone number (home, business,
cell, 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; 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. 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 updates of payroll/personnel
system files on employee home address and zip code;
d. Conducting statistical studies; and
e. The routine use specified in paragraph number 6 of the
Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on paper listings and on computer media.
Retrievability:
Accessed by name and/or social security number.
Safeguards:
Electronic records are password protected. Paper 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:
Paper records are destroyed after 6 months by shredding in
accordance with GRS 1-17.c. The electronic record may be deleted
after the expiration of the retention period authorized for the paper
copy file, or when no longer needed, whichever is later, in
accordance with GRS 20-3.b.2.
System manager(s) and address:
Part 1: Chief, Human Resources Services and Operations, Office of
Human Resources; Part 2: Chief Information Officer; Part 3: Director,
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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Individual on whom the record is maintained, Employee Express,
NRC Form 15, ``Employee Locator Notification,'' general personnel
records, and other related records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-37
System name:
Information Security Files and Associated Records--NRC.
System location:
Division of Nuclear Security, Office of Nuclear Security and
Incident Response, NRC, One White Flint North, 11555 Rockville Pike,
Rockville, Maryland.
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 and 2201(i); Executive Order 12958, as amended.
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 prepare statistical reports for the Information Security
Oversight Office.
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:
Maintained on paper in file folders and on computer media.
Retrievability:
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 in
accordance with GRS 18-1;
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 in
accordance with GRS 18-5.a and 18-5.b; and
c. Automated records are updated monthly and quarterly, and are
maintained until no longer needed.
System manager(s) and address:
Director, Division of Nuclear Security, Office of Nuclear
Security and Incident Response, 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.'' 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 PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1) 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 NRC regulations.
NRC-38
System name:
Mailing Lists--NRC.
System location:
Primary system--Reproduction and Distribution Services Section,
Publishing and Distribution Services Branch, Information and Records
Services Division, Office of the Chief Information Officer, NRC,
11555 Rockville Pike, Rockville, Maryland.
Duplicate system--Duplicate systems exist in whole or in part, at
the locations listed in Addendum I, Parts 1 and 2.
Categories of individuals covered by the system:
Individuals, including NRC staff, 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.
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 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 of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on computer media and paper.
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 in accordance with GRS 13.4.a, whichever is sooner;
lists are retained until canceled or revised, then destroyed through
the regular trash disposal system in accordance with GRS 13.4.b.
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
and Distribution Services Branch, Information and Records Services
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.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
NRC staff, NRC licensees, and individuals expressing an interest
in NRC activities and publications.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-39
System name:
Authority for maintenance of the system:
Federal Tort Claims Act, 28 U.S.C. 2671 et seq. (2000); 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. 1681a(f) (1970)) 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 in accordance with 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, in accordance with GRS 10-
6.c.
c. Log books are destroyed or deleted when no longer needed in
accordance with GRS 23-8.
d. Copies of memoranda contained on electronic media are deleted
when no longer needed in accordance with 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 in accordance with NRCS 2-13.4.
System manAGER:
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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
NRC-42
System name:
Strategic Workforce Planning Records--NRC.
System location:
Primary system--Technical Training Center, NRC, 5746 Marlin Road,
Suite 200, Chattanooga, Tennessee.
Duplicate system--Duplicate systems may exist, in part, at the
locations listed in Addendum I, Parts 1 and 2.
Categories of individuals COVERED:
Current, prospective, and former NRC employees, experts,
consultants, contractors.
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; service computation date; series and grade; education; work and
skills experience; special qualifications; licenses and certificates
held; and availability for geographic relocation.
Authority for maintenance of the system:
5 U.S.C. 3396; 5 U.S.C. 4103; 42 U.S.C. 2201; Executive Order
(E.O.) 9397; E.O. 11348, as amended by E.O. 12107; Public Law 104-
106, National Defense Authorization Act for Fiscal Year 1996, Sec.
5125, Agency Chief Information Officer.
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.
Information in the system may be used by the NRC to assess the
skills of the staff 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 (Strategic
Workforce Planning System) and in paper copy.
Retrievability:
Information may be retrieved by, but not limited to, the
individual's name; office; skill level; various skills; education; or
work experience.
Safeguards:
Records are maintained in areas where access is controlled by
keycard and is limited to NRC and contractor personnel. Access to
computerized records requires use of password and user identification
codes. Level of access is determined by roles and responsibilities.
Retention and disposal:
System input records are destroyed after the information is
converted to electronic medium and verified in accordance with GRS
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 AND ADDRESS:
Chief, Workforce Planning and Information Management, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
Record source categories:
Information is obtained from a number of sources, including but
not limited to, the individual to whom it pertains, system of records
NRC-11, supervisors and other NRC officials, contractors, and other
agencies or entities.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
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 system--Duplicate systems exist, in part, at health
care facilities operating under a contract or agreement with NRC for
health-related services in the vicinity of each of NRC's Regional
offices listed in Addendum I, Part 2. NRC's Regional offices may also
maintain copies of occupational health records for their employees.
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 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 may include,
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, test results submitted to the Health Center staff by
the employee; and occupational health records. Forms used to obtain
or provide information include, but are not limited to, 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.
Authority for maintenance of the system:
5 U.S.C. 7901; 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 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 in accordance with 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 in accordance with
GRS 1-20a and two years after the last entry if the information is
not summarized in accordance with GRS 1-20b. Occupational health
records/long-term medical records are retained in accordance with GRS
1-21a. Employees are given copies of their records if requested upon
separation from the agency.
System manAGER(S) AND ADDRESSES:
Manager, Employee Assistance and Wellness Services, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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 system--Regional offices, listed in Addendum I, Part 2,
only maintain lists of their employees who receive subsidy from NRC
for off-site fitness center memberships.
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, but are not limited to, 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 Suggestion Form.
Authority for maintenance of the system:
5 U.S.C. 7901; 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 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. 1681a(f) (1970)) 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 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:
Manager, Employee Assistance and Wellness Services, 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 PROCEDURE:
Same as ``Notification procedure.''
Contesting recORD PROCEDURE:
Same as ``Notification procedure.''
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, and the individuals' personal physicians.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Addendum I--List of U.S. Nuclear Regulatory Commission Locations
Part 1--NRC Headquarters Offices
1. One White Flint North, 11555 Rockville Pike, Rockville,
Maryland 20852-2738.
2. Two White Flint North, 11545 Rockville Pike, Rockville,
Maryland 20852-2738.
3. Warehouse, 5000 Boiling Brook Parkway, Rockville, Maryland
20852-2738.
Part 2--NRC Regional Offices
1. NRC Region I, 475 Allendale Road, King of Prussia,
Pennsylvania 19406-1415.
2. NRC Region II, Sam Nunn Atlanta Federal Center, 23 T85, 61
Forsyth Street, SW., Atlanta, Georgia 30303-3415.
3. NRC Region III, 2443 Warrenville Road, Suite 210, Lisle,
Illinois 60532-4352.
4. NRC Region IV, 611 Ryan Plaza Drive, Suite 400, Arlington,
Texas 76011-8064.
5. High-Level Waste Management Office, 1551 Hillshire Drive, Las
Vegas, Nevada 89134.
6. 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 must be made to the Freedom of Information
Act and Privacy Act Officer, U.S. Nuclear Regulatory Commission, and
sent by an appropriate method listed in Sec. 9.6, 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.'' The NRC does not consider a request received until
the date it is actually received by the Freedom of Information Act and
Privacy Act Officer.
(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 copy 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.
(c) Specific exemptions under 5 U.S.C. 552a(k). Individual requests
for access to records which have been exempted from access under the
provisions of 5 U.S.C. 552a(k) shall be processed as follows:
(1) Information classified under criteria established by an Executive
Order to be kept secret in the interest of national defense or foreign
policy, and exempted under 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 criteria established by an Executive Order to be
kept secret in the interest of national defense or foreign policy.
[40 FR 44484, Sept. 26, 1975, as amended at 44 FR 50804, Aug. 30, 1979;
50 FR 50284, Dec. 10, 1985; 70 FR 34303; Jun. 14, 2005]
Sec. 9.62 Records under control of another Government agency.
Requests received by NRC pertaining to records under the control of
another Government agency will be returned to the requester with the
name of the controlling Government agency, if known, within ten working
days after receipt by the NRC.
[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 44997, Oct. 14, 1976;
70 FR 34303, Jun. 14, 2005]
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
calendar days of the receipt of the initial determination. For agency
records denied by the Assistant Inspector General for Investigations,
the appeal must be in writing directed to the Inspector General and sent
to the Freedom of Information Act and Privacy Act Officer by an
appropriate method listed in Sec. 9.6. For agency records denied by the
Freedom of Information Act and Privacy Act Officer, the appeal must be
in writing directed to the Executive Director for Operations and sent to
the Freedom of Information Act and Privacy Act Officer by an appropriate
method listed in Sec. 9.6. 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 received until the date it is actually
received by the Freedom of Information Act and Privacy Act Officer.
(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 appeal that action and request a final review
and determination of that individual's request by the Inspector General
or the Executive Director for Operations, as appropriate. An appeal of
an initial determination must be filed within 60 calendar days of the
receipt of the initial determination. For agency records denied by the
Assistant Inspector General for Investigations, the appeal must be in
writing directed to the Inspector General and sent to the Freedom of
Information Act and Privacy Act Officer by an appropriate method listed
in Sec. 9.6. For agency records denied by the Freedom of Information
Act and Privacy Act Officer the appeal must be in writing directed to
the Executive Director for Operations and sent to the Freedom of
Information Act and Privacy Act Officer by an appropriate method listed
in Sec. 9.6. The appeal should clearly state on the envelope and in the
letter ``Privacy Act Correction Appeal.'' The NRC does not consider an
appeal received until the date it is actually received by the Freedom of
Information Act and Privacy Act Officer. Requests for final review must
set forth the specific item of information sought to be corrected or
amended and should include, where appropriate, records 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 calendar days of the date of receipt of the final
adverse determination of the Inspector General or the Executive Director
for Operations. ``Statements of Disagreement'' directed to the Executive
Director for Operations must be sent to the Freedom of Information Act
and Privacy Act Officer by an appropriate method listed in Sec. 9.6,
and should be clearly marked on the statement and on the envelope,
``Privacy Act Statement of Disagreement.'' ``Statements of
Disagreement'' directed to the Inspector General must be sent to the
Freedom of Information Act and Privacy Officer by an appropriate method
listed in Sec. 9.6, 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.
Fees shall not be charged for search or review of records requested
under this subpart or for making copies or extracts of records to make
them available for review, although fees may be charged for additional
copies. Fees established under 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 disclosed under the Freedom of Information Act
from Privacy Act Systems of Records.
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.
Exemptions applicable to Privacy Act Systems of Records are stated in
each Privacy Act System of Records Notice which is published in the
Federal Register and is available at the NRC Web site, http://
www.nrc.gov.
[52 FR 760, Jan. 9, 1987, as amended 70 FR 34303, Jun. 14, 2005]
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.