ML20151D467
| ML20151D467 | |
| Person / Time | |
|---|---|
| Issue date: | 05/01/1979 |
| From: | Felton J NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Haase W OFFICE OF MANAGEMENT & BUDGET |
| References | |
| NUDOCS 8804140241 | |
| Download: ML20151D467 (7) | |
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MAY 1 1979 Mr. Walter W. Haase Deputy Associate Director for Information Systems Policy Office of Management and Budget Executive Office of the President Washington, DC 20503
Dear Mr. Haase:
I am enclosing five copies of the "1978 Annual Report o Regulatory Comission on the Administration of the Privacy Act of 1974."
Privacy Act, which is referred to in the report.I also am enclol Sincerely,
$gned) 7. M. Feited J. M. Felton, Director Division of Rules and Records l
Office of Administration i'
Enclosures:
As stated Distribution:
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1978ANNLIl5REPORTOFTHENUCLEARREGULATO?} COMMISSION ON THE ADMINISTRATION OF THE PRIVACY ACT OF 1974 a.
Sumary of Accomplishments and Future Plans (1) Protecting individual privacy During 1978 the NRC audited each of its systems of records to assure l
that records maintained in each system were properly described in the system i
notice and to assure that the records were relevant and necessary for an agency purpose.
In addition, the NRC reviewed the procedures followed by each system manager to assure that a proper accounting of disclosures was maintained, and suggestions were made for improvements in these procedures.
Following the audit, the NRC prepared minor or clarifying amendments to most of its systems of records which were published in the Federal Register in April 6, 1979 (44 FR 20828).
During 1979, the NRC plans to continue its Privacy Act training program by meeting with each NRC office to discuss the requirements of the Act and the rights of individuals to obtain records under the Act.
(2) Reducina the scope of personal recordkeeping The NRC currently maintains 36 personal data systems subject to the Privacy Act of 1974. These systems contain records covering about 350,000 individuals.
.,er 85 percent of these are persons who have been subject to radiation exposure in the course of their duties in the nuclear industry. Another 5 percent are individuals who are on NRC mailing lists. The remaining individuals on whom the NRC maintains records are primarily NRC employees or applicants for employment, NRC licensees, and individuals who have corresponded with the NRC on various matters.
i NRC systems of records are periodically screened to remove obsolete information, in accordance with approved record disposal schedules.
Although the NRC created no new systems of records in 1978, the normal growth in the licensed nuclear industry and NRC employment created an increase in the number of individuals about whom information is maintained.
1 b.
Scope and Nature of Federal personal Recordkeeping (1) Inventory of Federal personal data systems l
In accordance with Transmittal Memorandum No. 4 to OMS Circular No. -A-108, the NRC Inventory of Federal Personal Data Systems was transmitted i
from J. M. Felton to Walter W. Haase, Deputy Associate Director for Information Systems Policy OMB, on March 29, 1979.
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(2) Analyses of changes to systems of records During 1978 the NRC proposed the adoption of one new system of records, Property and Supply System (PASS), which was published in the Federal Register on November 11,1978 (43 FR 52305).
The purpose of the new system is to enable the NRC to maintain an accounting and control of costly items of gove.ranent property such as typewriters, calculators, and other equipment 'whici, is assigned to NRC employees and consultants.
The system will crNaih no personal information other than the name of the individual; Also during 1978, two systems of records which had been manual wre partially automated.
In each case, the decision to automate was made to in1rease efficiencies and to improve management reporting.
A_opnc,y Admi is.trat'trg the Act c.
7 (1) Accountina for disclosu?es (subsection (c))
Vir'ually all disclosures outside the NRC concerned information reovir01 to he released pursuant to the Freedom of Information Act, are roui;ine myrsll and accounting information usade available to Federal, f tate. and inc31 tc ting authoritfos, are disclosures of investigative and secur*.ty information to other agencies under the NRC's published mutint utn, or are disclosyres made at the request of the individual whose record is e intained. Only five per cas requested an accounting of disclosures f n 1978.
(i.) Maintgnf;nle of only that infoMation necessary for an authorized 3nition qupation (e)(1))
Each NKC Syttem of records notice published in the Federal Register conteint the spetHic authority for the maintenance of the information in the s'ydem.
As indicated previously in response to item e 'i), each systeu of records was reviewed in 1978 to assure that only necessary information was maintained in the system.
(3) Publicat.ior i qyipent. (subsections (e)(4), (e)(11), (f))
During 15.4, 77 percent of the r equests received by the NRC were from present be fr mer i,RC employees who had actual notice of the systems of recards mainteinvi.
Privacy Act requests received from the public did not numally spec.fy a spc:1fic system of records, but rather were general remes*s for all recor<is abouc the individual.
In addition, during 1978 the r'RC received 21 requests fro!T, individuals under the Freedom of Irifermatinn A t for information about chemselves.
In NRC experience, 't does net appear that members of the public.ake ie+erence to the published Frivacy Act systems of recoi@ prict % nbmihirg tM,f r requests.
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3 (4) Standard of accuracy, relevance, timeliness, and completeness (subsection (e)(5))
This standard has been called to the attention of all employees in meetings and by means of NRC Manual Chapter 0204, "Privacy Act," which was issued to all employees.
S (5) Validation of records before disclosure outside the agency 4
(subsection (e)(6))
i As indicated previously in response to item c.(1), there are few disclosures outside the agency that are subject to this subsection, i
and the NRC has sought to assure that those records which are disclosed are accurate, complete, timely, and relevant for an agency purpose.
(6) Restrictions on recordkeeping about First Amendment activities (subsection (e)(7))
Except as authorized by subsection (e)(7), the NRC maintains no records about how any individual exercises First Amendment rights.
(7) Rules of conduct for agency personnel (subsection (e)(9))
The NRC Privacy Act Manual Chapter specifies the rules of conduct required of system managers and other persons involved in the design, j
development, operation, or maintenance of any HRC system of records.
(8) Safeguards on information (subsection (e)(10))
The necessary safeguards required to insure the security and
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confidentiality of records are discussed in the Privacy Act Manual Chapter and specified in each NRC Notice of Systems of Records.
(9) Operation of the exemotion erovisions (subsection (j) and (k))
4 Portions of 13 NRC systems of records are exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H) and (1); and (f) of the Privacy Act, i
The only exemption exercised by the NRC in 1978 was that concerning
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access under subse. ion (d)(1).
This exemption was exercised pursuant to subsection (k)(5) on one occasion in order to withhuld the identity l
of a confidential source who furnished information to the NRC under a promise of cor.fidentiality.
The procequrds and policies developed by the NRC j
to permit act.ess by individuals to systems of records, inckding exempt i
systems, are set forth in the Privacy Act Manual Chapter.
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Changes in Patterns of Information Exchange (1) Has the requirement that information be collected to the extent practicable from the individual (subsection (e)(2)) significantly affected agency information collection practices?
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This requirement has had no noticeable effect upon NRC information collection practices.
(2) Has there b6_en a change in the willingness of individuals to provide information about themselves?- Has the privacy notification statement reovired by subsection (e)(3) made a perceptible difference?
There is an increasing awareness by individuals of the requirements of the Privacy Act and of their right to obtain Privacy Act Statements concerning the purpose of their furnishing information and its intended use by the agency. However, there has been no significant change in the willingness of individuals to provide information about themselves.
l (3) Has there been a change in the amount and/or cuality of information available from third party sources? Are pledges of confidentiality regularly requested?
There has been a noticeable decrease in the willingness of
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companies, particularly larger corporations, to furnish information in response to personnel reference checks concerning applicants for employment.
l Approximately 50 percent of those persons furnishing information to the i
NRC, in response to personnel reference checks, request a pledge of i
confidentiality. The NRC also has experienced a marked decrease in the amount of information obtained through the ~ FBI and the former Civil Service Commission in regard to NRC personnel security investigations, t
(4) Has it become necessary to develop alternative sources of information?
I If so, describe them.
Where information is not furnished by an applicant's previous employer, the NRC seeks to obtain from the applicant additional personal references, preferably individuals who have worked with the applicant in the past and who know the aoplicant's work habits and experience.
(5) How have the Act's limitations on the disclosure of information affected agency activities?
There has been no noticeable impact on agency activities.
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i (6) Were any new policies reoarding the routine use provisions 1
adopted durino the year?
Describe any major new routine Uses which were established, including the purpose for the f
routine use, the recipient of the information, and the reason for its estaolishment?
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No new routine uses for NRC systems of records, or policies regarding routine uses, were adopted in 1978.
i (7) How have the State and local orivacy and freedom of information
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laws affected the exchange of information?
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As indicated in response to item d.(3), there has been a decrease l
in the investigative agencies' ability to obtain information with respect to personnel security investigations performed for the NRC, We are not i
in a position to say, however, the extent to which this is the result of l
State and local privacy and freedom of information laws.
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Exercise of Individual Rights 1
(1)Processinoofrecuests i
i (a) Number of Privacy Act requests received 31 l
Requests for access to records 30 Requests for accounting of disclosures 5*
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Requests to amend records 0
Requests granted in full 30**
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Requests granted in part 1***
l (b) Appeals 0
i (c) Civil actions filed 0
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- Includes four requests for both access to records and an accounting of disclosures.
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- Includes two joint FOIA/ Privacy Act requests in which some documents, not contained within systems of records, were denied on the basis of j
FO!A only.
- Basis of the denial in part was 5 USC 552a(k)(5).
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6 (2) Information about requests (a) Of the Privacy Act requests received by the fiRC, 77 percent were made by, or on behalf of, current or former Federal employees; 23 percent were made by members of the general public.
(b)RequestscitingPrivacyActonly 8
Requests citing Privacy Act & FOIA 21 Requests citing neither Act 2
In accordance with OMB Circular A-108, when a request specifies and may be processed under both the FOIA and the Privacy Act, or specifies neither Act, the Privacy Act procedures set forth in the Comission's regulations (Subpart B of 10 CFR Part 9) and the Privacy Act Manual Chapter are followed.
(c) Twenty-three of the 31 requests re:eived in 1978 identified specific systems of records, either by section number or by type of records sought (i.e. personnel files, security files, performance appraisals, etc.).
(d) Of the 31 requests received, 29 requests included exempt systems of records within the scope of the request.
Of these, 28 were granted in full, and one request was denied in part.
f.
Public Scrutiny of Federal Personal Recordkeepina Practices On riovember 11, 1978, the NRC published in the Federal Register the proposed adoption of a new system of records known as "Property and Supply System (PASS)." No coments were received on the proposed new system, g.
Problem Areas and Recomendations for Chance The NRC has had no major problems in connection with implementation of the Privacy Act and has no recomendations for change.
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