ML22300A232

Sorn - NRC 3 - Enforcement Actions Against Individuals

ML22300A232
Person / Time
Issue date:	10/24/2022
From:	NRC/OCIO
To:
References
Download: ML22300A232 (6)

Text

SYSTEM NAME AND NUMBER:

Enforcement Actions Against IndividualsNRC 3.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Primary systemNRC Data Center, One White Flint North, 11555 Ro ckville Pike,

Rockville, Maryland.

Duplicate systemAdditional recor ds may exist, in whole or in part, within the Office of

Enforcement, NRC, One White Flint North, 11555 Rockville Pike, Rockville, Maryland, at the

NRC Regional Offices at the locations listed in Addendum I, Par t 2, and in the Office of the

General Counsel, NRC, One White Flint North, 11555 Rockville Pi ke, Rockville, Maryland.

SYSTEM MANAGER(S):

Director, Office of Enforcement, U.S. Nuclear Regulatory Commis sion, Washington, DC

20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

42 U.S.C. 2073(e), 2113, 2114, 2167, 2168, 2201(i), 2231, 2282; 10 CFR 30.10, 40.10,

50.5, 50.110, 50.111, 50.120, 60.11, 61.9b, 70.10, 72.12, 110.7 b, 110.50, and 110.53; 10 CFR

part 2, subpart B; Atomic Energy Act of 1954, as amended (42 U. S.C. 2011 et seq.); 10 CFR

19.16(a), 30.7, 40.7, 50.7, 60.9, 70.7, and 72.10; Energy Reorg anization Act of 1974, as

amended, section 211 (42 U.S.C. 5851); 5 U.S.C. 2302(a)(2)(A).

PURPOSE(S) OF THE SYSTEM:

The purpose of the system is to maintain information about indi viduals involved in NRC-

licensed activities who have been subject to NRC enforcement ac tions or who have been the

subject of correspondence indicating that they are being or hav e been considered for

enforcement action.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals involved in NRC-licensed activities who have been s ubject to NRC

enforcement actions or who have been the subject of corresponde nce 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 enforcem ent actions, including

Orders, Notices of Violations with and without Civil Penalties, Orders Imposing Civil Penalties,

Letters of Reprimand, Demands for Information, and letters to i ndividuals who are being or have

been considered for enforcement action. Also included are resp onses to these actions and

letters. In addition, the files may contain other relevant doc uments 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 ac tions are considered. In

instances where only letters are issued, these letters also rec eive IA numbers. The system

includes a computerized database from which information is retr ieved by names of the

individuals subject to the action and IA numbers.

RECORD SOURCE CATEGORIES:

Information in the records is primarily obtained from NRC inspe ctors and investigators

and other NRC employees, individuals to whom a record pertains, authorized representatives

for these individuals, and NRC licensees, vendors, other indivi duals regulated by the NRC, and

persons making allegations to the NRC.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CAT EGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the disclosures permitted under subsection (b) o f the Privacy Act, the NRC

may disclose information contained in this system of records wi thout 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 deter future violations, certain information in this sys tem of records may be routinely disseminated to the public by means such as publishin g in the Federal Register certain

enforcement actions issued to individuals and making the inform ation available in the Public

Document Room accessible through the NRC Website, www.nrc.gov;

b. When considered appropriate for disciplinary purposes, info rmation in this system of

records, such as enforcement actions and hearing proceedings, m ay be disclosed to a bar

association, or other professional organization performing simi lar functions, including

certification of individuals licensed by NRC or Agreement State s to perform specified licensing

activities;

c. Where appropriate to ensure the public health and safety, i nformation in this system

of records, such as enforcement actions and hearing proceedings, may be disclosed to a

Federal or State agency with licensing jurisdiction;

d. To respond to the National Archives and Records Administrat ion or to the General

Services Administration for records management inspections cond ucted under 44 U.S.C. 2904

and 2906;

e. A record from this system of records which indicates a viol ation of civil or criminal

law, regulation or order may be referred as a routine use to a Federal, State, local or foreign

agency that has authority to investigate, enforce, implement or prosecute such laws. Further, a

record from this system of records may be disclosed for civil o r criminal law or regulatory

enforcement purposes to another agency in response to a written request from that agencys

head or an official who has been delegated such authority;

f. A record from this system of records may be disclosed as a routine use to a Federal,

State, local, or foreign agency to obtain information relevant to an NRC decision concerning

hiring or retaining an employee, letting a contract, or issuing a security clearance, license, grant

or other benefit;

g. A record from this system of records may be disclosed as a routine use to a Federal,

State, local, or foreign agency requesting a record that is rel evant and necessary to its decision on a matter of hiring or retaining an employee, issuing a secur ity clearance, reporting an

investigation of an employee, letting a contract, or issuing a license, grant, or other benefit;

h. A record from this system of records may be disclosed as a routine use in the course

of discovery; in presenting evidence to a court, magistrate, ad ministrative tribunal, or grand jury

or pursuant to a qualifying order from any of those; in alterna tive dispute resolution proceedings,

such as arbitration or mediation; or in the course of settlemen t negotiations;

i. A record from this system of records may be disclosed as a routine use to a

Congressional office from the record of an individual in respon se to an inquiry from the

Congressional office made at the request of that individual;

j. A record from this system of records may be disclosed as a routine use to NRC-paid

experts or consultants, and thos e under contract with the NRC on a need-to-know basis for a

purpose within the scope of the pertinent NRC task. This acces s will be granted to an NRC

contractor or employee of such contractor by a system manager o nly after satisfactory

justification has been provided to the system manager;

k. A record from this system of records may be disclosed as a routine use to appropriate

agencies, entities, and persons w hen (1) NRC suspects or has confirmed that there has been a

breach of the system of records, (2) NRC has determined that as a result of the suspected or

confirmed breach there is a risk of harm to individuals, NRC (i ncluding its information systems,

programs, and operations), the Federal Government, or national security; and (3) the disclosure

made to such agencies, entities, and persons is reasonably nece ssary to assist in connection

with NRC efforts to respond to the suspected or confirmed breac h or to prevent, minimize, or

remedy such harm; and

l. A record from this system of records may be disclosed as a rout ine use to another

Federal agency or Federal entity, when the NRC determines that information from this system of

records is reasonably necessary to assist the recipient agency or entity in (1) responding to a

suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its info rmation systems, programs, and

operations), the Federal Government, or national security, resu lting from a suspected or

confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:

Information contained in electronic records are maintained on c omputer media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Records are accessed by individual action file number or by the name of the individual.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Cut off files when case is closed. Hold 5 years and retire to Washington National

Records Center (WNRC). Transfer to National Archives and Recor ds Administration (NARA)

with related indexes when 20 years old. (NUREG-0910, Rev.4, 2. 10.2.a(1)). Cut off electronic

files when case is closed. Transfer to NARA 2 years after cuto ff. Destroy NRC copy 18 years

after transferring record to NARA (NUREG-0910, Rev. 4, 2.10.2.a (4)).

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL 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 li mited to those NRC employees

whose official duties require access.

RECORD ACCESS PROCEDURES:

Same as Notification procedures.

CONTESTING RECORD PROCEDURES:

Same as Notification procedures.

NOTIFICATION PROCEDURES:

Individuals seeking to determine whether this system of records contains information

about them should write to the Freedom of Information Act or Pr ivacy Act Officer, Office of the

Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and comply with the procedures contained in NRCs Privacy Act r egulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.