ML22300A238

Sorn - NRC 18 - Office of the Inspector General (OIG) Investigative Records—Nrc and Defense Nuclear Facilities Safety Board (Dnfsb)

ML22300A238
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Issue date:	10/24/2022
From:	NRC/OCIO
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Download: ML22300A238 (8)

Text

SYSTEM NAME AND NUMBER:

Office of the Inspector General (OIG) Investigative RecordsNRC and Defense Nuclear

Facilities Safety Board (DNFSB) - NRC 18.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Office of the Inspector General, NRC, One White Flint North, 11 555 Rockville Pike,

Rockville, Maryland

SYSTEM MANAGER(S):

Assistant Inspector General for Investigations, U.S. Nuclear Re gulatory Commission,

Washington, DC 20555-0001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as amended, 5 U.S.C. app. 3; and the

Consolidated Appropriations Act, 2014.

PURPOSE(S) OF THE SYSTEM:

NRC OIG uses records and information collected and maintained i n this system to

receive and adjudicate allegations/complaints of violations of criminal, civil, and administrative

laws and regulations relating to NRC programs, operations, and employees, as well as

contractors and other individuals and entities associated with NRC; monitor complaint and

investigation assignments, status, disposition, and results; ma nage investigations and

information provided during the course of such investigations; track and assess actions taken

by NRC management regarding employee misconduct and other alleg ations; support and

assess legal actions taken following referrals for criminal pro secution or litigation; provide

information relating to any adverse action or other proceeding that may occur as a result of the

findings of an investigation.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals and entities referred to in complaints or actual in vestigative cases, reports,

accompanying documents, and correspondence prepared by, compile d by, or referred to the

OIG.

CATEGORIES OF RECORDS IN THE SYSTEM:

The system comprises five parts: (1) An automated Investigative Database Program

containing reports of investigations, inquiries, and other repo rts closed since 1989; (2) paper

files of all OIG and predecessor Office of Inspector and Audito r (OIA) reports, correspondence,

cases, matters, memoranda, materials, legal papers, evidence, e xhibits, data, and work papers

pertaining to all closed and pending investigations, inquiries, and other reports; (3) an

automated Investigative Managemen t System that includes allegations referred to the OIG from

1985 forward, whether or not the allegation progressed to an in vestigation, inquiry or other

report, and dates that an investigation, inquiry or other repor t was opened and closed and

reports, correspondence, cases, matters, memoranda, materials, legal papers, evidence,

exhibits, data and work papers pertaining to these cases.

RECORD SOURCE CATEGORIES:

The information is obtained from sources including, but not lim ited to, the individual

record subject; NRC officials and employees; employees of Feder al, State, local, and foreign

agencies; and other persons.

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, OIG may

disclose information contained in this system of records withou t 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 violat ions of administrative, civil, or

criminal law or regulation if that information is relevant to a ny enforcement, regulatory,

investigative, or prosecutorial 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 obta in information from

those sources relevant to an OIG investigation, audit, inspecti on, or other inquiry;

c. To a court, adjudicative body before which NRC or DNFSB is a uthorized to

appear, Federal agency, individual or entity designated by NRC or DNFSB 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 t he parties listed below is involved in

the litigation or has an interest in the litigation:

1. NRC or DNFSB, or any component of NRC or DNFSB;

2. Any employee of NRC or DNFSB where the NRC or DNFSB or the Department

of Justice has agreed to represent the employee; or

3. The United States, where NRC or DNFSB determines that the li tigation is likely to

affect the NRC or DNFSB or any of their components;

d. To a private firm or other entity with which OIG or NRC or D NFSB contemplates

it will contract or has contracted for the purpose of performin g any functions or analyses that

facilitate or are relevant to an investigation, audit, inspecti on, inquiry, or other activity related to

this system of records, to include to contractors or entities w ho have a need for such information

or records to resolve or support payment to the agency. The co ntractor, private firm, or entity

needing access to the records to perform the activity shall mai ntain 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;

e. To another agency to the extent necessary for obtaining its advice on any matter

relevant to an OIG investigation, audit, inspection, or other i nquiry related to the responsibilities

of the OIG;

f. To the National Archives and Records Administration or to th e General Services

Administration for records management inspections conducted und er 44 U.S.C. 2904 and 2906;

g. A record from this system of records which indicates a viola tion 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;

h. A record from this system of records may be disclosed as a r outine 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;

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

Federal, State, local, or foreign agency requesting a record th at is relevant and necessary to its

decision on a matter of hiring or retaining an employee, issuin g a security clearance, reporting

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

j. A record from this system of records may be disclosed as a r outine use in the

course of discovery; in presenting evidence to a court, magistr ate, administrative tribunal, or

grand jury or pursuant to a qualifying order from any of those; in alternative dispute resolution

proceedings, such as arbitration or mediation; or in the course of settlement negotiations;

k. A record from this system of records may be disclosed as a r outine 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;

l. A record from this system of records may be disclosed as a r outine use to NRC-

paid experts or consultants, and those under contract with the NRC on a "need-to-know" basis

for a purpose within the scope of the pertinent NRC task. This access 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;

m. A record from this system of records may be disclosed as a r outine use to

appropriate agencies, entities, and persons when (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 indivi duals, NRC (including its

information systems, programs, and operations), the Federal Gov ernment, or national security;

and (3) the disclosure made to such agencies, entities, and per sons is reasonably necessary to

assist in connection with NRC efforts to respond to the suspect ed or confirmed breach or to

prevent, minimize, or remedy such harm; and

n. A record from this system of records may be disclosed as a r outine use to

another Federal agency or Federal entity, when the NRC determin es that information from this

system of records is reasonably necessary to assist the recipie nt 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 (in cluding its information systems,

programs, and operations), the Federal Government, or national security, resulting from a

suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:

Information is maintained in paper files and on electronic medi a.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Information is retrieved from the Investigative Database Progra m 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 i s retrieved by subject matter

and/or case number, not by individual identifier. Information in both the Allegations Tracking

System and the Investigative Management System is retrieved by allegation number, case

number, or name.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records are retained according to the National Archives and Rec ords Administrations

approved schedule for the Office of the Inspector General, N1-4 31-10-002, item 2.b,

Investigation Case Files. Cut off at close of fiscal year in w hich the case is closed. Transfer to

the Federal Records Center (FRC) 3 years after cutoff. Transfe r to National Archives and

Records Administration 20 years after cutoff. Retain an electr onic copy until no longer needed

(Allegation records will be managed in the corresponding Invest igation Case File).

Referred Allegations are retained under the National Archives a nd Records

Administrations approved schedule, N1-431-10-002, item 2.a.ii. Cut off allegation file at the end

of the fiscal year when the issue described in the Referral Let ter is resolved. Hold allegation

file in the OIG for a minimum of 2 years after cutoff. Destroy 10 y ears after cutoff.

Closed Allegations are retained under the National Archives and Records

Administrations approved schedule, N1-431-10-002, item 2.a.iii. Cut off allegation files at the

end if the fiscal year in which the allegation is closed. Dest roy the allegation file 5 years after

cutoff.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Access to the automated Investigative Database Program is passw ord protected. Both

the Allegations Tracking System and the Investigative Managemen t System are accessible from

terminals that are double-password-protected. Paper files back ing up the automated systems

and older case reports and work papers are maintained in approv ed security containers and

locked filing cabinets in a locked room; associated indices, re cords, diskettes, tapes, etc., are

stored in locked metal filing cabinets, safes, storage rooms, o r similar secure facilities. All records in this system are available only to authorized personn el who have a need to know and

whose duties require access to the information.

RECORD ACCESS PROCEDURES:

Same as Notification procedures. Information classified unde r 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 Commissions Policy State ment on

Confidentiality, Management Directive 8.8, Management of Allegations.

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 Commissi on, 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:

Under 5 U.S.C. 552a(j)(2), the Commission has exempted this sys tem 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 l aw 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).

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 consu mer 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) ).