ML23153A035
| ML23153A035 | |
| Person / Time | |
|---|---|
| Issue date: | 12/08/1987 |
| From: | Taylor J NRC/EDO |
| To: | |
| References | |
| PR-MISC. NOTICE, 52FR46546 | |
| Download: ML23153A035 (1) | |
Text
DOCUMENT DATE:
TITLE:
CASE
REFERENCE:
KEYWORD:
ADAMS Template: SECY-067 12/08/1987 PR-MISC. NOTICE - 52FR46546 - PRIVACY ACT OF 1974:
REPORT OF NEW SYSTEM OF RECORDS PR-MISC. NOTICE 52FR46546 RULEMAKING COMMENTS Document Sensitivity: Non-sensitive - SUNSI Review Complete
STATUS OF RULEMAXING PROPOSED RULE:
PR-MISC. NOTICE OPEN ITEM (Y/N) N RULE NAME:
PRIVACY ACT OF 1974: REPORT OF NEW SYSTEM OF RECOR DS PROPOSED RULE FED REG CITE:
52FR46546 PROPOSED RULB PUBLICATION DATE:
12/08/87 ORIGINAL DATB FOR COMMENTS: 01/07/88 NUMBER OF COMMENTS:
EXTENSION DATE:
I I
0 FINAL RULB FED. REG. CITE: 55FR40694 FINAL RULB PUBLICATION DATE: 08/15/91 NOTES ON EDO SIGNED IT ON 12/1/87.
FILE LOCATED ON Pl.
TATUS F RULE TO FIND THE STAFF CONTACT OR VIEW THE RULEMAKING HISTORY PRESS PAGE DOWN REY HISTORY OF THE RULE PART AFFEO'fED: PR-MISC. NOTICE RULE TITLE:
.OPOSED RULE SECY PAPER:
FINAL RULE SECY PAPER:
PRIVACY ACT OF 1974: REPORT OF NEW SYSTEM OF RECOR DS PROPOSED RULE SRM DATE:
FINAL RULE SRM DATE:
I I
I I
DATE PROPOSED RULE SIGNED BY SECRETARY:
12/01/87 DATE FINAL RULE SIGNED BY SECRETARY:
07/29/91 STAFF CONTACTS ON THE RULE CONTACTl: RAYMOND J. BRADY CONTACT2:
MAIL STOP: 5721MNBB PHONE: 492-4100 MAIL STOP:
PHONE:
OCKET NUMBER,* R*
OPOSED RULE (tJ,*5c::
(:f 1-iJ NUCLEAR REGULATORY
(_f ~ Ffi 'I h5<f0
[7590-01]
COMMISSION Privacy Act of 1974; Report of New System of Records
)---~ ----
DOCKETED AGENCY:
Nuclear Regulatory Co11111ission.
ACTI ON :
Establishment of new system of records.
SUMMARY
- The Nuclear Regulatory Co11111ission (NRC) is amending its to provide for issuing enforcement actions to unlicensed persons whose deliberate misconduct causes a licensee to be in violation of Co11111ission requirements.
The NRC also issues Orders, Civil Penalties, Letters of Reprimand, and Demands for Infonnation to individuals who are licensed reactor operators. Currently, NRC maintains enforcement records by licensees and not the name of unlicensed individuals who may be involved in enforcement actions.
The NRC is proposing to establish a new system of records, NRC-3, Enforcement Actions Against Individuals, that will contain records accessible by personal identifier of both licensed and unlicensed individuals and that are maintained and used by the Office of Enforcement in conducting the enforcement program for the protection of the public health and safety.
DATES:
The proposed new system of records will take effect without further notice (60 days after publication in the Federal Register), unless comments received on or before that date cause a contrary decision.
If, based on NRC's review of convnents received, changes are made, NRC will publish a new final notice.
ADDRESS:
Send co11111ents to the Secretary, U.S. Nuclear Regulatory Co11111ission, Washington, DC 20555, Attention: Docketing and Service Branch.
Comments may
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<t\\\\'7 fvlr *,;q4 40 be hand delivered to Lower Level, Gelman Building, 2120 L Street NW., Washington, DC, between 7:45 am and 4:15 pm.
FOR FURTHER INFORMATION CONTACT:
James Lieberman, Director, Office of Enforcement, U.S. Nuclear Regulatory Con111ission, Washington, DC, Telephone:
301-492-0741.
SUPPLEMENTARY INFORMATION:
The NRC's enforcement authority is drawn from the Atomic Energy Act of 1954 (AEA) and the Energy Reorganization Act of 1974 (ERA).
Section 161 of the AEA authorizes NRC to conduct inspections and investigations and to issue.orders as necessary to promote common defense or to protect public health. Section 186 authorizes NRC to revoke licenses under certain circumstances, such as violation of an NRC regulation. Section 234 authorizes NRC to issue civil penalties for violations of certain provisions of the Act, as do sections 84 and 147. Section 232 authorizes NRC to seek injunctive or other equitable relief.
Chapter 18 of the AEA provides varying levels of criminal penalties for willful violations of the Act or regulations or orders issued under certain sections of the Act.
Section 206 of the ERA authorizes NRC to impose civil penalties 'for knowing failures to provide certain safety information to the NRC.
Under Con111ission regulations, violation of Section 210 of the ERA may result in imposition of a civil penalty.
Records in this system include enforcement actions taken against individuals, including Orders, Notices of Violations with and without Civil Penalties, Orders Imposing Civil Penalties, Letters, Demands for Information, responses to these actions, and any other enforcement actions taken by the NRC against individuals and documents directly related to those actions that have been issued.
When considered appropriate for disciplinary purposes, infonnation 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 licensed activity. Infonnation on actions taken by the NRC may be publicly disseminated in order to deter future violations.
A report of this system of records, required by 5 U.S.C. 552{r), as implemented by 0MB Circular A-130, has been sent to the Chainnan, Committee on Government Operations, U.S. House of Representatives; the Chairman, Committee on Govern-mental Affairs, U.S. Senate; and the Office of Management and Budget.
- 1. The following new system of records, NRC-3, 11Enforcement Actions Against Individuals," is being proposed for adoption by the NRC.
NRC-3 SYSTEM NAME:
Enforcement Actions Against Individuals--NRC.
SYSTEM LOCATION:
Primary system: Office of Enforcement, 11555 Rockville Pike, Rockville, Maryland.
- Duplicate systems:
Duplicate systems may exist, in whole or in part, in the enforcement coordinator's offices at NRC Regional Offices at the locations listed in Addendum I, Part 2.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals involved in NRC licensed activities who have been subject to NRC Enforcement Actions.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system consists of individual enforcement actions, including Orders, Notices of Violations with and without Civil Penalties, Orders Imposing Civil Penalties, Letters of Reprimand, and Demands for Information. Also included are responses to these actions.
In addition, the files may contain other relevant documents directly related to those actions that have been issued. Files will be arranged numerically by Individual Action {IA) number, assigned as individual enforcement actions are issued. The system will include a computerized database with alphabetical and numerical indices, by names of the individuals subject to the action and IA numbers, respectively.
AUTHORITY FOR MAINTENANCE OF iHE SYSTEM:
42 U.S.C. 2114, 2167, 220l(c), 2236, and 2282 (1988).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
Information in these records may be used:
(a) To respond to general information requests from the Congress;
- (b) To deter future violations, information in this system of records may be routinely disseminated to the public by (1) publication in the Federal Register of each enforcement action issued to an individual; and (2) a listing of a11 individuals currently subject to an order that affects their participation in licensed activities and a copy of that order will be sent to all power reactor licensees twice a year and will be made available to other licensees and the general public on request; (c) When considered appropriate fo,r disciplinary purposes, to disclose informa-tion, such as a copy of an enforcement action and any hearing proceedings, to a bar association, or other professional organization performing similar functions, including certification of individuals licensed by NRC or Agreement States to perform specified licensed activity; (d) To disclose information, such as a copy of an enforcement action and any hearing proceedings, concerning an individual to a Federal or State government agency with licensing jurisdiction, where appropriate, to ensure the public health and safety; and
( e) For the routine uses specified in paragraph numbers 1, 2,* 3, and 4 of the Prefatory Statement.
POLICIES ANO PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, ANO DISPOSING Of RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained on paper in file folders, on computer printouts, and on computer disks.
RETRIEVABILITY:
Records are accessed by individual action file number or by the name of the individual.
SAFEGUARDS:
The files are maintained in file cabinets or a computer database.
Access to and use of these records are limited to those NRC employees whose e
official duties require that access. These files are under visual control during duty hours.
RETENTION AND DISPOSAL: The files are permanently retained for historical purposes and for later comparison with other cases to ensure consistency of application of enforcement policies.
f SYSTEM MANAGER(S) A~D ADDRESS:
Director, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
NOTIFICATION PROCEDURE:
Director, Division of Freedom of Information and Publications Services, Office of Administration, U.S. Nuclear Regulatory Cormnission, Washington, DC 20555.
RECORD ACCESS PROCEDURES:
Same as "Notification Procedure."
CONTESTING RECORD PROCEDURES:
Same as *Notification Procedure."
RECORD SOURCE CATEGORIES:
Information in the records is primarily obtained
- from NRC inspectors and investigators and other NRC employees, including individuals to whom a record pertains, authorized representatives for these indiviouals, and NRC licensees, vendors, other individuals regulated by the NRC, and persons making allegations to the agency.
SYSTEMS EXEMPTED FROM CERTAIN PROVIS IONS OF THIS ACT:
None.
- Dated at Rockville, MO, this,2_9 6/ day of _,..,~~=--- 1991.
FOR THE NUCLEAR REGULATORY COMMISSION.
Executive Director for Operations
- NARRATIVE STATEMENT The Nuclear Regulatory ColJlllission is proposing to establish a new Privacy Act System of Records notice:
NRC-3, Enforcement Actions Against Individuals.
- 1.
Purpose NRC-3 is being established to delineate records of enforcement actions directed against individuals. The records are maintained and used by the Office e*
of Enforcement and inspection and licensing personnel of the NRC in conducting an enforcement program for the protection of the public health and safety.
The primary purpose for the records is deterrence of future violations by persons who have been subject to prior enforcement actions and other persons engaged in licensed activities. The records will also assist in cQnducting inspections and making licensing decisions as to licensees who may be using individuals who have been subject to enforcement action.
e
- 2.
Authority The authorities for this system of records are 42 U.S.C. 2114, 2167, 2201(c), 2236, and 2282 (1988).
- 3.
Potential effects on privacy of individuals The enforcement actions contained in this system are published actions and contain data related to the conduct of licensed activities. Therefore, maintenance itself of this file would not create an unwarranted invasion of personal privacy.
- 4.
Relationship to other governmental entities Records may be used in support of enforcement actions that are litigated in administrative or civil hearings. Records will be shared within NRC and with Federal or State regulatory agencies and private certifying bodies to the extent necessary to accomplish specific enforcement goals.
e 5.
Protection of the Information Access to the information is limited to those NRC employees whose official duties require that access.
Records at all locations are stored in file folders, on computer printouts, and on computer disks, all of which are kept in a l-0cation that limits access to government employees and is under visual control during duty hours.
- 6.
Compatibility with {a)(7) of the Privacy Act Each routine use described in the Federal Register notice supports the objective of the enforcement program:
to ensure compliance with NRC regulations and conditions, to obtain prompt correction of violations, to deter futur~
violations, and to encourage improvement of performance. Consistent with these goals, prompt and vigorous enforcement action is taken when lic~nsees and others do not achieve the necessarily high standards of compliance.
Notices of Violation, Civil Penalties, Ordtrs, and other enforcement actions, such as Letters of Reprimand and Demands for Information, are issued to promote safe operations. Infonnation regarding the more significant actior.s that the NRC
- takes is publicly disseminated in order to deter future violations. This dissemination includes publication in the Federal Register, advice to NRC licensees and Agreement States through newsletters or individual copies, and through the circulation of the compilation developed under this System of Records.
As such, these uses are fully con~atible with the purposes for which the data is collected *
- 7.
0MB control numbers None
- Approved for Publication The Commission has delegated tc the EDO (10 CFR l.31(c)) the authority to develop and promulgate rules as defined in the APA (5 U.S.C. 551(4)) subject to the limitations in NRC Chapter 0103, Organization and Functions, Office of the Executive Director for Operations, paragraphs 0213, 038, 039, and 0310.
The enclosed Federal Register notice, entitled 11 Privacy Act of 1974; Report of New System of Records, 11 establishes a new NRC System of Records, NRC-3, Enforcement Actions Against Individuals. The new system will contain records accessible by personal identifier of both licensed and unlicensed individuals whose deliberate misconduct causes a licensee to be in violation of Commission requirements.
The records are maintained and used by the Office of Enforcement in conducting the enforcement program for the protection of the public health and safety, The new system of records does not constitute significant question of policy, nor does it amend regulations contained in 10 CFR Parts 7, 8, or 9 Subpart C concerning matters of policy. I therefore find that the establishment of this new system of records is within the scope of my rulemaking authority and am proceeding to issue it
- Date for Operations.