ML23156A122

PR-009 - 57FR34790 - Revision of Systems of Records

ML23156A122
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Issue date:	08/06/1992
From:	Taylor J NRC/EDO
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PR-009, 57FR34790
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ADAMS Template: SECY-067 08/06/1992 PR-009 - 57FR34790 - REVISION OF SYSTEMS OF RECORDS PR-009 57FR34790 RULEMAKING COMMENTS

. Document Sensitivity: Non-sensitive - SUNSI Review Complete

STATUS OF RULEMAKING PROPOSED RULE:

PR-009 OPEN ITEM (Y/N) N RULE NAME:

REVISION OF SYSTEMS OF RECORDS PROPOSED RULE FED REG CITE:

57FR34790 PROPOSED RULE PUBLICATION DATE:

08/06/92 NUMBER OF COMMENTS:

ORIGINAL DATE FOR COJ,IMENTS:

I I

EXTENSION DATE:

I I

FINAL RULE FED. REG. CITE: 57FR34790 FINAL RULE PUBLICATION DATE: 08/06/92 NOTES ON PUBLISHED AS A FINAL NOTICE OF REVISIONS TO PRIVACY ACT SYSTEM OF TATUS RECORDS. FILE LOCATED ON Pl.

F RULE TO FIND THE STAFF CONTACT OR VIEW THE RULEMAKING HISTORY PRESS PAGE DOWN KEY HISTORY OF THE RULE PART AFFECTED: PR-009 RULE TITLE:

REVISION OF SYSTEMS OF RECORDS

.OPOSED RULE SECY PAPER:

FINAL RULE SECY PAPER:

PROPOSED RULE SRM DATE:

FINAL RULE SRM DATE:

DATE PROPOSED RULE I

I SIGNED BY SECRETARY:

07/24/92 DATE FINAL RULE I

I SIGNED BY SECRETARY:

07/24/92 STAFF CONTACTS ON THE RULE CONTACTl: SARAH N. WIGGINGTON CONTACT2:

MAIL STOP: P-223 MAIL STOP:

PHONE: 492-7752 PHONE:

DOCKET NO. 009 (57FR34790)

In the Matter of REVISION OF SYSTEMS OF RECORDS DATE DATE OF TITLE OR DOCKETED DOCUMENT DESCRIPTION OF DOCUMENT 08/06/92 07/24/92 NOTICE OF REVISIONS FOR PRIVACY ACT SYSTEM OF RECORDS.

NUCLEAR REGULATORY COMMISSION Privacy Act of 1974; Minor Revisions AGENCY:

Nuclear Regulatory Commission.

ACTION:

Revision of Systems of Records.

DOCKETED USHRC

SUMMARY

The Nuclear Regulatory Commission (NRC) is revising its Privacy Act systems of Records to divide NRC-18, "Investigative Offices Index, Files, and Associated Records--NRC," into two separate systems of records.

One system of records will retain the former number, NRC-18, and will be entitled "Office of the Inspector General Index File and Associated Records--NRC."

The second system of records, NRC-2 3, will be entitled "Off ice of Investigations Indices, Files, and Associated Records--NRC." This action is being taken to distinguish the functions of each office and the types of records found in each system of records, and to adopt the Nationa). Archives and Records Administration (NARA) requirements for the retention and disposal of each office's records

• EFFECTIVE DATE:

The revised systems of records will become effective without further notice on (30 days following publication in the Federal Register) unless comments received on or before that date cause a contrary decision.

If, based on NRC's review of comments received, changes are made, NRC will publish a new final notice.

ADDRESSES:

Send comments to the Secretary of the Commission, U.S.

Nuclear Regulatory Commission, Washington, DC 20555, Attention:

Docketing and Service Branch.

Copies of comments may be examined at the NRC Public Document Room at 2120 L Street, NW., Lower Level, Washington, DC.

FOR FURTHER INFORMATION CONTACT:

Sarah N. Wigginton, Acting Chief, Freedom of Information/LPDR

Branch, Division of Freedom of Information and Publications Services, Office of Administration, Washington, DC 20555, Telephone:

301-492-8133 or toll free 800-368-5642.

SUPPLEMENTARY INFORMATION:

The Inspector General Act, originally passed in 1978, was amended in 1988 (Pub. L. 100-504) to add five new Inspectors General (IG) to selected Federal agencies.

The NRC was one of the five agencies designated to receive a statutory IG.

The responsibilities of the former NRC Office of Inspector and Auditor (OIA) were transferred to the new OIG.

The need to separate the dual system was identified in order to distinguish the functions of each off ice and the types of records found in each system of records, and to reflect NARA retention and disposition schedules for IG and OI records.

NRC-18 and NRC-23 retain the (k) (1), (k) (2), and (k) (6) exemptions that were approved when NRC-18 was published as a dual system on September 18, 1986 (51 FR 33150 and 33158) and retained when the entire systems of records were republished on August 20, 1990 (55 FR 33970).

1.

NRC-18, Office of the Inspector General Index File and Associated Records--NRC, supersedes the former NRC--18, Investigative Offices Index, Files, and Associated Records--NRC, and is being revised to read as follows:

NRC-18 SYSTEM NAME:

Office of the Inspector General Index File and Associated Records--NRC.

SYSTEM LOCATION:

Office of the Inspector General, NRC, 4350 East West Highway, Bethesda, Maryland.

2

CATEGORIES OF INDIVIDUAI.S COVERED BY THE SYSTEM:

Individuals and entities referred to in potential or actual cases and matters of concern to the Office of the Inspector General and correspondents on subjects directed or referred to the Office of the Inspector General.

CATEGORIES OF RECORDS IN THE SYSTEM:

The system consists of an alphabetical index file bearing individual names.

The index provides 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 the Inspector General correspondence,

cases, matters, memoranda, and materials, including, but not limited to, audit reports, investigative reports, inspection reports, correspondence to and from the Office of the Inspector General, memoranda, legal papers,

evidence, exhibits, audit data, investigative data, and work papers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, as amended, Pub. L. 100-504 (1988); 42 u.s.c. 2035(c),

2 2 o 1 ( c), and 5 8 41 ( f) ( 19 8 8).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH 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 a case or matter falling within the purview of the Office of the Inspector General that has been referred for audit, inspection, or investi-gation may be disclosed as a routine use to the referring agency, group, organization, or individual of the status of the case or matter or of any decisions or determinations that have been made.

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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 a case or matter may be disclosed as a routine use to a foreign country pursuant to an international treaty or convention entered into and ratified by the United States.

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 such agency.

f.

A record in the system of records in the nature of an

audit, inspection, or investigation report relating to the integrity and efficiency of the Commission's operation and management may be disseminated outside the Commission as part of the Commission's responsibility to inform the Congress and the public about Commission operations.

g.

A record in the system of records may be disclosed for any of the routine uses specified in the Prefatory Statement.

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 ADP storage media.

RETRIEVABILITY:

Information is retrieved from index cards or indices by the name or identifier of the individual or entity and from the jackets or files by number(s) and/or letter(s) assigned and appearing on the index cards or indices.

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I I

I SAFEGUARDS:

The index is maintained in approved security containers and lockable filing cabinets; and the

indices, associated records, disks, tapes, etc., are located in lockable metal filing cabinets, safes, storage rooms, or similar secure facilities. All records are under visual control during duty hours and available only to authorized personnel who have a need to know and whose duties require access to the information.

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.

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.

3.

Significant cases (those that result in national media attention, congressional investigation, or substantive changes in agency pol icy or procedures) --To be determined by the National Archives and Records Administration on a case-by-case basis.

b.

Audit and Related Case Files:

Cut off at end of fiscal year in which case is closed.

Destroy 8 years after cutoff.

c.

Index/Indices: Destroy or delete with the related records or sooner if no longer needed.

SYSTEM MANAGER(S)

AND ADDRESS:

Inspector General, 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 Commission, Washington, DC 20555.

RECORDS ACCESS PROCEDURES:

Same as "Notification procedure."

Information classified pursuant to Executive Order 12356 will not 5

be disclosed.

Information received in confidence will be maintained pursuant to the Commission's Policy Statement on Confidentiality, Management Allegations" (formerly NRC Directive

8. 8, "Management of Manual Chapter 0517),

and other procedures concerning confidentiality as determined by the Inspector General and will not be disclosed to the extent that disclosure would reveal a confidential source.

CONTESTING RECORD PROCEDURES: Same procedure."

as "Notification RECORD SOURCE CATEGORIES:

The information in this system of records is obtained from sources including, but not limited to, NRC officials and employees: employees of Federal, State, local, and foreign agencies: and other persons.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to 5 u.s.c. 552a(k)(l), (k)(2), and (k)(6), the Commission has exempted portions of this system of records from 5 u.s.c.

5 5 2 a ( c) ( 3 ), ( d), ( e) ( 1), ( e) ( 4 ) ( G), ( H), and (I), and ( f) *

2.

NRC-23, Office of Investigations Indices, Files, and Associated Records--NRC, contains OI information formerly contained in the superseded former NRC-18, and is being added to read as follows:

NRC-23 SYSTEM NAME:

Office of Investigations Indices, Files, and Associated Records--NRC.

SYSTEM LOCATION:

Primary system--Office of Investigations, 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.

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CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals and entities referred to in potential or actual cases and matters of concern to the Office of Investigations and correspondents 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:

42 U.S.C. 2035(c),

220l{c), and 584l{f) (1988).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OR USERS AND THE PURPOSES OF SUCH 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 a case or matter falling within the purview of the Office of Investigations may be disclosed as a routine use to the referring agency, group, organization, or individual of the status of the case or matter or of any decisions or determinations that have been made.

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 7

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 a case or matter may be disclosed as a routine use to a foreign country pursuant to an international treaty or convention entered into and ratified by the United States.

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 such agency.

f.

A record in the system of records may be disclosed for any of the routine uses specified in the Prefatory Statement.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Information contained in this system is manually stored on index cards, in files, and in various ADP storage 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 lockable filing cabinets; and the

indices, associated records, disks, tapes, etc., are located in lockable 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.

8

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RETENTION AND DISPOSAL:

a.

Inquiry case files--Retain closed inquiry case files in office for 2 years, then retire to the Office of Information Resources Management.

Destroy 10 years after cases are closed.

b.

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.

Hold in office for 2 years after closing, then retire to the Office of Information Resources Management. Transfer closed case files in 10-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 Information Resources Management.

Destroy 10 years after cases are closed.

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.

c.

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.

NOTIFICATION PROCEDURE:

Director, Division of Freedom of Information and Publications Services, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555.

RECORD ACCESS PROCEDURES:

Same as "Notification procedure."

Information classified pursuant to Executive Order 12356 will not 9

f C

be disclosed.

Information received in confidence will be maintained pursuant to 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 PROCEDURES: Same procedure."

as "Notification 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; and other persons.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

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)(l), (e)(4)(G), (H), and (I), and (f).

The exemption rule is contained in 10 CFR 9.95 o f the NRC regulations.

Dated at Rockville, MD, this.,;_f~ day of~

1992.

For the Nuclear Reg~o.:: Commission.

am M. Taylo, cutive Director for Operations.

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