Text

Privacy Act Systems of Records Notice 89 Fr 58779 July 16 2024
	ML24197A138
Person / Time
Issue date:	07/16/2024
From:	Jonathan Feibus; NRC/OCIO
To:	;
References
	NRC-2023-0168
	Download: ML24197A138 (97)
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[7590-01-P]

NUCLEAR REGULATORY COMMISSION

[NRC-2023-0168]

Privacy Act of 1974;

Systems of Records

AGENCY: Nuclear Regulatory Commission.

ACTION: Notice of modified systems of records; request for comment.

SUMMARY

Pursuant to the Privacy Act of 1974 and Office of Management and Budget

(OMB) Circular No. A-108, to ensure the system of records notices remain accurate, the

U.S. Nuclear Regulatory Commission (NRC) staff reviews each notice on a periodic

basis. As a result of this review, the NRC is republishing 16 of its system of records

notices and has made various revisions to ensure that the NRCs notices remain clear,

accurate, and up to date. Three of the syst em noticesNRC 37, Information Security

Files and Associated Records, NRC 44, Employee Fitness Center Records, and NRC

46, Health Emergency Recordsare subject to a 30-day comment period based on the

nature of their revisions. The revisions to these systems are in effect upon this

publication with the exception of the NRC 37, NRC 44 and NRC 46 modifications, which

will go into effect 30 days after this publication. The remaining systems revisions are

minor corrective and administrative changes that do not meet the threshold criteria

established by OMB for either a new or altered system of records. The minor

modifications include updating authorities, system managers, retention schedules, and

various other minor updates, in accordance with OMB Circular A-108.

DATES: Submit comments on revisions and changes by August 19, 2024. Comments

received after this date will be considered if it is practical to do so, but the Commission is able to ensure consideration only for comments received before this date.

ADDRESSES: You may submit comments by any of the following methods; however,

the NRC encourages electronic comment submission through the Federal rulemaking

website:

Federal rulemaking website: Go to https://www.regulations.gov and search

for Docket ID NRC-2023-0168. Address questions about Docket IDs in Regulations.gov

to Stacy Schumann; telephone: 301-415-0624; email: Stacy.Schumann@nrc.gov. For

technical questions, contact the individual listed in the For Further Information Contact

section of this document.

Mail comments to: Office of Administration, Mail Stop: TWFN-7-A60M, U.S.

Nuclear Regulatory Commission, Washington, DC 20555-0001, ATTN: Program

Management, Announcements and Editing Staff.

For additional direction on obtaining information and submitting comments, see

Obtaining Information and Submitting Comments in the SUPPLEMENTARY

INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Sally Hardy, Office of the Chief Information

Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone:

301-415-5607; email: Sally.Hardy@nrc.gov.

SUPPLEMENTARY INFORMATION

I. Obtaining Information and Submitting Comments

A. Obtaining Information

Please refer to Docket ID NRC-2023-0168 when contacting the NRC about the

availability of information for this action. You may obtain publicly available information

related to this action by any of the following methods:

2

Federal Rulemaking Website: Go to https://www.regulations.gov and

search for Docket ID NRC-2023-0168.

NRCs Agencywide Documents Access and Management System

(ADAMS): You may obtain publicly available documents online in the ADAMS Public

Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the

search, select Begin Web-based ADAMS Search. For problems with ADAMS, please

contact the NRCs Public Document Room (P DR) reference staff at 1-800-397-4209, at

301-415-4737, or by email to PDR.Resource@nrc.gov.

NRCs PDR: The PDR, where you may examine and order copies of publicly

available documents, is open by appointment. To make an appointment to visit the PDR,

please send an email to PDR.Resource@nrc.gov or call 1-800-397-4209 or 301-415-

4737, between 8 a.m. and 4 p.m. eastern time (ET), Monday through Friday, except

Federal holidays.

B. Submitting Comments

The NRC encourages electronic comment submission through the Federal

rulemaking website (https://www.regulations.gov). Please include Docket ID NRC-2023-

0168 in your comment submission.

The NRC cautions you not to include ident ifying or contact information that you

do not want to be publicly disclosed in y our comment submission. The NRC will post all

comment submissions at https://www.regulat ions.gov as well as enter the comment

submissions into ADAMS. The NRC does not routinely edit comment submissions to

remove identifying or contact information.

If you are requesting or aggregating comments from other persons for

submission to the NRC, then you should inform those persons not to include identifying

or contact information that they do not w ant to be publicly disclosed in their comment

3 submission. Your request should state that the NRC does not routinely edit comment

submissions to remove such information before making the comment submissions

available to the public or entering the comment into ADAMS.

II. Background

Pursuant to the Privacy Act of 1974 and OMB Circular No. A-108, Federal

Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act,

notice is hereby given that the NRC is republishi ng 16 of its system of records notices. In

12 of those system of records notices, there are revisions that include minor and

administrative changes that do not meet the criter ia for either a new or altered system of

records notice. One system is being republished without any revisions as part of our

review process for ease of use and reference since the last publication in 2019.

The changes in the following three Privacy Act system of records notices do

meet the criteria for an altered system of records:

The NRC is revising NRC 37, Information Security Files and Associated Records.

Modifications include revision of the purpose, categories of records in the system, record

source categories and storage of records.

The NRC is revising NRC 44, Employee Fitness Center Records. Modifications

include removing duplicate system locations.

The NRC is revising NRC 46, Health Emergency Records. Modifications include

revision of the authority for maintenance of the system, categories of individuals

covered, categories of records, record source categories, routine uses and storage of

records.

A report on these revisions has been sent to OMB, the Committee on Homeland

Security and Governmental Affairs of U.S. Senate, and the Committee on Oversight and

Accountability of the U.S. House of Repres entatives, as required by the Privacy Act.

4 If changes are made based on the NRCs review of comments received, the NRC

will publish a subsequent notice.

The text of the report, in its entirety, is attached.

Dated: July 16, 2024.

For the Nuclear Regulatory Commission.

/RA/

Jonathan Feibus, Senior Agency Official for Privacy, Office of the Chief Information Officer.

5 Attachment - Nuclear Regulatory Commission Privacy Act Systems of Records

NRC Systems of Records

25. Oral History ProgramNRC.

26. Transit Subsidy Benefits Program RecordsNRC.

27. Radiation Exposure Information and Reporting System (REIRS) Records

NRC.

32. Office of the Chief Financial Officer Financial Transactions and Debt

Collection Management RecordsNRC.

33. Special Inquiry RecordsNRC.

35. Drug Testing Program RecordsNRC.

36. Employee Locator RecordsNRC.

37. Information Security Files and Associated RecordsNRC.

38. Mailing ListsNRC.

39. Personnel Security Files and Associated RecordsNRC.

40. Facility Security Access Control RecordsNRC.

41. Tort Claims and Personal Property Claims RecordsNRC.

43. Employee Health Center Records NRC.

44. Employee Fitness Center Records NRC.

45. Electronic Credentials for Personal Identity VerificationNRC.

46. Health Emergency RecordsNRC.

These systems of records are maintained by the NRC and contain personal

information about individuals that is retrieved by an individuals name or identifier.

The notice for each system of records states the name and location of the record

system, the authority for and manner of its operation, the categories of individuals that it

covers, the types of records that it contains, the sources of information in those records,

6 and the routine uses of each system of records. Each notice also includes the business

address of the NRC official who will inform interested persons of the procedures

whereby they may gain access to and request amendment of records pertaining to them.

The Privacy Act provides certain safeguards for an individual against an invasion

of personal privacy by requiring Federal agencies to protect records contained in an

agency system of records from unauthorized discl osure and to ensure that information is

current and accurate for its intended use and that adequate safeguards are provided to

prevent misuse of such information.

SYSTEM NAME AND NUMBER:

Oral History ProgramNRC 25.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Office of the Secretary, NRC, One White Flint North, 11555 Rockville Pike,

Rockville, Maryland.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

42 U.S.C. 2161(b) and 44 U.S.C. 3301.

PURPOSE(S) OF THE SYSTEM:

Recorded interviews and transcribed scripts of interviews for providing a history

of the nuclear regulatory program.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who volunteer to be interviewed for the purpose of providing

information for a history of the nuclear regulatory program.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records consist of recorded interviews and as needed, transcribed scripts of the

7 interviews.

RECORD SOURCE CATEGORIES:

Information in this system of records is obtained from interviews granted on a

voluntary basis to the Historian.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the other types of disclosures permitted under subsection (b) of the

Privacy Act, the NRC may disclose information contained in this system of records

without 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. For incorporation in publications on the history of the nuclear regulatory

program;

b. To provide information to historians and other researchers;

c. A record from this system of records may be disclosed as a routine 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 individuals, NRC

(including 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 necessary to assist in connection with NRC efforts to respond to the

suspected or confirmed breach or to prevent, minimize, or remedy such harm; and

d. A record from this system of records may be disclosed as a routine 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,

8 minimizing, or remedying the risk of harm to individuals, the recipient agency or entity

(including 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:

Maintained on electronic media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Information is accessed by the name of the interviewee.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Narrative Histories will be retained under NRCs approved schedule found in the

NUREG 0910 version 4 at 2.22.7.a(1): Record copy maintained by the NRC Historian.

Permanent. Transfer to the National Archives when 20 years old. (Paper records created

before 4/1/2000. ADAMS PDF files and TIFF files (2.22.7.a(4) re cutoff at the close of

the fiscal year. Transfer to the National Archives 5 years after cutoff.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Maintained on an access restricted drive. Access to and use of these records is

limited to those authorized by the Historian or a designee.

SYSTEM MANAGER(S):

NRC Historian, Office of the Secretary, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001.

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

9 information about them should write to the Freedom of Information Act or Privacy 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 regulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME AND NUMBER:

Transit Subsidy Benefits Program RecordsNRC 26.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Facility and Logistics Branch, Office of Administration, NRC, Two White Flint

North, 11545 Rockville Pike, Rockville, Maryland.

SYSTEM MANAGER(S):

Chief, Facility and Logistics Branch, Division of Facilities and Security, Office of

Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 7905; 26 U.S.C. 132; 31 U.S.C. 3511; 41 CFR 102-74.210; 41 CFR

subtitle F; 41 CFR 102-71.20; Executive Order (E.O.) 9397, as amended by E.O. 13478;

E.O. 13150.

PURPOSE(S) OF THE SYSTEM:

The information contained in this system is used to enroll employees in the

Transit Subsidy Program.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

NRC employees who apply for subsidized mass transit costs.

10 CATEGORIES OF RECORDS IN THE SYSTEM:

The records consist of an individuals application to participate in the program

which includes, but is not limited to, the applicant's name, home address, office

telephone number, and information regarding the employee's commuting schedule and

mass transit system(s) used.

RECORD SOURCE CATEGORIES:

NRC employees.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the other types of disclosures permitted under subsection (b) of the

Privacy Act, the NRC may disclose information contained in this system of records

without 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 provide statistical reports to the city, county, State, and Federal

government agencies;

b. To provide the basis for program approval and issue monthly subsides;

c. A record from this system of records which indicates a violation 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 or

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;

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

course of discovery; in presenting evidenc e to a court, magistrate, administrative

11 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;

e. 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 response to an inquiry from the

Congressional office made at the request of that individual;

f. A record from this system of records may be disclosed as a routine 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

only after satisfactory justification has been provided to the system manager;

g. A record from this system of records may be disclosed as a routine 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 individuals, NRC

(including 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 necessary to assist in connection with NRC efforts to respond to the

suspected or confirmed breach or to prevent, minimize, or remedy such harm; and

h. A record from this system of records may be disclosed as a routine 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

12 (including 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:

Records are maintained on electronic media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Accessed by name and smart trip card.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records are retained under the National Archives and Records Administrations

General Records Schedule 2.4: Employee Compensation and Benefit Records, Item

130, Transportation subsidy program administrative records. Destroy when 3 years old,

but longer retention is authorized if required for business use. Records are also retained

under General Records Schedule 2.4, item 131, Transportation subsidy program

individual case files. Destroy 2 years after employee participation concludes, but longer

retention is authorized if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Computer files are maintained on a hard drive, access to which is password

protected. Access to and use of these records is limited to those persons 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 Privacy Act

13 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 regulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME AND NUMBER:

Radiation Exposure Information and Reporting System (REIRS) Records-NRC

27.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Primary systemOak Ridge Associated Universities (ORAU), Oak Ridge,

Tennessee (or current contractor facility).

Duplicate systemDuplicate systems exist, in part, regarding employee

exposure records, with the NRCs Radiation Safe ty Officers at Regional office locations

listed in Addendum 1, Part 2, in the Office of Nuclear Reactor Regulations (NRR), the

Office of Nuclear Material Safety and Safeguards (NMSS). The Office of Administration

(ADM), NRC, One White Flint North, 11555 Rockville Pike, Rockville, Maryland,

maintains the employee dosimeter tracking system.

SYSTEM MANAGER(S):

REIRS Project Manager, Radiation Prot ection Branch, Division of Systems

Analysis, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 7902; 29 U.S.C. 668; 42 U.S.C. 2051, 2073, 2093, 2095, 2111, 2133,

14 2134, and 2201(o); 10 CFR parts 20 and 34; Executive Order (E.O.) 9397, as amended

by E.O. 13478; E.O. 12196, as amended.

PURPOSE(S) OF THE SYSTEM:

REIRS serves as the central repository for all NRC radiation exposure monitoring

records that are recorded and reported pursuant to part 20 of title 10 of the Code of

Federal Regulations (10 CFR) and Regulatory Guide 8.7. This central repository is used

for the oversight of radiation protection po licies and practices at NRC-licensed facilities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals monitored for radiation exposure while employed by or visiting or

temporarily assigned to certain NRC-licensed facilities; individuals who are exposed to

radiation or radioactive materials in incidents required to be reported under

10 CFR 20.2201-20.2204 and 20.2206 by all NRC licensees; individuals who may have

been exposed to radiation or radioactive materials offsite from a facility, plant installation,

or other place of use of licensed materials, or in unrestricted areas, as a result of an

incident involving byproduct, source, or special nuclear material.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain information relating to an individuals name, sex, social

security number, birth date, place and period date of exposure; name and license

number of individuals employer; name and number of licensees reporting the

information; radiation doses or estimates of exposure received during this period, type of

radiation, part(s) or organ(s) exposed, and radionuclide(s) involved.

RECORD SOURCE CATEGORIES:

Information in this system of records comes from licensees; the subject

individual; the individuals employer; the person in charge of the facility where the

individual has been assigned; NRC Form 5, Occupational Exposure Record for a

15 Monitoring Period, or equivalent, contractor reports, and Radiation Safety Officers.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the other types of disclosures permitted under subsection (b) of the

Privacy Act, the NRC may disclose information contained in this system of records

without 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 provide data to other Federal and State agencies involved in monitoring

and/or evaluating radiation exposure rece ived by individuals as enumerated in the

paragraph Categories of individual s covered by the system;

b. To return data provided by licensee upon request;

c. A record from this system of records which indicates a violation 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 or

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;

d. 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;

e. 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 relevant and

necessary to its decision on a matter of hiring or retaining an employee, issuing a

16 security clearance, reporting an investigation of an employee, letting a contract, or

issuing a license, grant, or other benefit;

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

course of discovery; in presenting evidenc e to a court, magistrate, 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;

g. 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 response to an inquiry from the

Congressional office made at the request of that individual;

h. A record from this system of records may be disclosed as a routine 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

only after satisfactory justification has been provided to the system manager;

i. A record from this system of records may be disclosed as a routine 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 individuals, NRC

(including 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 necessary to assist in connection with NRC efforts to respond to the

suspected or confirmed breach or to prevent, minimize, or remedy such harm; and

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

another Federal agency or Federal entity, when the NRC determines that information

17 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 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:

Records are maintained on paper and electronic media. The electronic records

maintained in Oak Ridge, TN, are in a cent ralized database management system that is

password protected. Backup tapes of the database are generated and maintained at a

secure, off-site location for disaster recovery purposes. During the processing and data

entry, paper records are temporarily stored in designated business offices that are

locked when not in use and are accessible only to authorized personnel. Upon

completion of data entry and processing, the paper records are stored in an offsite

security storage facility accessib le only to authorized personnel.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Records are accessed by individual name, social security number, date of birth,

and/or by licensee name or number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records managed using REIRS are scheduled under NRCs NUREG-0910,

Revision 4. Transfer a copy of REIRS data to the National Archives and Records

Administration every 5 years (2.19.16). Retain Personnel monitoring reports and

personnel overexposure reports entered into REIRS, Paper records, are retained under

2.19.14.a(1). Destroy 2 years after data are input into REIRS. ADAMS PDF files, TIFF

files, ADAMS document profiles, and ADAMS digital signature and concurrence data are

retained under 2.19.14.a(4) and are cut off at the end of the fiscal year and destroyed 2

18 years after cutoff. Personnel monitoring repor ts and personnel overexposure reports of

which only selected data are entered into REIRS, records are retained under

2.19.14.b(1). Cut off at end of fiscal year. Transfer to National Archives and Records

Administration (NARA) when 20 years old.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Information maintained at ORAU is accessible by the Office of Nuclear

Regulatory Research (RES) and individuals that have been authorized access by NRC,

including all NRC Radiation Safety Officers and ORAU employees that are directly

involved in the REIRS project. Reports received and reviewed by the NRCs RES, NRR,

NMSS, and Regional offices are in lockabl e file cabinets and bookcases in secured

buildings. A log is maintained of both telephone and written requests for information.

The data maintained in the REIRS database are protected from unauthorized

access by several means. The database server resides in a protected environment with

physical security barriers under keycard access control. Accounts authorizing access to

the server and databases are maintained by the ORAU REIRS system administrator. In

addition, ORAU maintains a computer security firewall that further restricts access to

the ORAU computer network. Authorization for access must be approved by NRC,

ORAU project management, and ORAU computer security. Transmittal of data via the

Internet is protected by data encryption.

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

19 information about them should write to the Freedom of Information Act or Privacy 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 regulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME AND NUMBER:

Office of the Chief Financial Officer Financial Transactions and Debt Collection

Management RecordsNRC 32.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Office of the Chief Financial Officer, NRC, Two White Flint North, 11545

Rockville Pike, Rockville, Maryland. NRC has an interagency agreement with the U.S.

Treasury, Administrative Resource Center (ARC), Parkersburg, WV, as a Federal

service provider for transactional services in the NRC core financial system since March

2018.

Other systems of records contain information that may duplicate some of the

records in this system. These other systems include, but are not limited to:

NRC-10, Freedom of Information Act (FOIA) and Privacy Act (PA) Request

RecordsNRC;

NRC-18, Office of the Inspector General (OIG) Investigative RecordsNRC;

NRC-19, Official Personnel Training RecordsNRC;

NRC-21, Payroll Accounting RecordsNRC;

NRC-41, Tort Claims and Personal Property Claims RecordsNRC; and

20 GSA/GOVT-4, Contracted Travel Services Program (E-Travel).

SYSTEM MANAGER:

Comptroller, Division of the Comptroller, Office of the Chief Financial Officer,

U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 552a; 5 U.S.C. 5514; 15 U.S.C. 1681; 26 U.S.C. 6103; 31 U.S.C.

chapter 37; 31 U.S.C. 6501-6508; 42 U.S.C. 2201; 42 U.S.C. 5841; 31 CFR 900-904; 10

CFR parts 15, 16, 170, 171; Executive Order (E.O.) 9397, as amended by E.O. 13478;

and E.O. 12731.

PURPOSE(S) OF THE SYSTEM:

Financial Transactions and Debt Collection

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals covered are those to who the NRC owes/owed money, those who

receive/received a payment from NRC, and those who owe/owed money to the United

States. Individuals receiving payments include, but are not limited to, current and former

employees, contractors, consultants, vendors, and others who travel or perform certain

services for NRC. Individuals owing money include, but are not limited to, those who

have received goods or services from NRC for which there is a charge or fee (NRC

licensees, applicants for NRC licenses, Freedom of Information Act requesters, etc.) and

those who have been overpaid and owe NRC a re fund (current and former employees,

contractors, consultants, vendors, etc.).

CATEGORIES OF RECORDS IN THE SYSTEM:

Information in the system includes, but is not limited to, names, addresses,

telephone numbers, Social Security Numbers (SSN), employee identification number

(EIN), Taxpayer Identification Numbers (TIN), Individual Taxpayer Identification

21 Numbers (ITIN), Data Universal Numbering System (DUNS) number, fee categories,

application and license numbers, contract numbers, vendor numbers, amounts owed,

background and supporting documentation, correspondence concerning claims and

debts, credit reports, and billing and payment histories. The overall agency accounting

system contains data and information integrating accounting functions such as general

ledger, funds control, travel, accounts receivable, accounts payable, property, and

appropriation of funds. Although this system of records contains information on

corporations and other business entities, only those records that contain information

about individuals that is retrieved by the individuals name or other personal identifier are

subject to the Privacy Act.

RECORD SOURCE CATEGORIES:

Record source categories include, but are not limited to, individuals covered by

the system, their attorneys, or other representatives; NRC; collection agencies or

contractors; employing agencies of debtors; and Federal, State, and local agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In accordance with an interagency agreement, the NRC may disclose records to

Treasury ARC as a Federal service provider fo r transactional services in the NRC core

financial system. In addition to the other types of disclosures permitted under subsection

(b) of the Privacy Act, the NRC may disclose information contained in this system of

records without 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 or,

where determined to be appropriate and necessary, the NRC may authorize Treasury

ARC to make the disclosure:

a. To debt collection contractors (31 U.S.C. 3718) or to other Federal agencies

22 such as the Department of the Treasury (Treasury) and Department of Interior (DOI) for

the purpose of collecting and reporting on delinquent debts as authorized by the Debt

Collection Act of 1982 or the Debt Collection Improvement Act (DCIA) of 1996 and the

Digital Accountability and Transparency Act (DATA) of 2014;

b. To Treasury; the Defense Manpower Data Center, Department of Defense; the

United States Postal Service; government corporations; or any other Federal, State, or

local agency to conduct an authorized computer matching program in compliance with

the Privacy Act of 1974, as amended, to identify and locate individuals, including Federal

employees, who are delinquent in their repayment of certain debts owed to the U.S.

Government, including those incurred under certain programs or services administered

by the NRC, in order to collect debts under common law or under the provisions of the

Debt Collection Act of 1982 or the Debt Collection Improvement Act of 1996 and DATA

of 2014 which include by voluntary repayment, administrative or salary offset, and

referral to debt collection contractors;

c. To the Department of Justice, United States Attorney Treasury ARC, or other

Federal agencies for further collection action on any delinquent account when

circumstances warrant;

d. To credit reporting agencies/credit bureaus for the purpose of either adding to

a credit history file or obtaining a credit history file or comparable credit information for

use in the administration of debt collecti on. As authorized by the DCIA, NRC may report

current (not delinquent) as well as delinquent consumer and commercial debt to these

entities in order to aid in the collection of debts, typically by providing an incentive to the

person to repay the debt timely;

e. To any Federal agency where the debtor is employed or receiving some form

of remuneration for the purpose of enabling that agency to collect a debt owed the

23 Federal Government on NRC's behalf by counseling the debtor for voluntary repayment

or by initiating administrative or salary offset procedures, or other authorized debt

collection methods under the provisions of the Debt Collection Act of 1982 or the DCIA

of 1996. Under the DCIA, NRC may garnish non-Federal wages of certain delinquent

debtors so long as required due process proced ures are followed. In these instances,

NRCs notice to the employer will disclose only the information that may be necessary

for the employer to comply with the withholding order;

f. To the Internal Revenue Service (IRS) by computer matching to obtain the

mailing address of a taxpayer for the purpose of locating such taxpayer to collect or to

compromise a Federal claim by NRC against the taxpayer under 26 U.S.C. 6103(m)(2)

and under 31 U.S.C. 3711, 3717, and 3718 or common law. Re-disclosure of a mailing

address obtained from the IRS may be made only for debt collection purposes, including

to a debt collection agent to facilitate the collection or compromise of a Federal claim

under the Debt Collection Act of 1982 or the DCIA of 1996, except that re-disclosure of a

mailing address to a reporting agency is for the limited purpose of obtaining a credit

report on the particular taxpayer. Any mailing address information obtained from the IRS

will not be used or shared for any other NRC purpose or disclosed by NRC to another

Federal, State, or local agency which seeks to locate the same taxpayer for its own debt

collection purposes;

g. To refer legally enforceable debts to the IRS or to Treasurys Debt

Management Services to be offset against the debtor's tax refunds under the Federal

Tax Refund Offset Program;

h. To prepare W-2, 1099, or other forms or electronic submittals, to forward to the

IRS and applicable State and local governments for tax reporting purposes. Under the

provisions of the DCIA, NRC is permitted to provide Treasury with Form 1099-C

24 information on discharged debts so that Treasury may file the form on NRCs behalf with

the IRS. W-2 and 1099 Forms contain information on items to be considered as income

to an individual, including certain travel related payments to employees, payments made

to persons not treated as employees (e.g., fees to consultants and experts), and

amounts written-off as legally or administratively uncollectible, in whole or in part;

i. To banks enrolled in the Treasury Credit Card Network to collect a payment or

debt when the individual has given his or her credit card number for this purpose;

j. To another Federal agency that has asked the NRC to effect an administrative

offset under common law or under 31 U.S.C. 3716 to help collect a debt owed the United

States. Disclosure under this routine use is limited to name, address, SSN, EIN, TIN,

ITIN, and other information necessary to identify the individual; information about the

money payable to or held for the individual; and other information concerning the

administrative offset;

k. To Treasury or other Federal agencies with whom NRC has entered into an

agreement establishing the terms and conditions for debt collection cross servicing

operations on behalf of the NRC to satisfy, in whole or in part, debts owed to the U.S.

Government. Cross servicing includes the possible use of all debt collection tools such

as administrative offset, tax refund offset, referral to debt collection contractors, salary

offset, administrative wage garnishment, and referral to the Department of Justice. The

DCIA of 2014 requires agencies to transfer to Treasury or Treasury-designated Debt

Collection Centers for cross servicing certain nontax debt over 120 days delinquent.

Treasury has the authority to act in the Federal Governments best interest to service,

collect, compromise, suspend, or terminate collection action under existing laws under

which the debts arise;

l. Information on past due, legally enforceable nontax debts more than 120 days

25 delinquent will be referred to Treasury for the purpose of locating the debtor and/or

effecting administrative offset against monies payable by the Government to the debtor,

or held by the Government for the debtor under the DCIAs mandatory, Government-

wide Treasury Offset Program (TOP). Under TOP, Treasury maintains a database of all

qualified delinquent nontax debts and works with agencies to match by computer their

payments against the delinquent debtor database in order to divert payments to pay the

delinquent debt. Treasury has the authority to waive the computer matching requirement

for NRC and other agencies upon written certification that administrative due process

notice requirements have been complied with;

m. For debt collection purposes, NRC may publish or otherwise publicly

disseminate information regarding the identity of delinquent nontax debtors and the

existence of the nontax debts under the provisions of the DCIA of 1996;

n. To the Department of Labor (DOL) and the Department of Health and Human

Services (HHS) to conduct an authorized computer matching program in compliance

with the Privacy Act of 1974, as amended, to match NRCs debtor records with records

of DOL and HHS to obtain names, name cont rols, names of employers, addresses,

dates of birth, and TINs. The DCIA requires all Federal agencies to obtain taxpayer

identification numbers from each individual or entity doing business with the agency,

including applicants and recipients of licenses, grants, or benefit payments; contractors;

and entities and individuals owing fines, fees, or penalties to the agency. NRC will use

TINs in collecting and reporting any delinquent amounts resulting from the activity and in

making payments;

o. If NRC decides or is required to sell a delinquent nontax debt under 31 U.S.C.

3711(I), information in this system of reco rds may be disclosed to purchasers, potential

purchasers, and contractors engaged to assist in the sale or to obtain information

26 necessary for potential purchasers to formulate bids and information necessary for

purchasers to pursue collection remedies;

p. If NRC has current and delinquent colla teralized nontax debts under 31 U.S.C.

3711(i)(4)(A), certain information in this system of records on its portfolio of loans, notes

and guarantees, and other collateralized debts will be reported to Congress based on

standards developed by the Office of Management and Budget, in consultation with

Treasury;

q. To Treasury in order to request a pay ment to individuals owed money by the

NRC;

r. To the National Archives and Records Administration or to the General

Services Administration for records management inspections conducted under 44 U.S.C.

2904 and 2906;

s. A record from this system of records which indicates a violation 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 or

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;

t. 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;

u. 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 relevant and

27 necessary to its decision on a matter of hiring or retaining an employee, issuing a

security clearance, reporting an investigation of an employee, letting a contract, or

issuing a license, grant, or other benefit;

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

course of discovery; in presenting evidenc e to a court, magistrate, 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;

w. 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 response to an inquiry from the

Congressional office made at the request of that individual;

x. A record from this system of records may be disclosed as a routine 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

only after satisfactory justification has been provided to the system manager;

y. A record from this system of records may be disclosed as a routine 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 individuals, NRC

(including 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 necessary to assist in connection with NRC efforts to respond to the

suspected or confirmed breach or to prevent, minimize, or remedy such harm; and

28

z. A record from this system of records may be disclosed as a routine 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 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 in this system is stored on paper, microfiche, and electronic media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Automated information can be retrieved by name, SSN, TIN, DUNS number,

license or application number, contract or purchase order number, invoice number,

voucher number, and/or vendor code. Paper re cords are retrieved by invoice number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records are retained under the National Archives and Records Administrations

General Records Schedule 1.1: Financial Management and Reporting Records, Item

010, Financial transaction records related to procuring goods and services, paying bills,

collecting debts, and accounting as the Official record held in the office of record.

Destroy 6 years after final payment or cancellation, but longer retention is authorized if

needed for business use. Records related to Administrative claims by or against the

United States are retained under General Records Schedule 1.1: Financial Management

and Reporting Records, item 080. Destroy 7 years after final action, but longer retention

is authorized if required for business use. Records used to calculate payroll, arrange

paycheck deposit, and change previously issued paychecks are scheduled under

General Records Schedule 2.4: Employee Compensation and Benefits Records, item

29 010. Destroy 3 years after paying agency or payroll processor validates data, but longer

retention is authorized if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Records in the primary system are maintained in a building where access is

controlled by a security guard force. Records are kept in lockable file rooms or at users

workstations in an area where access is c ontrolled by keycard and is limited to NRC and

contractor personnel who need the records to perform their official duties. The records

are under visual control during duty hours. Access to automated data requires use of

proper password and user identification codes by NRC or contractor personnel.

RECORDS 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 Privacy 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 regulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

DISCLOSURES TO CONSUMER REPORTING AGENCIES:

Disclosures Pursuant to 5 U.S.C. 552a(b)(12): Disclosures of information to a consumer

reporting agency are not considered a routine use of records. Disclosures may be made

from this system to consumer reporting agencies as defined in the Fair Credit

30 Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966, as

amended (31 U.S.C. 3701(a)(3)).

SYSTEM NAME AND NUMBER:

Special Inquiry RecordsNRC 33.

SECURITY CLASSIFICATION:

Classified and Unclassified

SYSTEM LOCATION:

Primary systemSpecial Inquiry Group, NRC, One White Flint North, 11555

Rockville Pike, Rockville, Maryland.

Duplicate systemDuplicate sy stems exist, in whole or in part, at the locations

listed in Addendum I, Parts 1 and 2.

SYSTEM MANAGER(S):

Records Manager-, Special Inquiry Group, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

42 U.S.C. 2051, 2052, 2201(c), (i) and (o).

PURPOSE(S) OF THE SYSTEM:

Investigation material for potential or actual concerns in connection with

investigations of accidents or incidents at nuclear power plants or other nuclear facility,

nuclear materials or an allegation regarding public health and safety.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals possessing information regarding or having knowledge of matters of

potential or actual concern to the Commission in connection with the investigation of an

accident or incident at a nuclear power plant or other nuclear facility, or an incident

involving nuclear materials or an allegation regarding the public health and safety related

31 to the NRCs mission responsibilities.

CATEGORIES OF RECORDS IN THE SYSTEM:

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

index provides access to associated records which are arranged by subject matter, title,

or identifying number(s) and/or letter(s). The system incorporates the records of all

Commission correspondence, memoranda, audit reports and data, interviews,

questionnaires, legal papers, exhibits, investigative reports and data, and other material

relating to or developed as a result of the inquiry, study, or investigation of an accident or

incident.

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;

NRC licensees; nuclear reactor vendors and ar chitectural engineering firms; other

organizations or persons knowledgeable about the incident or activity under

investigation; and relevant NRC records.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the other types of disclosures permitted under subsection (b) of the

Privacy Act, the NRC may disclose information contained in this system of records

without 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 provide information relating to an item which has been referred to the

Commission or Special Inquiry Group for investigation by an agency, group,

organization, or individual and may be disclosed as a routine use to notify the referring

agency, group, organization, or individual of the status of the matter or of any decision or

32 determination that has been made;

b. To disclose a record as a routine use to a foreign country under an

international treaty or convention entered into and ratified by the United States;

c. To provide records relating to the integrity and efficiency of the Commission's

operations and management and may be disseminated outside the Commission as part

of the Commission's responsibility to inform the Congress and the public about

Commission operations;

d. A record from this system of record s which indicates a violation 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 or

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;

e. 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;

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

course of discovery; in presenting evidenc e to a court, magistrate, 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;

g. 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 response to an inquiry from the

33 Congressional office made at the request of that individual;