67518 Federal Register / Vol. 62, No. 247 / Wednesday, December 24, 1997 / Rules and Regulations

DEPARTMENT OF ENERGY

10 CFR Part 1008

RIN 1901–AA62

Records Maintained on Individuals

(Privacy Act)

AGENCY: Department of Energy.

ACTION: Final rule.

SUMMARY: The Department of Energy

(DOE) amends its Privacy Act

regulations by adding a system of

records to the list of systems exempted

from certain subsections of the Act.

Exemption from certain subsections is

needed to enable the Office of Inspector

General (OIG) to perform its duties and

responsibilities. The system of records

is entitled ‘‘Allegation-Based

Inspections Files of the Office of

Inspector General,’’ and allows the

Office of Inspector General to perform

its functions mandated by statute,

regulation or executive order. This

system will maintain documents

collected in the process of conducting

inspections. An Office of Inspector

General inspection is an examination of

DOE or DOE contractor organizations,

programs, projects, functions, or

activities. This system of records covers

only the files of inspections predicated

on allegations or complaints and which

identify subjects or sources of

information by name. Inspections

performed relate to sensitive allegations

of wrongdoing received concerning

certain individuals, including agency

and DOE contractor employees, or other

persons or entities with some

relationship to the agency. Allegations

include, but are not limited to, abuse of

authority; misuse of government time,

property, or position; conflicts of

interest; whistleblower reprisal; or other

non-criminal violations of law, rules, or

regulations.

EFFECTIVE DATE: January 23, 1998.

FOR FURTHER INFORMATION CONTACT:

Jacqueline M. Becker, Office of

Inspector General, U.S. Department of

Energy, IG–1, 1000 Independence

Avenue, S.W., Washington, D.C. 20585,

(202) 586–4393; or GayLa D. Sessoms,

Director, Freedom of Information Act

and Privacy Act Division, U.S.

Department of Energy, HR–73, 1000

Independence Avenue, S.W.,

Washington, D.C. 20585, (202) 586–

5955; or Abel Lopez, Office of General

Counsel, U.S. Department of Energy,

GC–80, 1000 Independence Avenue,

S.W., Washington, D.C. 20585, (202)

586–8618.

SUPPLEMENTARY INFORMATION:

I. Background

II. Procedural Requirements

A. Regulatory Review

B. Review Under Executive Order 12988

C. Review Under the Regulatory Flexibility

Act

D. Review Under the Paperwork Reduction

Act

E. Review Under Executive Order 12612

F. Review Under the National Environmental

Policy Act

G. Review Under Small Business Regulatory

Enforcement Fairness Act of 1996

I. Background

The Privacy Act of 1974, as amended,

at 5 U.S.C. 552a (k) provides that the

head of an agency may exempt an

agency system of records from certain

provisions of the Act. Accordingly, this

system of records is added to the list of

systems exempted by the Department of

Energy from certain subsections of the

Act.

The purpose of this rule is to amend

the DOE’s Privacy Act regulations to

enable the Office of Inspector General to

carry out its duties and responsibilities

as mandated by the Inspector General

Act. The Inspector General is mandated

to promote economy, effectiveness, and

efficiency within the agency and to

prevent and detect fraud, waste and

abuse in agency programs and

operations.

The Office of Inspections in the Office

of Inspector General compiles various

files that are collected and maintained

to assist in the performance of the

functions of the Office of Inspector

General. The Office of Inspections

performs various inspections and

analyses as required by the Office of

Inspector General. An inspection by the

Office of Inspector General is an

examination of a DOE or DOE contractor

organization, program, project, function,

or activity. This system of records

covers only the files of inspections

predicated on allegations or complaints

and which identify subjects or sources

of information by name. Inspections

performed relate to sensitive allegations

of wrongdoing received concerning

certain individuals, including agency

employees, or other persons or entities

with some relationship to the agency

and DOE contractors. Allegations

include, but are not limited to, abuse of

authority; misuse of government time,

property, or position; conflicts of

interest; whistleblower reprisal; or other

non-criminal violations of law, rules, or

regulations.

A notice of proposed rulemaking and

corresponding system notice were

published in the Federal Register on

January 29, 1997 (62 FR 4404). No

comments were received.

II. Procedural Requirements

A. Regulatory Review

Today’s regulatory action has been

determined not to be a ‘‘significant

regulatory action’’ under Executive

Order 12866, ‘‘Regulatory Planning and

Review,’’ (58 FR 51735, October 4,

1993). Accordingly, today’ s action was

not subject to review under the

Executive Order by the Office of

Information and Regulatory Affairs.

B. Review Under Executive Order 12988

With respect to the review of existing

regulations and the promulgation of

new regulations, section 3(a) of

Executive Order 12988, ‘‘Civil Justice

Reform,’’ 61 FR 4729 (February 7, 1996),

imposes on Executive agencies the

general duty to adhere to the following

requirements: (1) Eliminate drafting

errors and ambiguity; (2) write

regulations to minimize litigation; and

(3) provide a clear legal standard for

affected conduct rather than a general

standard and promote simplification

and burden reduction. With regard to

the review required by section 3(a),

section 3(b) of Executive Order 12988

specifically requires that Executive

agencies make every reasonable effort to

ensure that the regulation: (1) Clearly

specifies the preemptive effect, if any;

(2) clearly specifies any effect on

existing Federal law or regulation; (3)

provides a clear legal standard for

affected conduct while promoting

simplification and burden reduction; (4)

specifies the retroactive effect, if any; (5)

adequately defines key terms; and (6)

addresses other important issues

affecting clarity and general

draftsmanship under any guidelines

issued by the Attorney General. Section

3(c) of Executive Order 12988 requires

Executive agencies to review regulations

in light of applicable standards in

section 3(a) and section 3(b) to

determine whether they are met or it is

unreasonable to meet one or more of

them. DOE has completed the required

review and determined that, to the

extent permitted by law, this regulation

meets the relevant standards of

Executive Order 12988.

C. Review Under the Regulatory

Flexibility Act

This rule was reviewed under the

Regulatory Flexibility Act of 1980, Pub.

L. 96–354. The Regulatory Flexibility

Act requires the preparation of a

regulatory flexibility analysis for any

proposed rule which is likely to have a

significant economic impact on a
Federal Register / Vol. 62, No. 247 / Wednesday, December 24, 1997 / Rules and Regulations 67519

substantial number of small entities.

The Department of Energy certified that

the rule will not have a significant

economic impact on a substantial

number of small entities. The

Department did not receive any

comments on the certification.

D. Review Under the Paperwork

Reduction Act

No new information collection or

record keeping requirements are

imposed by this rule. As a result, no

OMB clearance is required under the

Paperwork Reduction Act of 1980 (44

U.S.C. 3501 et seq.).

E. Review Under Executive Order 12612

Executive Order 12612, entitled

‘‘Federalism,’’ 52 FR 41685 (October 30,

1987), requires that regulations, rules,

legislation, and any other policy actions

be reviewed for any substantial direct

effects on States, on the relationship

between the Federal Government and

the States, or in the distribution of

power and responsibilities among

various levels of Government. If there

are sufficient substantial direct effects,

then the Executive Order requires

preparation of a federalism assessment

to be used in all decisions involved in

promulgating and implementing a new

policy action. This rule will not affect

States, or the relationship between the

Federal Government and the States, in

any direct way.

F. Review Under the National

Environmental Policy Act

This rulemaking amends the

Department’s regulations that

implement the Privacy Act at 10 CFR

part 1008, ‘‘Records Maintained on

Individuals (Privacy Act),’’ by adding a

new system of records to the list of

systems exempted from certain

subsections of the Privacy Act. Under

the new system of records, the

Department would maintain documents

collected in inspections conducted by

the Office of Inspector General.

Implementation of this rule would only

affect the manner in which certain files

are maintained and made accessible to

the public, and would not result in

environmental impacts. The Department

has therefore determined that this rule

is covered under the Categorical

Exclusion found at paragraph A.5 of

Appendix A to Subpart D, 10 CFR part

1021, which applies to the amendment

or interpretation of existing regulation

that does not change the environmental

effect of the rule being amended.

Accordingly, neither an environmental

assessment nor an environmental

impact statement is required.

G. Review Under Small Business

Regulatory Enforcement Fairness Act of

1996

As required by 5 U.S.C. 801, DOE will

report to Congress on the promulgation

of the rule prior to its effective date. The

report will state that it has been

determined that the rule is not a ‘‘major

rule’’ as defined by 5 U.S.C. 804(3).

List of Subjects in 10 CFR Part 1008

Privacy.

Issued in Washington, D.C. on November

25, 1997.

Archer L. Durham,

Assistant Secretary for Human Resources and

Administration.

For the reasons set forth in the

preamble, 10 CFR part 1008 is amended

as set forth below:

PART 1008—RECORDS MAINTAINED

ON INDIVIDUALS (PRIVACY ACT)

1. The authority citation continues to

read as follows:

Authority: 42 U.S.C. 7101, et seq.,

Executive Order 12091, (42 FR 46267), 5

U.S.C. 552a.

2. Section 1008.12 is amended by

adding paragraphs (b)(2)(ii)(M) and

(b)(3)(ii)(O) to read as follows:

§ 1008.12 Exemptions.

* * * * *

(b) * * *

(2) * * *

(ii) * * *

(M) Allegation-Based Inspections

Files of the Office of Inspector General

(DOE–83).

(3) * * *

(ii) * * *

(O) Allegation-Based Inspections Files

of the Office of Inspector General (DOE–

83).

* * * * *

[FR Doc. 97–33600 Filed 12–23–97; 8:45 am]

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