[Federal Register Volume 62, Number 247 (Wednesday, December 24, 1997)]
[Rules and Regulations]
[Pages 67518-67519]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-33600]



[[Page 67517]]

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Part VI





Department of Energy





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10 CFR Part 1008



Records Maintained on Individuals (Privacy Act); Final Rule



Privacy Act of 1974; Establishment of a New System of Records; Notice

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

[[Page 67518]]



DEPARTMENT OF ENERGY

10 CFR Part 1008

RIN 1901-AA62


Records Maintained on Individuals (Privacy Act)

AGENCY: Department of Energy.

ACTION: Final rule.

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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

[[Page 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:


Sec. 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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