MD 3.4, Release of Information to the Public
Release of Information to the Public
text
TN: DT-09-01
To: All NRC Employees
Subject: Transmittal of Management Directive 3.4, “Release of
Information to the Public”
Purpose: Directive and Handbook 3.4 are being revised to reflect
guidance on the timing of release of documents to the
public, to add consolidated guidance on the withdrawal of
documents from the Agencywide Documents Access and
Management System (ADAMS) Public Library, and to
reflect the agency’s revised policy on protection and
disclosure of information.
No change bars have been used because of the extent of
the revision.
Office and
Division of Origin: Office of Information Services
Information and Records Services Division
Contact: Thomas E. Smith, 301-415-7043
Date Approved: December 1, 1999 (Revised: February 6, 2009)
Volume: 3 Information Management
Part: 1 Publications, Mail, and Information Disclosure
Directive: 3.4 Release of Information to the Public
U.S. NUCLEAR REGULATORY COMMISSION
DIRECTIVE TRANSMITTAL
OFFICE OF ADMINISTRATION
- 2 -
Availability: Rulemaking, Directives, and Editing Branch
Office of Administration
Michael T. Lesar, 301-492-3663
Christy Moore, 301-492-3675
Release of Information
to the Public
Directive
3.4
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 iii
(Revised: February 6, 2009)
Contents
Policy ....................................................... 1
Objectives ................................................... 1
Organizational Responsibilities and Delegations of
Authority .................................................. 3
Chairman . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Deputy Executive Director for Information Services and Chief Information
Officer (DEDIS/CIO) .......................................... 4
Director, Computer Security Office (CSO) and Chief Information Security
Officer (CISO) .............................................. 4
Director, Office of Information Services (OIS) ......................... 5
Secretary of the Commission, Office of the Secretary of the Commission
(SECY) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
General Counsel (GC), Office of the General Counsel (OGC) ............ 7
Inspector General (IG) ........................................... 7
Director, Office of Enforcement (OE) ................................ 8
Director, Office of Investigations (OI) ............................... 8
Director, Office of Nuclear Security and Incident Response (NSIR) ........ 9
Director, Office of Federal and State Materials and Environmental
Management Programs (FSME) ................................ 9
Director, Office of Public Affairs (OPA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Office Directors and Regional Administrators . . . . . . . . . . . . . . . . . . . . . . . . . 10
Inspectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Agency Allegation Advisor, Assistant Agency Allegation Advisor,
and Allegation Coordinators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
NRC Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Guidance Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Approved: December 1, 1999 1
(Revised: February 6, 2009)
U. S. Nuclear Regulatory Commission
Volume: 3 Information Management
Part: 1 Publications, Mail, and Information
Disclosure
OIS
Release of Information to the Public
Directive 3.4
Policy
(3.4-01)
The U.S. Nuclear Regulatory Commission makes as much
information as possible available to the public relating to its health
and safety mission, in accordance with its legal responsibilities to
protect specific types of information. It is the intent of NRC to
routinely make information publicly available that is anticipated to
be of interest to the public to make it unnecessary for persons to
file a request for the information under the Freedom of Information
Act (FOIA). Also, this directive requires review of Commission
Decision Documents (SECY papers [SECYs], Commission
memoranda [COMs], and staff requirements memoranda [SRMs])
for mandatory release under the FOIA, 5 U.S.C. 552(a)(1) and
(a)(2). (011)
This directive and handbook do not govern public disclosure of
information requested under the FOIA, or information subject to
disclosure under the Privacy Act, the Government in the Sunshine
Act, the Federal Advisory Committee Act, or NRC management
directives (MDs) that govern the release of other types of
documents and information. (012)
Objectives
(3.4-02)
• To provide the NRC staff with general policy guidance on the
release of agency information to the public, including draft and
predecisional documents and information. (021)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
2 Approved: December 1, 1999
(Revised: February 6, 2009)
Objectives
(3.4-02) (continued)
• To ensure that documents will not be provided to a licensee or
a member of the public unless they can be made available
generally through the Agencywide Documents Access and
Management System (ADAMS) Publicly Available Records
System (PARS) (referred to as the ADAMS Public Library in
this directive and handbook), to all persons, except under the
conditions described in Part II, Sections (A) and (B), of
Handbook 3.4. (022)
• To ensure that staff documents are developed and issued
without improper influence, real or perceived, by special
interest groups, applicants, licensees, permittees, or their
subcontractors or agents (hereafter referred to as
“licensees”). (023)
• To ensure that sufficient flexibility is provided to office directors
and regional administrators so that they and their staffs will be
able to disseminate appropriate Safeguards Information and
Sensitive Unclassified Non-Safeguards Information (SUNSI) to
licensees. (024)
• To provide guidance to the NRC staff about the types of
documents that should be released to the public through the
ADAMS Public Library. A SUNSI review is performed before
public release of a document through the ADAMS Public
Library to determine if the document contains information the
loss, misuse, modification, or unauthorized access of which
could reasonably be foreseen to harm the public interest, the
commercial or financial interest of the entity or individual to
whom the information pertains, the conduct of NRC and
Federal programs, or the personal privacy of individuals. (025)
Additional guidance from the Fuel Cycle Safety and Safeguards
Division, Office of Nuclear Material Safety and Safeguards
(NMSS/FCSS), on the release of information pertaining to
domestic fuel cycle facilities regulated by NRC can be found in
ADAMS (ML072840477).
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 3
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03)
Chairman
(031)
May request the Inspector General to conduct reviews of the
agency’s information disclosure policies and practices, the results
of which may be released to the public at the Chairman's
discretion.
Commission
(032)
• Approves the release of documents created by, communicated
to, or received from the Commissioners and their staffs. Note:
OGC makes decisions on documents generated by former
Commissioners. (a)
• Approves new requests to remove a particular document type
or class of information that has formerly been made public and
directs such documents be withdrawn from ADAMS or the
Public Document Room (PDR) when such requests raise policy
issues. (b)
Executive Director for
Operations (EDO)
(033)
• Approves the release of any draft inspection report or
enforcement document to any organization or person outside
of the NRC. (a)
• Approves the release of Agency Action Review Meeting
(AARM) information. (b)
• Approves new requests to remove a particular document type
or class of information that has formerly been made public and
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
4 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Executive Director for
Operations (EDO)
(033) (continued)
directs such documents be withdrawn from ADAMS or the PDR
if that action does not raise policy issues. (c)
Deputy Executive Director for
Information Services and Chief
Information Officer (DEDIS/CIO)
(034)
Provides oversight and policy direction for releasing information to
the public.
Director, Computer Security Office (CSO)
and Chief Information Security Officer (CISO)
(035)
Directs, administers, and oversees NRC’s Computer Security
Program.
• Develops information technology security policy. (a)
• Oversees NRC information systems to ensure an appropriate
level of security is implemented. (b)
• Reviews and approves information system sensitivity levels. (c)
• Serves as the focal point for the NRC for receiving, resolving,
tracking, monitoring, and reporting of computer security
incidents. (d)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 5
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Director, Computer Security Office (CSO)
and Chief Information Security Officer (CISO)
(035) (continued)
• Authorizes removal of documents from ADAMS resulting from
a computer security incident. (e)
Director, Office of Information
Services (OIS)
(036)
• Develops NRC policy relating to release of information to the
public. (a)
• Provides policy guidance to other offices on the release of
information to the public. (b)
• Develops policies and procedures for placing documents into
ADAMS and provides oversight of ADAMS operations. (c)
• Develops policies and procedures for providing members of the
public access to NRC's publicly available records through the
ADAMS Public Library and through the NRC public Web site.
(d)
• Ensures that public records are available in the ADAMS Public
Library and that pre-ADAMS legacy public records are
available through the PDR. (e)
• Maintains the FOIA Web page identifying and providing agency
documents subject to the mandatory disclosure provisions of
the FOIA, 5 U.S.C. 552(a)(1) and (a)(2). (f)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
6 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Director, Office of Information
Services (OIS)
(036) (continued)
• When documents are inadvertently released in the ADAMS
Public Library or the PDR, ensures that the agency policy is
implemented regarding withdrawal of the documents. (g)
• Directs, administers, and oversees NRC's development and
implementation of NRC policy and procedures on SUNSI. (h)
• Provides guidance on the actions that should be taken to
withdraw a document that is inadvertently released to the
public when the document contains SUNSI (e.g., proprietary
information, Personally Identifiable Information [PII]). (i)
• Maintains the “Guidance for Determining the Public Availability
of NRC Documents” and updates it consistent with office
requests. (j)
• Conducts annual assessments of the accuracy with which NRC
staff are applying the agency’s criteria for designating records
as public or non-public. (k)
Secretary of the Commission, Office of
the Secretary of the Commission (SECY)
(037)
• Identifies Commission Decision Documents (SECYs, COMs,
and SRMs) subject to mandatory release under the FOIA,
5 U.S.C. 552(a)(1) and (a)(2), and determines whether any
portions should be redacted before public release because
they fall within the scope of an FOIA exemption. (a)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 7
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Secretary of the Commission, Office of
the Secretary of the Commission (SECY)
(037) (continued)
• Identifies and provides documents generated by former
Commissioners to the Office of the General Counsel for
release determination. (b)
General Counsel (GC), Office of the
General Counsel (OGC)
(038)
• Provides legal advice as needed to SECY and OIS regarding
whether a document must be released to the public, or other
persons or organizations, and how to handle such releases. (a)
• Approves release of documents generated by former
Commissioners. (b)
Inspector General (IG)
(039)
• Approves the release of IG investigative records to any
organization or person outside of the NRC. (a)
• Approves the placement of Investigative Event Inquiries to be
released to the public on the OIG page of the NRC public Web
site. (b)
• Ensures all draft audit and special evaluation reports are
stamped “Draft - Official Use Only - Sensitive Information” and
maintained in the official files. (c)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
8 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Inspector General (IG)
(039) (continued)
• Approves the placement of the final audit and special
evaluation reports in ADAMS and the release of these reports
to the public through the ADAMS Public Library. (d)
Director, Office of Enforcement (OE)
(0310)
• Approves the release of enforcement information in appropriate
circumstances, including settlements and other agreements.
(a)
• Approves the release of the Office of Investigations (OI) reports
to licensees or interested parties in advance of enforcement
action after consultation with the Director of OI and, as
warranted, with the Department of Justice. (b)
Director, Office of Investigations (OI)
(0311)
• Approves the release of OI investigative records to any
organization or person outside of the NRC. (a)
• Approves the release of redacted copies of OI investigative
records to the public through the ADAMS Public Library. (b)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 9
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Director, Office of Nuclear Security and
Incident Response (NSIR)
(0312)
• Plans, develops, establishes, and administers policies,
standards, and procedures for the NRC Classified Information
Security Program and the NRC Safeguards Information
Security Program. (a)
• Advises and assists authorized classifiers with classifying,
declassifying, and downgrading NRC-originated classified
or potentially classifiable information requested under the
FOIA. (b)
• Provides guidance on the actions that should be taken to
withdraw a document that is inadvertently released to the
public when the document contains classified information,
Safeguards Information, or proprietary information. (c)
Director, Office of Federal and State
Materials and Environmental
Management Programs (FSME)
(0313)
Approves, in coordination with the Office of the General Counsel
(OGC), and as appropriate, the EDO, the IG, Directors of OE or
OI, or the Agency Allegation Advisor, the release to Agreement
States of documents that are not publicly available.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
10 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Director, Office of Public Affairs (OPA)
(0314)
• Distributes electronically via NRC’s public Web site NRC press
releases, speeches, fact sheets, statements for the record,
brochures, and videos to the public and the media. (a)
• Ensures that if a video news release is developed by the
agency, it is clearly identified as an NRC product and is
reviewed and approved by the Office of Public Affairs, in
consultation with the Office of the General Counsel, before it is
issued. (b)
Office Directors and
Regional Administrators
(0315)
• Implement the policies and procedures in this directive and
handbook for the release of information to the public. (a)
• Provide additional guidance or procedures specific to the
requirements of their offices or regions, as necessary. (b)
• Protect draft and predecisional information from being
inadvertently released. (c)
• Grant permission for the release of draft or predecisional
information, as appropriate, and maintain a written record
of the release, except that certain information generated during
the development of an inspection or enforcement document
should not be released. Note that draft or predecisional
information related to inspection findings or potential
enforcement actions should not be released. (d)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 11
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Office Directors and
Regional Administrators
(0315) (continued)
• Ensure the prompt and appropriate dissemination of safety
information and Safeguards Information to licensees when
required to resolve a significant safety or safeguards issue, or
an emergency. These responsibilities may be redelegated to
the deputy office director or the deputy regional administrator.
(e)
• Take corrective action in the event that any information for
which they are responsible is released contrary to NRC policy
and inform the EDO in writing of this action. (f)
• Refer matters involving the unauthorized release of documents
to the Office of the Executive Director for Operations and the
Office of the Inspector General (OIG). See Section 0318(f). (g)
• Ensure that the “Guidance for Determining the Public Availability
of NRC Records” is routinely reviewed and OIS is requested to
make changes when new document types are created or
received by the office or the public availability of existing
document types needs to be modified. (h)
• Refer matters involving the unauthorized release of information
that involves information technology to CSO. (i)
Inspectors
(0316)
• Where approved by regional management, may, in preparing
for exit interviews or enforcement meetings, provide a listing of
significant issues developed in the course of an inspection to
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
12 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
Inspectors
(0316) (continued)
the licensee in order to facilitate the communication of
inspection findings that require corrective actions. (a)
• Note: Inspection notes, draft reports, draft evaluations, draft
notices of violations or noncompliance, and other material
containing preliminary inspection conclusions, findings, and
recommendations are not to be provided to the licensee,
except as required by safety, environmental, or security
concerns. (b)
• Attach a copy of the information provided to the licensee to the
inspection report for the record. (c)
Agency Allegation Advisor, Assistant Agency
Allegation Advisor, and Allegation Coordinators
(0317)
Approve the release of allegation information to an organization or
person outside of the NRC.
NRC Employees
(0318)
All NRC employees and consultants must, as applicable—
• Protect all draft and predecisional documents, including draft
inspection and enforcement documents, from inadvertent
release. (a)
• Ensure that appropriate Document Availability and Document
Sensitivity is assigned to each document submitted for ADAMS
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 13
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
NRC Employees
(0318) (continued)
processing and that documents intended for release to the
public are properly marked (include “Date to be Released” and
“SUNSI Review Complete” annotation). This instruction applies
to internally generated documents that staff add to ADAMS and
submit to the Document Processing Center (DPC) for
completion as well as paper versions under the NRC Form 665
submitted to the Document Control Desk for entry into ADAMS
by DPC. (b)
• Ensure that the rationale for each public or non-public
designation is documented as described in Handbook 3.4,
Part IV. (c)
• Obtain permission from the appropriate supervisor when
questions arise concerning releasability of information before
the information is released. (d)
• Contact the regional or program office allegation coordinator or
the Agency Allegation Advisor before release of documents or
submittal to ADAMS if it appears the documents contain
allegations. (e)
• Report promptly the unauthorized disclosure of agency
information. This report may be transmitted through the
supervisor to the office director or the regional administrator,
who shall refer the unauthorized disclosure to the EDO and
OIG, or it may be sent directly to OIG. (f)
• Report promptly the unauthorized disclosure of agency
information that involves information technology, for example,
facsimile, printers, computers, to CSO. (g)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
14 Approved: December 1, 1999
(Revised: February 6, 2009)
Organizational Responsibilities and
Delegations of Authority
(3.4-03) (continued)
NRC Employees
(0318) (continued)
• Contact the Director of OI for guidance before authorizing the
release of any OI investigative materials or reports. (h)
Applicability
(3.4-04)
This directive and handbook apply to all NRC employees,
contractors, and consultants.
Handbook
(3.4-05)
Handbook 3.4 explains NRC policy governing the public availability
of information in its possession.
Guidance Document
(3.4-06)
“Guidance for Determining the Public Availability of NRC Records”
assists staff in making decisions about the public or non-public
status of documents. To aid staff in determining which documents
should routinely be made public, “NRC Documents Routinely
Released to the Public” (formerly Exhibit 1) has been separated
from MD 3.4 and can be found on the NRC internal Web site at
http://www.internal.nrc.gov/information-resources.html as
“Guidance for Determining the Public Availability of NRC Records.”
This document is designed to be frequently updated. This updating
is the responsibility of all offices and regions.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
Approved: December 1, 1999 15
(Revised: February 6, 2009)
References
(3.4-07)
Code of Federal Regulations
10 CFR 2.390, “Public Inspections, Exemptions, Requests for
Withholding.”
10 CFR Part 9, “Public Records.”
Executive Orders
Executive Order 12958, as amended, “Classified National
Security Information,” March 28, 2003.
Nuclear Regulatory Commission Documents
Guidance for Determining the Public Availability of NRC
Records.
How To Respond to an Initial FOIA Request (ML060590485).
Internal Commission Procedures.
NRC Personally Identifiable Information Breach Notification
Policy (ML072140170).
Management Directives
3.1, “Freedom of Information Act.”
3.2, “Privacy Act.”
7.4, “Reporting Suspected Wrongdoing and Processing
OIG Referrals.”
8.8, “Management of Allegations.”
8.14, “Agency Action Review Meeting.”
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Directive 3.4
16 Approved: December 1, 1999
(Revised: February 6, 2009)
References
(3.4-07) (continued)
12.2, “NRC Classified Information Security Program.”
12.5, “NRC Automated Information Security Program.”
12.6, “NRC Sensitive Unclassified Information Security
Program.”
12.7, “NRC Safeguards Information Security Program.”
NUREG/BR-0273, "ADAMS Desk Reference Guide."
United States Code
Atomic Energy Act of 1954, as amended, Sections 141 to 148
(42 U.S.C. 2161-2168).
Federal Advisory Committee Act, as amended (5 U.S.C. App. I).
Freedom of Information Act, as amended (5 U.S.C. 552).
Government in the Sunshine Act, as amended (5 U.S.C. 552b).
Inspector General Act, as amended (5 U.S.C. App. 3).
Privacy Act of 1974, as amended (5 U.S.C. 552a).
Release of Information
to the Public
Handbook
3.4
Volume 3, Part 1, - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Parts I - V
Approved: December 1, 1999 iii
(Revised: February 6, 2009)
Contents
Part I
Introduction ................................................... 1
Part II
Release of Draft and Predecisional Documents and Information .. 3
Release of For-Comment Documents to the Public (A) . . . . . . . . . . . . . . . . . . 3
Information Not Requiring Approval Before Release (B) ................. 3
Necessary Communications (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Draft Research Documents (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Draft NRC Documents to Other Federal Agencies (3) ................ 4
Information Requiring Approval Before Release (C) .................... 5
Predecisional Documents (1) ................................... 5
Emergency Release of Information (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Final Release of Information (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Retention of Predecisional Information (4) ......................... 6
Destruction of Predecisional Information (5) ....................... 7
Draft Agreement State Documents (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Release of Commission Information (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Release of Reports From the Office of the Inspector General (OIG) (8) . . 8
Release of Reports From the Office of Investigations (OI) (9) .......... 9
Release of Enforcement Documents (10) . . . . . . . . . . . . . . . . . . . . . . . . . 9
Release of Agency Action Review Meeting Information (11) . . . . . . . . . . . 9
Release of Allegation Information (12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Release of Video News (13) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Part III
Information Received From Outside Entities and Persons . . . . . . . . 12
Receipt of Records (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Notification of Supervisor (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Release of the Record to the ADAMS Public Library (C) . . . . . . . . . . . . . . . . 13
Release of the Response to the ADAMS Public Library (D) . . . . . . . . . . . . . . 13
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Parts I - V
iv Approved: December 1, 1999
(Revised: February 6, 2009)
Contents (continued)
Part IV
Policy on Timing the Release of Documents to the Public . . . . . . . . 14
Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
General Release Policy (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Determining the Release Date (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Newly Received Documents From External Parties (2) . . . . . . . . . . . . . . . 15
Documents Produced by the Staff Addressed to External Parties (3) . . . . 15
Documents Produced by the Staff Addressed to Internal Addressees
or Documents With No Specific Addressee (4) . . . . . . . . . . . . . . . . . . . 15
General Instructions for Making NRC-Generated Documents
Publicly Available (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Exceptions to the General Release Policy (6) . . . . . . . . . . . . . . . . . . . . . . 17
Making Externally Generated Documents Publicly Available in
ADAMS (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Relationship of This Policy to the Release of Information Through
NRC's Public Web Site (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Documenting the Rationale for Non-Public Designations (9) . . . . . . . . . . . 24
Part V
Withdrawal of Documents From the ADAMS Public Library
and/or the NRC Public Document Room . . . . . . . . . . . . . . . . . . . . . . . . . 26
Procedures for Withdrawing Documents From the ADAMS Public
Library or the Public Document Room (A) . . . . . . . . . . . . . . . . . . . . . . . . . 26
Documents Inadvertently Released to the Public (B) . . . . . . . . . . . . . . . . . . . 26
Documents Withdrawn From the Public Domain by Agency Policy (C) . . . . . . 28
Personally Identifiable Information in Submittals by External Entities
and Persons (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
The NRC has prepared additional guidance for staff on releasing information to the
public. Please go to the following url to view the following documents or refer to ADAMS
for the individual documents: http://www.internal.nrc.gov/information-resources.html.
“Guidance for Determining the Public Availability of NRC Records”
“NRC Information Not Routinely Released to the Public”
“NRC Policy and Guidance Regarding Sensitive Information”
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part I
Approved: December 1, 1999 1
(Revised: February 6, 2009)
Part I
Introduction
This handbook elaborates on policy in the directive governing the
public availability of information in NRC's possession. The NRC
staff routinely will make available to the public the types of
information listed in a separate document entitled “Guidance for
Determining the Public Availability of NRC Records,” which can be
found in ADAMS or on the NRC internal Web site at
http://www.internal.nrc.gov/information-resources.html, unless the
information is exempt from disclosure by statute, Executive Order,
or regulation, or not disclosed to the public pursuant to agency
policy. (A)
During the course of their duties, NRC employees deal with many
forms of sensitive information that either should not be released to
members of the public or should not be released prematurely. This
information includes more than just information that is categorized
as “Restricted Data” or “National Security Information” and that
carries formal classifications such as “Top Secret,” “Secret,” or
“Confidential,” as defined in the Glossary to Volume 12, “Security,”
of the NRC Management Directives System. It also includes
Safeguards Information (SGI) and Sensitive Unclassified NonSafeguards Information (SUNSI). SUNSI includes allegation
information, investigative information, security-related information,
proprietary information, Privacy Act/personally identifiable
information (PII), and Federal, State, foreign government, and
international agency controlled information. SUNSI also includes
sensitive internal information, such as attorney-client privilege,
attorney work product, predecisional enforcement information or
adjudicatory information, intra-agency communications with other
Government agencies, and drafts, particularly draft inspection
reports and draft audit reports. While documents containing such
information may eventually be approved for release by the
appropriate authority, some of this information may never be
approved for release outside of the NRC. (B)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part I
2 Approved: December 1, 1999
(Revised: February 6, 2009)
Premature or unauthorized release of this information could
jeopardize NRC agency actions and actions of other Federal
agencies such as the Department of Justice. It could also
adversely affect national security, lead to diminished respect for
this agency, and cause a loss of agency credibility with the public
and with other Federal agencies. In some cases, release could
invade an individual's privacy or compromise a confidential
agreement. All of these outcomes diminish the NRC's ability to
perform its regulatory function: to protect public health and safety,
the common defense and security, and the environment. (C)
The “Guidance for Determining the Public Availability of NRC
Records” also contains a list of NRC guidance and policy
documents related to sensitive information. (D)
Staff guidance for screening documents for information that could
be useful to a terrorist is located at http://www.internal.
nrc.gov/NRC/Guidance/. This SUNSI review is a security/
sensitivity review to determine whether a document should be
released to the public. Detailed SUNSI guidance is located at
http://www.internal.nrc.gov/sunsi/, and the staff is to certify by
entering the text “SUNSI Review Complete” in the Agencywide
Documents Access and Management System (ADAMS) Keyword
field that the review has been made when it submits a document
to the Document Processing Center for public release through the
ADAMS Public Library. (E)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
Approved: December 1, 1999 3
(Revised: February 6, 2009)
Part II
Release of Draft and Predecisional
Documents and Information
Release of For-Comment Documents to the Public (A)
This part does not apply to documents specifically disseminated
to the public for comment, such as draft environmental impact
statements, draft regulatory guides, and proposed rules.
Information Not Requiring Approval
Before Release (B)
Necessary Communications (1)
The policies contained in this directive and handbook are not
intended to impede necessary communications between the NRC
staff and licensees, vendors, or other industry representatives,
organizations, or persons outside of NRC in the normal course of
agency business. These business activities include the
development of initial NRC staff regulatory or technical findings,
preparation of generic communications, evaluation of events at
facilities, draft inspection findings, and the collection, analysis, and
verification of information. Accordingly, this type of information
need not receive prior approval before release. (a)
In the event that there is an emergency, or if a significant safety,
environmental, or safeguards issue appears to require immediate
action, NRC personnel, at their discretion, may discuss with, show
to, or provide the licensee involved any pertinent material they
believe circumstances so warrant. (b)
The NRC employee approving release of any written
communication to licensees or the public shall, in the event of an
emergency, send it to the Document Processing Center (DPC)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
4 Approved: December 1, 1999
(Revised: February 6, 2009)
Information Not Requiring Approval
Before Release (B) (continued)
Necessary Communications (1) (continued)
with a clear indication that it is to be released to the ADAMS Public
Library. Note: These communications must not be released to the
public if they contain information described as exempt from public
disclosure in the companion guidance to this handbook found on
http://www.internal.nrc.gov/information-resources.html. The
employee shall transmit the material to ADAMS in accordance with
Part IV, Section (B), of this handbook. (c)
Draft Research Documents (2)
Draft research reports, studies, data, or other documentation
based on information obtained from an outside party that may be
discussed or exchanged with those parties and other participants
in a study or research program are not subject to dissemination
restrictions contained in this directive and handbook. However,
proprietary information may not be released to the public without
the express permission of the owner of the information.
Draft NRC Documents to Other Federal Agencies (3)
Draft NRC documents, except for draft inspection and enforcement
documents, sent to other Federal agencies seeking their advice,
recommendations, and opinions, or providing advance notice to
such agencies, may be discussed with and disclosed to those
agencies before being made available to the general public. This
exemption does not apply when the other Federal agency is or
may become an NRC licensee, or when the other agency is
seeking certification, a permit, or concurrence from NRC.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
Approved: December 1, 1999 5
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C)
Predecisional Documents (1)
In the normal course of conducting regulatory activities,
communications with outside parties are at times necessary
regarding initial NRC staff positions, license conditions,
confirmation of action letters, inspection findings, enforcement
actions, preparation of bulletins and information notices, events at
other facilities, and so forth. These communications can occur in
advance of the issuance of final NRC documents regarding these
activities for the purpose of— (a)
• Gaining factual information (i)
• Assessing the cost, feasibility, and benefit of, or alternatives to,
proposed actions or achieving settlements of actions (ii)
• Alerting licensees to initial staff positions or safety findings in
order that corrective actions can be initiated promptly (iii)
However, these draft documents, or information contained in these
documents, must not be discussed with, given to, or shown to any
licensee or the public by NRC without prior approval as specified
in Section (3.4-03), "Organizational Responsibilities and
Delegations of Authority," of Directive 3.4. (b)
Emergency Release of Information (2)
Under no circumstances should any information contained in draft
investigation or inspection reports be released to licensees, their
agents, or to any source external to the NRC without prior
approval as specified in Section (3.4-03) of Directive 3.4.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
6 Approved: December 1, 1999
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Final Release of Information (3)
Final documents, unless exempt from disclosure by statute,
Executive Order, regulation, or not disclosed to the public pursuant
to agency policy, other than reports of investigation from the Office
of Investigations, will be distributed to ensure that the public,
licensees, NRC contractors, and other Government agencies have
access to information they need to fulfill their responsibilities. Final
documents provided to licensees will be released to the public
through the ADAMS Public Library through the DPC.
Retention of Predecisional Information (4)
Documents must be retained under the following conditions: (a)
• If retention is necessary to adequately and properly document
agency action, then working files, such as preliminary drafts
and rough notes, and other similar materials shall be
maintained if both the following conditions are met: (i)
– They were circulated or made available to employees, other
than the creator, for such official purposes as approval,
comment, action, recommendation, followup, or to
communicate with agency staff about agency business. (a)
– They contain information, such as substantive annotations
or comments included therein, that adds to a proper
understanding of the agency's formulation and execution of
basic policies, decisions, actions, or responsibilities. (b)
• A Freedom of Information Act (FOIA) request for these
documents has been received for which copies have been
provided to the FOIA office. (ii)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
Approved: December 1, 1999 7
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Retention of Predecisional Information (4) (continued)
• The documents are to be included in the regulatory history of
a proposed or final rulemaking submitted to the Office of the
Federal Register for publication. (iii)
• The originator's management has instructed that the
documents be retained for future agency use. (iv)
Individuals may retain personal file copies of documents that
would be useful in the review of the employee's work by superiors
for the time necessary or as needed after the work has been
completed and issued to the public. (b)
Destruction of Predecisional Information (5)
In the interest of sound records management policy, draft
documents, background material, notes, and extra copies of
office-file documents should be destroyed after the final version
has been issued unless it should be retained under Section (5)
below. For additional guidance, see Management Directive
(MD) 3.53.
Draft Agreement State Documents (6)
Programmatic predecisional documents, including draft rulemaking
plans; drafts of proposed rules, final rules and policies; and draft
internal procedures, generic letters, and information notices may
be routinely distributed to all Agreement States for their
information, review, and comment, with prior approvals as
specified in Section (3.4-03) of Directive 3.4. (a)
Other more sensitive NRC predecisional documents, such as
proposed enforcement actions, draft orders or demands for
information, and draft confirmatory action letters or information
dealing with allegations and investigations, will be shared with
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
8 Approved: December 1, 1999
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Draft Agreement State Documents (6) (continued)
Agreement States on a need-to-know basis only if those States
have agreed to protect this information from public disclosure and
have prior approvals as specified in Section (3.4-03) of Directive
3.4. (b)
Release of Commission Information (7)
Documents created by, communicated to, or received from the
Commissioners and their staffs must receive prior approval from
the Commissioners before their release. For an FOIA request for
the records of a former Commissioner, OGC makes the
determination whether the documents should be disclosed.
Commission Decision Documents must be screened for
compliance with the FOIA, 5 U.S.C. 552 (a)(1) and (a)(2), so that
qualifying documents are properly identified for mandatory
release. (a)
These documents will be released to the public through the
ADAMS Public Library and placed on the NRC’s external Web site
only by SECY in accordance with guidelines contained in the
Internal Commission Procedures. (b)
Release of Reports From the Office of the Inspector General
(OIG) (8)
Draft audit reports are considered predecisional and should not be
released to the public and will not be placed in ADAMS or released
to the public through the ADAMS Public Library. Drafts are to be
maintained in office files with restricted access or in the Central
Files vault because this area has restricted access. (a)
Final audit reports and special evaluation reports will be placed in
ADAMS and released to the public through the ADAMS Public
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
Approved: December 1, 1999 9
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Release of Reports From the Office of the Inspector General
(OIG) (8) (continued)
Library only at the request of OIG. These reports will not be placed
in Central Files. (b)
Regulatory commentary is provided to program offices without
restrictions. (c)
Release of Reports From the Office of Investigations (OI) (9)
Draft investigative reports are considered predecisional and should
not be released to the public and will not be placed in ADAMS or
released to the public through the ADAMS Public Library. (a)
Final investigative reports will not be placed in ADAMS or released
to the public through the ADAMS Public Library without approval
by the Director of OI. (b)
Release of Enforcement Documents (10)
Draft enforcement documents are considered predecisional and
should not be released to the public and will not be placed in
ADAMS or released to the public through the ADAMS Public
Library. (a)
Draft confirmatory orders exchanged with licensees in negotiating
issuance of confirmatory orders will not be placed in ADAMS or
released to the public through the ADAMS Public Library. (b)
Release of Agency Action Review Meeting Information (11)
The Office of the Executive Director for Operations (OEDO)
approves the release of records pertaining to the NRC Agency
Action Review Meeting (AARM) process, which is described in
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
10 Approved: December 1, 1999
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Release of Agency Action Review Meeting Information (11)
(continued)
MD 8.14, “Agency Action Review Meeting.” These records include
AARM-related plant performance information, the applicable
sections of the AARM background material, and the minutes of the
AARM. When a request, except an FOIA request, is received for
AARM information, OEDO shall be notified upon collection of the
applicable records by the responsible offices, and records shall be
forwarded to OEDO for release authorization. When AARM
information is sought under the FOIA, see MD 3.1, “Freedom of
Information Act,” for guidance. (a)
The following guidelines apply for AARM information: (b)
• Records pertaining to a plant that was discussed during the
AARM may be released upon screening and redaction of
proprietary material, personal privacy material, and material
that might compromise investigative efforts or reveal the
identity of an alleger. (i)
• Records pertaining to plants for which the NRC's intended
actions following the AARM are different from those conveyed
previously may be released after screening and redaction of
proprietary material, personal privacy material, and material
that might compromise investigative efforts or reveal the
identity of an alleger. (ii)
• Records pertaining to a plant that was not designated “an
AARM discussion plant” and that did not have intended actions
following the AARM different from those conveyed previously,
absent an FOIA request, shall normally not be released to
the public. (iii)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part II
Approved: December 1, 1999 11
(Revised: February 6, 2009)
Information Requiring Approval
Before Release (C) (continued)
Release of Allegation Information (12)
Allegation information should not be released to the public and will
not be released to the ADAMS Public Library without the approval
of the regional or program office Allegation Coordinator, the
Agency Allegation Advisor, or the Assistant Agency Allegation
Advisor. When allegation information is sought under the FOIA,
see MD 3.1, “Freedom of Information Act,” for guidance. MD 8.8,
“Management of Allegations,” also should be consulted for
guidance on handling allegation information.
Release of Video News (13)
It is the policy of NRC that if a video news release is developed by
the agency, it is clearly identified as an NRC product and is
reviewed and approved by the Office of Public Affairs, in
consultation with the Office of the General Counsel, before it is
issued. See MD 5.5, “Public Affairs Program,” for policy and
objectives on video news releases.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part III
12 Approved: December 1, 1999
(Revised: February 6, 2009)
Part III
Information Received From Outside
Entities and Persons
Receipt of Records (A)
Management will be involved in reviewing and deciding
appropriate action to take when NRC employees receive
documents from outside the NRC. (1)
This part does not pertain to records obtained through the
investigative process of the Office of Investigations or the
Allegation Management Program. (2)
Periodically, NRC staff members receive records from representatives of industry or from industry organizations with the express
or apparent intent of receiving preliminary NRC staff views or
preliminary staff evaluations of the acceptability of the documents
before their official submission to NRC or before industry takes an
official action regarding an NRC-regulated activity. These records
are not submitted as part of an established regulatory process,
such as a licensing proceeding, rulemaking, or development of
generic procedures or regulatory guides. These records may be
sent to the agency as correspondence or handed to the staff at
meetings or conferences. (3)
Any staff member receiving such a document must inform the
individual or industry organization providing the record that it will
be released to the public through the ADAMS Public Library. If the
information appears to contain proprietary or other sensitive
information, the industry organization or individual should be asked
to submit the document by letter to agency management under the
provisions of 10 CFR 2.390, including appropriate markings and an
affidavit providing justification for protection from public disclosure.
The submitter of the proprietary information also should provide
a nonproprietary version with brackets showing
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part III
Approved: December 1, 1999 13
(Revised: February 6, 2009)
Receipt of Records (A) (continued)
where the proprietary information has been deleted. The
document is to be processed under the provisions of 10 CFR 2.390. (4)
Notification of Supervisor (B)
The staff member receiving such a record shall promptly notify his
or her supervisor that the record has been received and shall
coordinate with the supervisor the agency action appropriate to the
record.
Release of the Record to
the ADAMS Public Library (C)
Records received by the staff from industry under this part will be
released to the public through the ADAMS Public Library before
any staff action on the documents subject to the standards set
forth in 10 CFR 2.390. Any record to be released to the public
through the ADAMS Public Library must be transmitted to the
Document Processing Center (DPC), as set forth in Part IV,
Section (B)(5), “General Instructions for Making NRC-Generated
Documents Publicly Available.” The records also would constitute
agency records covered by 10 CFR Part 9 and may be made
available to the public in response to a request unless exempted
by the Freedom of Information Act (FOIA).
Release of the Response to the
ADAMS Public Library (D)
Any written or oral agency response to the document must be
coordinated with the responder's immediate supervisor before
being communicated to the industry organization or individual. A
written response must be released to the public through the
ADAMS Public Library by transmitting it to the DPC, as set forth in
Part IV, Section (B)(5).
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part IV
14 Approved: December 1, 1999
(Revised: February 6, 2009)
Part IV
Policy on Timing the Release
of Documents to the Public
Introduction (A)
The following policy specifies goals for timing the release of
documents to the public through the Agencywide Documents
Access and Management System (ADAMS). The intent is to
establish a clear goal for release of documents to the public that
allows adequate time for them to be received by addressees,
provides sufficient time for documents sent to NRC to be properly
reviewed by the staff, and makes documents available to the
public promptly.
General Release Policy (B)
Determining the Release Date (1)
Documents generated by NRC are to be released to the public by
the 6th working day after the date of the document. For example,
if the document is dated Monday, October 15, 2007, its release
date will be Tuesday, October 23, 2007. The time period provided
will allow 5 full working days for the addressee to receive the
document. Note that there may be circumstances in which it is
appropriate to release these documents earlier. For example,
internally generated documents addressed to external entities may
be released earlier than the 5-day goal when the staff has verified
that the addressee has, in fact, received them. (a)
Externally generated documents received by NRC are to be
released to the public by the 6th working day after the document
is added to the ADAMS Main Library. This time period will allow 5
working days for the staff to review a document received by NRC
to ensure no proprietary, privacy, or other sensitive information is
made public. (b)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part IV
Approved: December 1, 1999 15
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Newly Received Documents From External Parties (2)
Newly received documents from external parties are to be made
available to the public no later than 5 working days after they are
added to the ADAMS Main Library, thus providing public access
by the sixth day after they are added to ADAMS. This time period
will allow the document to be reviewed to prevent the release of
incoming documents that should not be released, such as
documents containing proprietary information [Sensitive
Unclassified Non-Safeguards Information (SUNSI)] or potential
allegations.
Documents Produced by the Staff Addressed to External
Parties (3)
Documents produced by the staff addressed to external parties are
to be released no later than 5 working days after the date of the
document, thus providing public access by the sixth day after the
date of the document. In the case of document packages (i.e., a
cover letter with one or more attachments), the release date will be
5 working days after the date of the cover letter. This time period
will give the recipient an opportunity to read the document before
it is made publicly available. There will be instances when it is
desirable to make documents available sooner than 5 days. In
these instances, documents entered into ADAMS may be made
available after the staff has contacted the addressee and has
verified that the document has been received.
Documents Produced by the Staff Addressed to Internal
Addressees or Documents With No Specific Addressee (4)
Documents produced by the staff addressed to other internal
addressees or documents with no specific addressee shall be
released no later than 5 working days after the date of the
document, thus providing public access by the sixth day after the
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part IV
16 Approved: December 1, 1999
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Documents Produced by the Staff Addressed to Internal
Addressees or Documents With No Specific Addressee (4)
(continued)
date of the document. This time period will give the recipient an
opportunity to read the document before it is made publicly
available in ADAMS.
General Instructions for Making NRC-Generated Documents
Publicly Available (5)
Detailed guidance for adding documents to ADAMS and making
them publicly available can be found in ADAMS under “ADAMS
Document Submission Guidelines Step-by-Step Instructions”
(ML010390040). To make a single electronic file in ADAMS
publicly available, follow the instructions below for filling out the
ADAMS document profile. To make multiple electronic files, mixed
packages (combination of electronic file(s) and paper), or paper
documents publicly available in ADAMS, follow the guidance in
ML010390040. To make a single NRC document publicly
available, the following fields must be properly entered in the
ADAMS document profile: (a)
– The Document Class must be Draft (this category is changed
to Official Record by the ADAMS Document Processing
Center [DPC] during the declaration process).
– The Availability must be Publicly Available.
– The Document Sensitivity must be either Non-Sensitive or
Non-Sensitive Copyright.
– The Date to be Released must contain an appropriate date in
accordance with this policy.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
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Handbook 3.4 Part IV
Approved: December 1, 1999 17
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
General Instructions for Making NRC-Generated Documents
Publicly Available (5) (continued)
– A SUNSI review must be completed. See http://www.internal.
nrc.gov/sunsi/.
– The Keyword field must contain the text “SUNSI Review
Complete.” Before adding the text “SUNSI Review Complete”
to the Keyword field, staff are responsible for ensuring that the
necessary review has been completed by the appropriate
individual(s) within their office.
Note: If the document is non-public, the Keyword field must
contain the item number from the “Guidance for Determining the
Public Availability of NRC Records,” as determined by the
document originator. (b)
In addition, under the Security Tab, the ADAMS Group NRC
Users should be given Viewer access rights and the DPC should
be assigned Owner rights. When the profiling is complete, copy
the document into the ADAMS Document Processing Center
(DPC) Processing folder, “Normal Processing for DPC,” in the
ADAMS Main Library. (c)
Exceptions to the General Release Policy (6)
Exceptions to this policy are documents that require the
following: (a)
– an immediate release
– a release earlier than the 5-day policy
– a longer time period before release
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
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Handbook 3.4 Part IV
18 Approved: December 1, 1999
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Exceptions to the General Release Policy (6) (continued)
Circumstances may require the immediate release of a document.
If a document, such as a press release, must be released to the
public immediately, follow the instructions for profiling the
document above, then copy the document into the ADAMS DPC
Processing folder, “Immediate Public Release for DPC,” in the
ADAMS Main Library. The document will be released within 4
working hours. (b)
Various types of documents and the circumstances surrounding
them may require an earlier release than that stated in the
general release policy but not necessarily an immediate release.
For example, internally generated documents addressed to
external entities may be released earlier than the 5-day goal when
the staff has verified that the addressee has received the
document. Other examples of documents requiring an earlier
release are preliminary notifications and public meeting notices. (c)
Some circumstances may require a longer time period before
release of a document because of the nature of the document and
the complexity of the business processes involved in making them
final. Document types that fall into this category and are currently
exempted from the NRC’s general release policy are listed in the
“Public Release Timeliness (PRT) Report Criteria for Internally
Generated Documents Added to ADAMS,” available in ADAMS
under ML072350623. (d)
If an office believes that it has another document type that typically
cannot be released to the public in accordance with the NRC’s
general release policy and should be exempted, it may request an
exemption by submitting a request (from a division director or
above) to the Director of the Information and Records Services
Division (IRSD), OIS. The request should describe the specific
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Handbook 3.4 Part IV
Approved: December 1, 1999 19
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Exceptions to the General Release Policy (6) (continued)
document types for which you are seeking exemption and a
justification. IRSD staff will review each request and, pending
approval, take action necessary to develop appropriate exemption
criteria. (e)
Making Externally Generated Documents Publicly Available
in ADAMS (7)
Incoming Documents (a)
Externally generated (incoming) documents are received at the
Headquarters (HQ) Document Control Desk (DCD), at one of
the regional ADAMS intake stations, or are delivered directly to an
HQ office mail station for the HQ offices that have chosen that
option. See Chapter 11, “Handling Externally Generated
Documents (Incoming Mail),” of the ADAMS Desk Reference
Guide (NUREG/BR-0273) for detailed information about how
incoming documents are received and processed into ADAMS.
Documents that are marked as containing sensitive
information (i)
Incoming documents that are clearly marked as containing
sensitive information (for example, proprietary or personally
identifiable information [PII]) are added to ADAMS by the DPC or
regional intake station and profiled with the appropriate Document
Sensitivity value, Non-Publicly Available.
Documents that are not marked as containing sensitive
information (ii)
With some exceptions, documents that are not marked as
containing sensitive information are added to ADAMS by the DPC
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Handbook 3.4 Part IV
20 Approved: December 1, 1999
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Making Externally Generated Documents Publicly Available
in ADAMS (7) (continued)
or regional intake station and profiled as Non-Sensitive, NonPublicly Available, and the text “Non-Public Pending Review” is
added to the Keyword field.
Official Agency Records (b)
The DPC will complete the profiling and declare the documents as
Official Agency Records (OARs), then electronically distribute
them to the appropriate NRC recipients using the Electronic
Regulatory Information Distribution System (e-RIDS). E-RIDS is an
NRC custom-written distribution program (utilizing the ADAMS
“Send To” feature and the agency’s e-mail services) that
disseminates documents to NRC staff listed on standard
distribution patterns. E-RIDS recipients receive an e-mail
notification that displays a brief description of the document (or
package) and provides (in the attachment field) an icon that links
the viewer to the document (or package) in ADAMS. The
attachment field also contains an e-RIDS sheet that shows the
complete distribution that the document (or package) received.
Non-Public Pending Review Documents (c)
NRC staff in the office responsible for the document (owning
office) are responsible for reviewing the documents profiled as
Non-Public Pending Review for sensitive information before they
are made available to the public. When the document review has
been completed, staff must send an e-mail to the OIS ADAMS
Support Center (e-mail address ADAMS IM) regarding the
Availability, Document Sensitivity, and Date to be Released. If the
document is not public, add the item number describing the nonpublic category from the “Guidance for Determining the Public
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
Release of Information to the Public
Handbook 3.4 Part IV
Approved: December 1, 1999 21
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Making Externally Generated Documents Publicly Available
in ADAMS (7) (continued)
Availability of NRC Records.” For documents that can be released,
the ADAMS Support Center will profile the document as NonSensitive, Publicly Available, add the text “SUNSI Review
Complete,” and the document will be released to the public on the
date to be released. For documents that contain sensitive
information, staff must designate the specific Document Sensitivity
value and the ADAMS groups that are to be granted viewer rights
to the document, and the Support Center will profile the document
with the appropriate Document Sensitivity value, Non-Publicly
Available, add the text “SUNSI Review Complete” and the item
number from the “Guidance for Determining the Public Availability
of NRC Records” to the Keyword field, and viewer rights will be
restricted to those groups designated by the owning office. (i)
The exceptions to processing the documents that are not marked
as containing sensitive information are for most Office of Nuclear
Reactor Regulation (NRR) documents associated with 10 CFR Part 50 operating reactors and most Office of New Reactors
(NRO) documents associated with 10 CFR Part 52 Early Site
Permits, Standard Design Certifications, and Combined Licenses
for Nuclear Power Plants (including pre-application project-related
documents with formally assigned project numbers). NRR and
NRO have established business rules with OIS to have these
documents profiled as Non-Sensitive, Publicly Available, with a
date to be released to the public of 5 working days after they were
added to the ADAMS Main Library. NRR and NRO staff review
these documents to ensure that they contain no sensitive
information before their date to be released is reached. (ii)
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Handbook 3.4 Part IV
22 Approved: December 1, 1999
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Making Externally Generated Documents Publicly Available
in ADAMS (7) (continued)
Documents Received By an HQ Office Mail Station (d)
For the HQ offices that have chosen to receive their incoming mail
directly, office staff are responsible for reviewing the documents
and determining which documents need to be scanned and
entered into ADAMS, determining if the document contains
sensitive information, and providing the DCD with the document
and a completed NRC Form 665s or 665p. Staff must indicate on
the NRC Form 665 how the document is to be profiled (Document
Availability, Document Sensitivity, Document Security Access, the
appropriate ADAMS template number, and the item number from
the “Guidance for Determining the Public Availability of NRC
Records”) if it is non-publicly available and must certify that the
SUNSI review has been completed for publicly available
documents only. Upon receipt of the document and completed
NRC Form 665, the DCD and the DPC will complete the profiling
in accordance with the instructions on the NRC Form 665 and
declare the documents as OARs. For documents that can be
released, the DPC will profile the document as Non-Sensitive,
Publicly Available, calculate and add the appropriate date to be
released, add the text “SUNSI Review Complete” to the Keyword
field, and the document will be released to the public on the date
to be released. (i)
In some cases, OIS has developed special document processing
workflows to handle bulk quantities of externally generated mail
with similar indexing requirements. These offices include the Office
of the Secretary (SECY) and the Commission (ticketed
correspondence, public comments in response to Federal Register
notices, adjudicatory filings), the Office of the Executive Director
for Operations (OEDO) (ticketed correspondence), the Office of
Administration (ADM) (public comments in response to Federal
Register notices, contracts and contract modifications), and the
Office of the Chief Financial Officer (OCFO) (general licensee
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
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Handbook 3.4 Part IV
Approved: December 1, 1999 23
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Making Externally Generated Documents Publicly Available
in ADAMS (7) (continued)
submissions transmitting fee payments). These offices annotate
each document with the appropriate e-RIDS distribution code,
ADAMS template number, and if the document is non-public, the
item number from the “Guidance for Determining the Public
Availability of NRC Records,” and send multiple documents to the
DCD/DPC either through the internal mail system, drop-offs at the
DCD, or by regularly scheduled pickups by the DPC contractor.
Individual NRC Forms 665s or 665p are not required for these
special workflows. (ii)
Relationship of This Policy to the Release of Information
Through NRC's Public Web Site (8)
ADAMS is the NRC's official means of making agency documents
available to the public. In the past, publicly available documents
were sent to the Public Document Room (PDR) on paper and
microfiche and posted on the NRC Web site. Since ADAMS
became an NRC official recordkeeping system in April 2000, all
newly created or newly received documents posted on the public
Web site since that date are to be released to the public through
ADAMS before being posted on the Web site if ADAMS is the
official recordkeeping system for the documents. Often display of
records on the NRC Web site can be made technically easier by
linking the document to its ADAMS Accession Number. Therefore,
the OIS Web staff may ask that documents created before April
2000, or for which ADAMS is not the official recordkeeping system,
be placed in ADAMS and made available in the ADAMS Public
Library so that the document can be linked to the ADAMS
Accession Number.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure
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Handbook 3.4 Part IV
24 Approved: December 1, 1999
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Documenting the Rationale for Non-Public Designations (9)
The document profile for all OARs in ADAMS with a Document
Date of 04/01/09 or later must contain the code for the non-public
designation, which is set forth in the “Guide for Determining the
Public Availability of NRC Records.”
NRC-Generated Documents (a)
Before submitting a document to the DPC for final processing, staff
must add the specific item number from the “Guidance for
Determining the Public Availability of NRC Records” (found at
http://www.internal.nrc.gov/information-resources.html) to the
Keyword field in the ADAMS Document Profile only if it is nonpublic. For example, if a document is to be made non-publicly
available because it is listed under the section titled “NRC
Documents Not Routinely Released to the Public” as item number
B.6 in the “Guidance for Determining the Public Availability of
NRC Records,” the entry in the Keyword field would be “MD 3.4
Non-Public B.6.”
Externally Generated Documents (b)
Documents Sent Directly to the DCD. The DPC will enter the
appropriate item number from the “Guidance for Determining the
Public Availability of NRC Records” to the Keyword field in the
ADAMS Document Profile for externally generated documents that
are sent directly to the DCD and are not profiled as “Non-Public
Pending Review.” (i)
Documents Received by an HQ Office Mail Station. NRC staff are
responsible for identifying and providing to the DCD the
appropriate item number from the “Guidance for Determining the
Public Availability of NRC Records” for documents that are
received by an HQ Office Mail Station and then provided to the
DCD for entry into ADAMS. The DPC will enter the item number
into the Keyword field in the format described above. (ii)
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Handbook 3.4 Part IV
Approved: December 1, 1999 25
(Revised: February 6, 2009)
General Release Policy (B)
(continued)
Documenting the Rationale for Non-Public Designations (9)
(continued)
Non-Public Pending Review Documents. When NRC staff
complete their review of documents profiled as “Non-Public
Pending Review” and contact the ADAMS Support Center to
finalize the document availability as either Publicly Available or
Non-publicly Available, they must notify the Support Center of the
item number if the document is non-public from the “Guidance for
Determining the Public Availability of NRC Records”
(http://www.internal.nrc.gov/information-resources.html). The
Support Center will enter the item number into the Keyword field
in the format described above. (iii)
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Handbook 3.4 Part V
26 Approved: December 1, 1999
(Revised: February 6, 2009)
Part V
Withdrawal of Documents From the
ADAMS Public Library and/or the NRC
Public Document Room
Procedures for Withdrawing Documents
From the ADAMS Public Library or the
Public Document Room (A)
When it is determined that a document already released to the
public should be removed from the Agencywide Documents
Access and Management System (ADAMS) Public Library and/or
the Public Document Room (PDR), the removal must be
authorized by an NRC division director or a higher level official in
the office originating the document or the office that has primary
responsibility for the document in accordance with specific
notification procedures set forth in the ADAMS Desk Reference
Guide. To request removal, the division director or a higher level
official must provide written justification to the ADAMS Support
Center and request that the document be removed from the
ADAMS Public Library and/or the PDR. If a document is to be
removed from ADAMS because of security concerns (e.g.,
Safeguards Information (SGI), Sensitive Unclassified NonSafeguards Information (SUNSI), personally identifiable
information (PII)), all access to the document is removed except
for administrative access. The Computer Security Office (CSO)
must then be notified. CSO will authorize complete document
removal upon completion of the computer security incident
response procedures.
Documents Inadvertently
Released to the Public (B)
When a document not authorized for public release, including
allegation information and classified information, Safeguards
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Release of Information to the Public
Handbook 3.4 Part V
Approved: December 1, 1999 27
(Revised: February 6, 2009)
Documents Inadvertently
Released to the Public (B) (continued)
Information, or other National Security or Homeland Security
Information, is inadvertently released to the public by the NRC, its
contractors, or other Government agencies, the Executive Director
for Operations (EDO) and the Inspector General (IG) shall be
promptly advised in writing of the occurrence. If information
technology (IT) (e.g., facsimile, printers, computers) is involved in
the release, then CSO must be notified. The circumstances under
which the document was inadvertently released should be
described, as well as the actions taken, including coordination with
or approvals obtained from an office director, the EDO, or the
Commission. Refer to Management Directive 7.4, “Reporting
Suspected Wrongdoing and Processing OIG Referrals,” for
additional guidance. If the document has been placed in the
ADAMS Public Library or in the NRC Public Document Room
(PDR) and the responsible division director decides that the
document should be withdrawn from the public domain, that
responsible division director shall notify the ADAMS Support
Center to remove the documents in accordance with the
procedures in Section (A) above and advise the EDO and the IG
of this action. Additionally, all inadvertent releases of information
must be reported immediately to the Senior IT Security Officer or
Computer Security Office in accordance with instructions found at
the following address: http://www.internal.nrc.gov/ois/it-security/
incident-resp.html#inadvertent_spill. (1)
In the case of an inadvertent release of allegation information, the
Agency Allegation Advisor shall be contacted promptly, in addition
to the EDO. Any allegation information inadvertently released to
the public through the ADAMS Public Library or the NRC PDR
shall be immediately withdrawn. (2)
In the case of an inadvertent release of classified information, SGI,
or other National Security or Homeland Security Information, the
Office of Nuclear Security and Incident Response (NSIR) shall be
contacted promptly. The Director of NSIR will provide guidance to
the office and the Director of OIS on the actions to be taken to
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Handbook 3.4 Part V
28 Approved: December 1, 1999
(Revised: February 6, 2009)
Documents Inadvertently
Released to the Public (B) (continued)
withdraw the document from the public domain. If IT is involved in
the inadvertent release, CSO must also be notified of the
event. (3)
In accordance with established policy, NRC actively protects PII
from access by, or disclosure to, unauthorized individuals. In case
of a breach in PII, staff should refer to the guidance in the “NRC
Personally Identifiable Information Breach Notification Policy.”
Agency personnel are to comply with the procedures for response
and notice to affected individuals, other Federal agencies, and the
media, as appropriate. These policies and procedures govern
breaches by agency personnel that may result in unauthorized
access, either internal or external to the NRC, whether involving
electronic systems or paper documents. For more details, please
see ML072640285 or go to http://www.nrc.gov/site-help/privacy.
html. (4)
Documents Withdrawn From the
Public Domain by Agency Policy (C)
When agency senior management decides that a particular
document type or class of information that has formerly been
made public will no longer be made public and directs that
such documents or information be withdrawn from the ADAMS
Public Library or the PDR, a division director or a higher level
official will ensure that concurrence or approval from the
appropriate office, the EDO, and the Commission is obtained. The
responsible official shall notify the ADAMS Support Center to
remove the documents in accordance with the procedures
specified in Section (A) above and provide documentation
supporting the removal request, including coordination with or
approvals by an office director, the EDO, or the Commission.
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Approved: December 1, 1999 29
(Revised: February 6, 2009)
Personally Identifiable Information
in Submittals by External Entities
and Persons (D)
NRC policy, as set forth in 10 CFR 2.390, makes available to the
public the correspondence and other information related to NRC's
mission activities that are received from or sent to individual
citizens, applicants, licensees, and other organizations (including
the submitter’s name, home address, home or personal telephone
numbers, or personal e-mail addresses included in the
correspondence). If submitters do not want this information
automatically released to the public, they must make a written
request that it not be made publicly available. (1)
NRC, at its discretion, may also withhold this information if it
determines there is a compelling reason for not making the
information public. Absent a written request for withholding
information, NRC does not routinely review applicant and licensee
incoming correspondence and related information to determine if
the submitted information may constitute sensitive information that
should not be made publicly available. However, if such
information is identified by the staff in the course of normal work,
NRC may, at its discretion, withhold such information from the
public or, if it has been made public, withdraw it from the public
domain. (2)
Such information would be personal privacy information, for
example, social security numbers, medical or financial information
about persons other than the submitter, family matters, or
information on those other than the applicant/licensee submitter
that could, if disclosed, substantially harm a person’s reputation
and standing in the community where the matter does not involve
enforcement of statutes or regulations. However, the staff could
also identify other information considered sensitive, such as
security-related information that should be withdrawn. Such a
determination is to be accompanied by the standard that the staff
is applying as the basis for the withdrawal of the information. (3)
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Handbook 3.4 Part V
30 Approved: December 1, 1999
(Revised: February 6, 2009)
Personally Identifiable Information
in Submittals by External Entities
and Persons (D)
(continued)
When the staff identifies information believed to be sensitive in
applicant or licensee submittals, the responsible division director
or higher level official shall coordinate with the Office of the
General Counsel as to whether the information constitutes
sensitive information that should be withdrawn from the ADAMS
Public Library or the PDR. If a document contains sensitive
information that should be withdrawn, the entire document should
be withdrawn. The ADAMS Support Center is to be notified to
remove the document in accordance with the procedures specified
in Section (A) above. In accordance with standards reflected in
10 CR 2.390, NRC may exercise its discretion to subsequently
make public a properly redacted version of the document. (4)