ML18164A061
| ML18164A061 | |
| Person / Time | |
|---|---|
| Issue date: | 06/12/2018 |
| From: | Stephanie Blaney Information Services Branch |
| To: | Tarver J - No Known Affiliation |
| References | |
| FOIA, FOIA 2017-0429, NRC-2018-000064 | |
| Download: ML18164A061 (4) | |
Text
NRC FORM 464 Part I U.S. NUCLEAR REGULATORY COMMISSION NRC RESPONSE NUMBER (03-2018)
~~,uJ,>fl llltgt,'-t,.o I NRC 2018 00006411 1
I
'll RESPONSE TO FREEDOM OF
~,";J C
INFORMATION ACT (FOIA) REQUEST
\\+,.;
RESPONSE D INTERIM 0 FINAL TYPE REQUESTER:
DATE:
!Julian Tarver 11 06/12/2018 I
DESCRIPTION OF REQUESTED RECORDS:
First 100 released pages ofFOIA 2017-0429 PART I. -- INFORMATION RELEASED
[ZJ The NRC has made some, or all, of the requested records publicly available through one or more of the following means:
(1) https://www.nrc.gov; (2) public ADAMS,.b.tlQs://www.nrc.gov/reading-rm/adams.html; (3) microfiche available in the NRC Public Document Room; or FOIA Online, https://foiaonline.regulations.gov/foia/action/public/home.
[ZJ Agency records subject to the request are enclosed.
D Records subject to the request that contain information originated by or of interest to another Federal agency have been referred to that agency (See Part 1.0 -- Comments) for a disclosure determination and direct response to you.
D We are continuing to process your request.
[ZJ See Part 1.0 -- Comments.
PART I.A -- FEES D You will be billed by NRC for the amount indicated.
[ZJ Since the minimum fee threshold was not AMOUNT met, you will not be charged fees.
I
$0.00 I D You will receive a refund for the amount indicated.
D Due to our delayed response, you will not D Fees waived.
be charged fees.
PART 1.8 -- INFORMATION NOT LOCATED OR WITHHELD FROM DISCLOSURE D
We did not locate any agency records responsive to your request. Note: Agencies may treat three discrete categories of law enforcement and national security records as not subject to the FOIA ("exclusions"). See 5 U.S.C. 552(c). This is a standard notification given to all requesters; it should not be taken to mean that any excluded records do, or do not, exist.
D We have withheld certain information pursuant to the FOIA exemptions described, and for the reasons stated, in Part II.
D Because this is an interim response to your request, you may not appeal at this time. We will notify you of your right to appeal any of the responses we have issued in response to your request when we issue our final determination.
D You may appeal this final determination within 90 calendar days of the date of this response. If you submit an appeal by mail, address it to the FOIA Officer, at U.S. Nuclear Regulatory Commission, Mail Stop T-2 F43, Washington, D.C. 20555-0001. You may submit an appeal by e-mail to FOIA.resource@nrc.gov. You may fax an appeal to (301) 415-5130. Or you may submit an appeal through FOIA Online, https://foiaonline.regulations.gov/foia/action/public/home. Please be sure to include on your submission that it is a "FOIA Appeal."
PART 1.C -- REFERENCES AND POINTS OF CONTACT You have the right to seek assistance from the NRC's FOIA Public Liaison by submitting your inquiry*at https://www.nrc.gov/reading-rm/
foia/contact-foia.html, or by calling the FOIA Public Liaison at (301) 415-1276.
If we have denied your request, you have the right to seek dispute resolution services from the NRC's Public Liaison or the Office of Government Information Services (OGIS). To seek dispute resolution services from OGIS, you may e-mail OGIS at ogis@nara.gov, send a fax to (202) 741-5789, or send a letter to: Office of Government Information Services, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. For additional information about OGIS, please visit the OGIS website at https://www.archives.gov/ogis_.
NRC FORM 464 Part I (03-2018)
Please note:
U.S. NUCLEAR REGULATORY COMMISSION RESPONSE TO FREEDOM OF INFORMATION ACT (FOIA) REQUEST PART I.D -- COMMENTS NRC RESPONSE NUMBER I NRC 2018 00006411 1
RESPONSE D TYPE INTERIM I./ I FINAL The response to FOIA/PA 2017-0429 consisted of 2 pages only and the requested records are already publicly available.
Since you stated that you do not have access to a computer, we are providing courtesy copies.
Signature - Freedom of Information Act Officer or Designee Stephanie A. Blaney f Digitally signed by Stephanie A. Blaney 1/>Gate: 2018.06.12 12:06:04 -04'00' I
I
* _____... _______ _:*_ ----**... -.----------*--. --*--**---~------******. ;------------***-- -*--*- ---** ---**-~ ------------------* ----
CttAIRMAN MEMORANDUM.TO:
FROM:
UNlTEO STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, o.c. iosss-0001 Februar.22, 2017 (b)(6)
Kristine L. Svinicki. Chairman.
REQUEST FOR TEMPORARY WAIVER-FROM PROHIBiTED SECURITIES R.ESTRICTION On January 9. 2017. you $Ubmttted to the,OffiQe ofthe General Counsel {OGC) a request for a tempo.rary waiv.er trom.1the tequirements.:of 5 *C.F;R. § 5801.102. This regulation establishes a list ofsecurffies*that coverectNRC emp1oyee$. and ~he spouses and m1nor*.cnildr~n of thos.e employees. *are prohibited from :awnin_g, $pecifically;you asked that the requir~ments of SC;F~R.§S.801.102:bewajyed,.fuatyourson-ca_n_~ntinu~:owniog-1.450stJareso~~ne~I Electric stoclumt~(b)(6)
- ...'.:_. wh~n oe turns ElQe 1 B and 1$ no longer a '"mmor ohdd sut;;,Ject to the;prohibited.securltieiulile. Because:1he NRC'.s.Chairman is the deciding official on waiver reQuests of this type. OGC forwarded,YQur request to me'for review.
After reviewln.9 your reque~t. I.find -that atemporar:y*waiverfrnm the requirements or 5 C_ F.:R.
§ 5BD1. 102 is appropriate. The.waiver.I ~m granting exempts your son from the-requir~ment ttiat he diveSt tlie General Electric secu!ities:*h~ currently owns. Under the waiver, your*sqn may c;onlinue to hcll(tthese securities.1,1ntifiie tums 18, atwhicn t.ime he will nc;dongerbe subje~ 10 the.. prohibited sec\\.lrities n.iJ~. Youq,on may not.acquire other prohibited securities pijor.to his i&i' birthday. however,.not m_.ay he acquire additional shares of General,Electric
- stock frorrrthe date ofthis*tnemorandum unlilhe'lums 18. -Furthermore, this waiver is contingent upon yeu not working on any matter involving,G~neral Electric until *your son turns i8 The waiver also covers the brief period when you *were*no1 in compliance with the,f'iRC's prohibited secunties rule.. 'As yo.u aoknowleqged in a sign~ statem~nt 4pon Joinmg the NRC.
you had 90 d~y& to eJ_ ~~ yourspn dj$ted-his _interest in G~neraf ~tectf!C stock; Based on yourY,RC start date.of (D (6).
- your son needed to dJVest hts stock byUbJ(6) umm:J AcQOrdingiy. belWeen that date and.today's da.te, your son held securities t at were prohibited under the NRC's n.ile Notwithstanding this-brief periOd*Of noncompliance. Uind that a waiver would not be inconsistent viJith the govemrn~m-wide standards of ethical conduct in 5 -C.F.R Part 2635. nor would the wa,vE!r be rohibited b aw. According to yourwaiver request. you.have not worked on matters involvin b 6
- d the :NRC. and you do not expect any such matter.to come before you priQn ' (b.)(6)
' Assuming you do not work on matters Involving General Electric before your*son turns * *. granting a brief waiver for.your son:s stock interest would. not.be inconsistent with:the government-wide standards of ethical conduct or *t>e prohibited by law.
. 1 fur1hedi'no.that under the circumstances involved here. strict appiication of.the securities ovvnership restnctions in 5 C.F.R *§ 5801.102 is not necessary to ensure~.
- 1n the impartiality and obJectivity*of1he NRO's programs. Your son will turn 18 *
(li)(6)
- ' at Which time he will no longer be covered by the prohibited securities rule. Althoug you should have t
.. ~
I
- *.**.-,.-.._.,..--,1<,*.*,!",-...;**b"t.~-'!-**"t>.,,;,:-~--...,-,..,_ *...,.... *,,. ""*" *,~."** *. **....... '*.,-, *,., *. ***~******-*,-,~*-,.* ***:* "
_________ ::::._==--=-~::--:_~.. :~=::..-:"*_...,..*,...=.:~:~:::~*:**~-=~Y'" -~_,,,,.. ~-~~-.. --. **:**-*.. ** **-. --. _* --. *-----------***-.. ___, *--------*-*--:*----~-----.:..--*. ~--*
sought a waiver. or divested your son's stock iri~t~t. b b)(6)
. I find no sugg~tian you were trying to evade 1he prohibited secu ies rule. In fact. prior to Joining the
. NRC you consulted with both OGC and tne* Office of 1he Chief Human Capital Officer (OCFO) regard!ng this rule. You also emailed -OCFO questions retateq 0to divestiture during the 90,-day period after you joined ihe NRC. As your son's divestiture deadline approached. however. you should have contacted OGC directly with questions about your obligations under the prohibited securities rule. Should you have such questions in the future-or any olher*ethlcs~related questions-I encourage you to contact an ethies counsetor at eth,~ re~;nurcr;lf?l*~r~ goy.
To summariZe. I grant YOtJ a waiver exempting your son from the reouirement that he divest his Ge~ca'
- Ele~ttic :se}iuritie~- U~der the ~aiver. _your son ca~. conti~u: hold. ing these secu~ities untij (b}{6)
'-t wfl1ch time he will no longer be a ~n11nor child sub.ject to the prr;,h1bited securities rute. Your son may not. :hQwever. acquire additional shar~ of General Electric stock from the date of this memorandum until he turns 1
- F rthermore. the waiver is contingent upon you nof working on any matter irwoMng (b )(6)
- while.your son remains a minor.
cc: