ML20126F464

Forwards Rept on Administration of FOIA by NRC for CY80, Per Public Law 93-502

ML20126F464
Person / Time
Issue date:	02/26/1981
From:	Ahearne J NRC COMMISSION (OCM)
To:	Moffett T HOUSE OF REP., GOVERNMENT OPERATIONS
Shared Package
ML19250D552	List: ML20126F464
References
NUDOCS 8103160648
Download: ML20126F464 (23)

Text

.,

p Rio y* t UNITED STATES j

's j NUCLEAR REGULATORY COMMISSION WASHIN GTON, D.C. 20555 7

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%9 ,o February 26, 1981 OFFICE OF THE Ch ilRMAN The Honorable Toby Moffett, Chairman Subcommittee on Environment, Energy and Natural Resources Committee on Government Operations United States House of Representatives Washington, DC 20515

Dear Mr. Chairman:

Enclosed for your informt. tion are copies of a report on the administration of the Freedom of Information Act by the Nuclear. Regulatory Commission for calendar year 1980. In accordance'with Public Law 93-502 of November 21, 1974 (5 U.S.C. 552(d)), this report has been prepared and submitted to the Speaker of the House of Representatives and President of the Senate for referral to the appropriate committees of the Congress.

Sincerely, ,

John F. Ahearne Chairman

Enclosures:

As stated -

cc: Rep. Joel Deckard b.

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4 REPORT BY THE NUCLEAR REGULATORY C0!411SSION ON L THE ADMINISTRATION OF THE FREEDOM 0F INFORMATION ACT FOR 1980 ,

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. t 1.' (a) Total number of initial determinations made by the agency not to comply with requests for records made under 5 U.S.C. 552 during I

p calendar year 1980: < j 100 ..

L (b) Authority relied upon for each such determination: I

[

Exemptions in 5 U.S.C. 552(b):

(1) [

n Exemptions Invoked [

. (by number) -

Number of Times Invoked ,

'l 9 2- 0 '

- 3 '

13 4

28 -

5 -18 .

6 48-7A 8 7B 1 7C 4 -

7D 1 7E 1 1 7F 0 8 0 9 0 (2) Statute invoked pursuant to Exemption No. 3:

j Statutory Citation Number of Times Invoked ,;

42 U.S.C. 216?-2165 8 ,

42 U.S.C. 2167 5  ;

(3) The NRC also used the following exemptions of the Government in the Sunshine Act to withhold transcripts of closed Commission meetings: j Exemptions Invoked .

(by number) Number of Times Invoked i

1 3 6 2

• , 9

y d

2  !;

i

2. (a) . Total number of appeals made by persons from adverse initial decisions. pursuant t'o 5 U.S.C. 552(a)(6): ,

- (1) Number of appeals in which, upon review, th'e request was  !

granted in full: i 16*

(2) Number of appeals in which, upon review, the request was .,

denied in full: ,. 7  ;

17 (3) Number of appeals in which, upon review, the request was denied in part:

5

• Includes five appeals where the requester appealed the failure of the agency to respond within the 10 day response period.

Includes two appeals in which the requester was given access to the denied records only for his participation in a licensing proceeding.

. Includes two appeals in which the Commission determined to make the document subject to the appeal available; however, the originator of the document sued in Federal District Court to enjoin disclosure of the document. The Court has at this time barred disclosure of the document pending resolution of the various claims.

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(b) Authority relied upon for total or partial denials on appeal: '

(1) Exemptions in 5 U.S.C. 552(b):

Exemptions Invoked .

(by number) Number of Times Invoked 1 1 4 2 0 3 5*

4 .- : ' 6 5 -

7 6 4 7A 1 7B 0 7C 1 70 .0 7E 0 7F -

0 8 .

0 9 0 (2) Statute invoked pursuant to Exemption No. 3:

Statutory Citation Number of Times Invoked 42 U.S.C. 2161-2165 2 42 U.S.C. 2167 3

3. (a) Names and titles .or positions of each person who is responsible for the initial denial of records requested, and number of instances of participation of each:

NUMBER OF INSTANCES NAME OF PARTICIPATION

1. Joseph M. Felton, Director, Division of Rules 81 and Records, Office of Administration

2. John C. Carr, Acting Director, Division of Rules 1 l and Records, Office of Administration

3. Sheldon J. Wolfe, Chairman, Atomic Safety and Licensing i Board oSection 147 of the Atomic Energy Act (42 U.S.C. 2167) became effective on  :

June 30,1980. This Exemption 3 statute was used in three of the five appeals cited above. The NRC's use of Section 147 is now being challenged l in the U.S. District Court. The three cases were denied at the initial request stage, appealed, and then the requesters sued in District Court l before the NRC formally responded to the appeals. Accordingly, when the l agency received notice of the court action, the appeals were deemed

! administratively to be denied.

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3. (a) Continued .

NUMBER.0F INSTANCES NAME OF PARTICIPATION

4. James J. Cumingt., Director, Office of Inspector 6 and Auditor

5. Edward Hanrahan, Director, Office of Policy Evaluation 2

6. Leonard Bickwit, General Counsel .e - 3

7. Martin G. .Malsch, Deputy General Counsel 1

8. Samuel J. Chilk, Secretary of th.e Comm,ission 8

9. Raymond J. Brady, Director, Division of Security, 4 Office of Administration

10. Edward Halman, Director, Division of Contracts, 3 Office of Administration ,

11. James R. Shea, Director, Office of International 3 Programs

12. William J. Dircks, Director, Office of Nuclear Material 1 Safety and Safeguards

13. John G. Davis, Director, Office of Nuclear Material 29 Safety and Safeguards

14. Harold R. Denton, Director, Office of Nuclear Reactor 6 Regulation

15. Victor Stello, Jr., Director, Office of Inspection 17 and Enforcement

16. Edward E. Tucker, Director, Office of Equal Employment 1 Opportunity

3. (b) Names and titles or positions of each person, who, on appeal, is responsible for the denial of records requested, and the i

number of instances of participation in each:

NUMBER OF INSTANCES l- NAME OF PARTICIPATION

1. John F. Ahearne, Chairman, NRC 7 -

2. Joseph M. Hendrie, Commissioner, NRC 5

3. Victor Gilinsky, Commissioner, NRC 4 ,

l .. - ., . - . , . _ . _ - - - _ - _ . - . _ . . ~ , . - - _ - ~ , , - _ . - . - . . . , - - , - - - . . , , _ , __ ?

. i 5 I i

3. (b) Continued .

l NUMBER OF INSTANCES NAME OF PARTICIPATION l

4. Richard T. Kennedy, Commissioner, NRC 5

5. Peter A. Bradford, Commissioner, NRC 3

6. '(ee V. Gossick, Executive Director for Operations 2

7. William J. Dircks, Acting Executive Director for 9 Operations

8. William J. Dircks, Executive Director for Oper~ations 2  !

3o ('c) In 1980, NRC cited the following officials of other Federal' agencies as denying officials for information originated by other agencies -

and contained in records subject to FOIA requests. submitted to the NRC.

AGENCY OFFICIAL FOIA EXEMPTION Department of Louis V. Nosenzo, Deputy Assistant State (1)

Secretary Bureau of Oceans and International -

Environmental and Scientific Affairs Department of Clayton E. McManaway, Deputy A? :istant (1)&(5)

State Secretary Classificatior./ Declassification Center i f

Department of Thomas W. Aiasworth, Director State (1)&(5)

Mandatory Review Cl a s s i fi c a ti on/ Dec l a s s i fica ti ren Federal Bureau David G. Flanders, Chief (7A)&(78) of 2nvestigation Freedom of Information-Privacy Acts Branch .

Federal Bureau Joseph E. Ondrula, Assistant Agent (7A) of Investigation in Charge .

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4. The results of each proceeding conducted pursuant to 5 U.S.C. 552(a)(4)(F),  !

including a. report of the disciplinary action taken against the officer .

or employee who was'primarily responsible for improperly withholding  :

records, or an ecolanation of why disciplinary action was not taken: .

Response: There have been no findings of arbitrary or capricious [

conduct on the part of h3 personnel, or proceedings conducted pursuant to 5 U.S.C. 552(a)(4)(F).

5. A copy of every rule made by !.h'e agency regarding 5 U.S.C. 552.

Response: The NRC regulations 'mplementing the Freedom of Information Act are codified in Subpart A'of 10 CFR Part 9, a copy of which is enclosed.

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6. A copy of the fee schedule and the total amount of fees collected by

. the agency for making records availi.ble under 5 U.S.C. 552.

Response: The NRC fee schadule is set forth in 10 CFR 9.14. The total amount of fees collected by the NRC for making records' available under 5 U.S.C. 552 was $3,965.98, which incitdes $1,470.60 search fees and

$2,495.38 for the reproduction of recorcs.

In addition to the above fees, the NRC has entered into'a contract with a private firm to reproduce for the publie ' copies of records located at the NRC's Public Document Room in Washi1gton, DC. During 1980, ,

approximately $150,000 was received by the contractor for the reproduction of paper copy and microfiche.

7. Such other information as indicates effort u administer fully 5 U.S.C. 552.

Response: During 1980 NRC received 639 FOIA requests. Copies of FOIA requests and the records disclosed as a result of such requests are normally placed in the NRC Public Document Room in Washington, DC and, for records which relate to a specific nuclear facility, in the Local Public Document Room near that facility. This procedure provides the general public with access to the same records released to any individual.

The NRC Public Document Room and Local Public Document Rooms are open '

to the public during normal business hours, and copies of most licensing and related records are readily available to the public for inspection and copying. The NRC currently maintains approximately 150 Local Public Document Rooms throughout the country.

The accident at the Three Mile Island Nuclear Power Plant (TMI) on March 28,1979 served to awaken the American public to voice their concerns about nuclear issues generally. This in turn gave rise to an ,

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7. Continued .

increase in requests for information ranging from early nuclear test programs conducted in the 1940's to current items of interest such as the routing of spent fuel shipments through cities and towns.

The Freedom of Information Act has proven to be a popular vehicle not only for members of the public to obtain information about the nuclear industry, but for NRC employees who utilize the Act to receive information about themselves and internal personnel practices and procedures. NRC's policy has been to comply with both the spirit-and the' letter of the FOIA, such as by telephoning requesters to 1 keep them informed _concerning the status of their requests and by assisting them in tailoring requests so that they can be expeditiously handled by the agency at the least cos't to the requester.

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l UNITED STATES NUCLEAR REGULATORY COMMISSION RULES and REGULATIONS TITLE 10, CHAPTER 1 CODE OF FEDERAL REGULATIONS- ENERGY PART PUBLIC RECORDS 9

l l

9.56 Accompanying persons. 9.108 ' Certification, transcripts, record-Sec.

ings and minutes

• ' NRC PROCEDURES FOR PROCESSING 9.l a Subparts. 9,109 Report to Congress.

REQUESTS 9.2 Definitions. AP D Q 8 9.2a Interpretations. 9.60 Acknowledgment of requests. O 9.61 Procedures for processing requests Subpart A-Freedom of Information Act for records. exempt in whole or AUTHORITY: Sec. 161, Pub. L Regulations83-703, 68 Stat. 948, (42 U.S.C. 2201);

in part.

9.3 Scope of subpart. 9.62 Special procedures. Sec. 201, Pub. L.93-438, 88 Stat.1242

• * (42 U.S.C. 5841); Subpart A also issued DETERMINATIONS AND APPEALS under 5 U.S.C. 552; Subpart B also issued 9.4 Availability of records.

Exemptions. 9.65 Access determinations; appeals. under 5 U.S.C. 552a; Subpart C also 9.5 9.6 Deletion of identifying details, 9.66 Determinations authorizir.c or issued under 5 U.S.C. 552b. ~

9/i Publicly available records. denying correction of records; 9.8 Requests for records. appeals.

9.67 Statements of disagreement, g 9.1 Scope.

9.9 Initial determination.

Form and content of responses. 9.68 NRC statements of explanation. The regulations in this part implement:

9.10 9.11 Appeal from initial determina- 9.69 Notices of correction or dispute. (a) The ' provisions of the Freedom of tion. DISCLOSURE TO OTHERS OF Information Act, 5 U.S.C. 552, with 9.12 Production or disclosure of ex- RECORDS ABOUT INDIVIDUALS respect to the availability to the public of Nuclear Regulatory Commission records P.80 Disclosure of record to persons 9.13 Ext n n o t me for response. for inspection and copying;(b) the provi-other than the individual to sions of the Privacy Act of 1974, Pub. L.

9.14 Charges for production of rec- whom it pertains.

ords 93- 579, with respect to disclosure and 9.81 Notices of subpoenas.

9.14 e Waiver or reduction of fees. Notices of emergency disclosures. availability of certam Nuclear Regulatory 9.82 I 9.14 b Processing of requests for a waiver Commission records maintamed on indi-or Sec. FEES viduals; and (c) the provisions of the 9.15 Committees, boards, panels, and 9.85 Fees.. Government in the Sunshine Act, 5 U.S.C. 552b, with respect to opening ENFORCEMENT Commission meetings to public observa-m sion*

9.16 Annual report to Congress. 9.90 Violations. tion.

Subpart B-Privscy Act Regulations EXEMPTIONS 9.l a Subparts.

9.50 Scope of subpart. 9.95 Specific exemptions. Subpart A sets forth special rules 9.51 Definitions. Subpart C-Government in the Sunshine applicable to matters pertaining to the Act Regulations Freedom of Information Act. Subpart B PROCEDURES APPLICABLE TO REQUEST sets forth special rules applicable to mat-BY INDIVIDUALS FOR INFORMATION, 9J00 Sg MM ters pertaining to the Privacy Act of ACCESS OR AMENDMENT OF RECORDS n1 ns 1974. Subpart C sets forth special rules MilNTAINED ABOUT THEM g , , , nts "

PRESENTATION OF REQUESTS 9.103 General provisions [,P ' , , ", e S n e.

9.104 Closed meetings 9.52 Types of requests. 9.105 Commission procedures ~}9.2 Definitions.

9.53 Requests; how and where pre- As used in this part:

sented.

9.106 Persons affected and motions for reconsideration (a) "NRC" means the Nuclear Regula-9.54 Verification ofidentity of individ.

9,107 Public announcement of commis- tory Commission, estabbshed by the En-uals making requests.

sion meetiritts ergy Reorg.anization Act of 1974 9.55 Specification of records.

/

g.g August 1,1980

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1 1

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l PART 9 e PUBLIC RECORDS I

( b) "NRC personne!" means e m- l ;

'bi "Reccrd" means av boov, paper. l d) records specincally exempted

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ployees, consultants, and members of m. Ohntegraph. brochure. punch card R from disclosure by statute tother than 5 advisory boards, committees and panels '.4 N umphlet. t** " t u R '" " g U.S C. 552<b)), provided that such y9.ide, motion pleture,'"or

• statute til requires th t the m ttbe of the NRC; members of boards desig- u.her documentary matert:il regardless e withheld from the publica in suchaaers man-nated by the Commission to preside at A of furn. or chsr.utenstles made by. in ' ner as to leave no discretion on the issue, adjudicatory proceedings; and officers or 3 me pmeAshu of. c under the control U or (11) establishes particular criteria for of the NRC purhuant to Federal law or withholding or refers to carticular types employees of Government agencies; in ;g in connaction with the transartjon of of matters to be withheld, cluding military personnel, assigned to w pubhr business as evidence of NRC crga-duty at the NRC. S ruzation, f unctions, po!:eles, decisions' procedures. operations, progra ms or (4) Trade secrets and commercial or (c) ,' Commission,, means the commis-other activities. hcords" du net tnclude - financial information obtained from a sion of five members or a quctum thereof objects or artides such as structures. h person and privileged or confidential.

sitting as a body, as provided by section furniture,ur.d tangible exhibits or models. orE" Matter subject to this exemption is that vehicles equip ntnt.

g 20] of the Energy Reorganization Act of ' which is customarily held in confidence

1974 I 9.4 AnilWiin of reconi R by the originator. It includes, but is not e (d) " Government agency" means any ;; Any identinable record. whether in the himited to

8 executive department, milita ry depart- $ rossenion of the contractors. or NRC.

others its shallmntractors.

be its sub - (i) Information received in confi-ment Government corporation, Govern e made available for inspection and copy- dence, such as trade secrets, inventions ment controlled corporation, or other ing purruant to the provisions of this and discoveries, and proprietary data; establishment in the executive branch of part, upon request of any member of the (ii) Technical reports and data, de-the Government (including the Executive P" * '-

signs, drawings, specifications, formulae, Office of the president), or any indepen -

or other types of proprietary information dent regulatory agency. "" # '

which are generated or developed by the (c) " Working days" means Monday,, exfmp fr m pubbe e sN er NRC or for the NRC under contract; through Friday, except legal holidays.g I p.4: (iii) Statistical data or information e- (1) Records (1) which are specifically

_ concerning contract performance, in-

[ 9.2 a Int erpre t a tions. E ," t* tb d

",nde

,, der to bept g come, profits, losses, and expenditures,if Except as specifically authorized by ? the interest of national defense or for. received in confidence from a contractor eign po!!cy, and (11) which are in fact or potential contractor-*

g the Commission in writing, no interpreta- properly classined pursuant to such Ex-g tion of the meaning of the regulations in _ecutive order. (iv) [ Deleted 40 FR 8774.]

" this part by an officer or employee of the - (2) Records related solely to the inter- # "## E *~

w Commission other than a wmtten interpre. nal personnel rules and practices of the orandums or letters which would not be 7 tation by the General Counsel will be NRC. This emernption does not apply to rules available by law to a private party in the

• rk hours, leave,and w sting litigation with the NRC. To the extent recognized to be binding upon the Com , nlating icondicons of NRC person-missio n. E not so available by law, examples include, C E nel, or m that alrullar they cannot rnatters. To the without be disclosed extens [ but are not limited to:

Subpart A-Freedom of Information .

Act Regulations [ harm to the functions to which they per N (i) Reports, memorandums, letters, n tain, examples of exempt records of the

" type specined in the first sentence of this correspondence, work papers, minutes of 9.3 Scope of subpart, paragraph include, but are not limited meetings, and staff papers prepared for This subpart prescribes procedures un. to: use within the NRC or within the Execu-g g der w hich NRC records are made available us on tYr lpho edure ed$eIan me adMWkmWhM S to the public for inspection and copying methods utilized by NRC inspectors, investj, members of the Commission, NRC per-l @ pursuant to the provisions of 5 U.S.C. ,_gators, auditon, and esarniners; sonnel, or any Covernment agency, or (b/

an NRC contractor, or its p-rsonnel aet-552. This subrart does not affect ' the l~ till Bargaining positions and limita.

ing within the scope of a contract witb dissemination or distribution of NRC :- tions involved in a negot!ation prior to originated, or NRC contractor originated, G the execution of a contract or the com. the NRC; information to the public pursuant to any Z plett n of the sett n to a hich the bar- (ii) Adiance information on proposed NRC public, technical, or other informa e' raining plicab!e positions except as or !!mitations they may bewere ap-exernpt NRC p1ans M procure,Icase M other@-

tion program or policy, nor is it intended Q pursuant to other provisions of this acquire or dispose of materials, real es-to restrict or limit the free flow of Lsecuon. tate, facilities, or functions, when such information hetween the NRC and its (iii) rerwnnel policies, procedures and in, inf rmation would prodde undue or un-contiactors and subcontractors, structions; internal staffing ptans, fair competitive advantage to any person; or betmeen the NTtC and a Goverrunent k requirtrnenta, authoritations, controls, (iii) Records prepared for use in pro-agency. Except there spectneally noted m and supporting data relating to position ceedings before any Federal or State

[ otheralse, thb subpar 1 app!!es to all rec. [ management and manpomer utilization; court or administrative body;

! and information involved in the deter.

ord>4.wbether July lits 7. they predate or pestdate N rninat.!on of the quallocations of candl. (iv) Evaluations of contractors or

( 9.h De nnhions. pa s for employment or thancement ,, products; As used in this subpart: I (v) Information scheduled for public sat "O"re", urdess otherwise indi. h release, but as to which premature release c::ted, means n!! c5ces knd c! visions of .-

the NRC reporting to or through the Ex. e would be cor.trary to the pubh.c interest, ecuthe D.Tetor for Operations, ex*ept ' such as documents awaiting patent re-for the 03ce of the Executive Legal R ed nig n a t ed. N view; Director. $

s-August 1,1980 92

F PART 9

• PUBLIC RECORDS

- (vi) Reports of inspections or investi- l (8j Matters contained in or related t

' (2) Statements of policy and interpre-gations or surveys which pertain to the ecxamma: ton, operating, or condition re- tations which have been adopted by the i internal managemerrt or administration of ;"; ports prepared by, on behalf of, or for the NRC and have not been published in the the NRC; ' use of any Gournment agency rnponsi-g ftDER A1. REGISTER; (vii) Financial accounts and records a ble for the regulation or supervision of (3) A record of the final votes of each

& and supporting documents; budget docu M financialinstitutions. member of the Comrnission in every

• ments and supporting papers used or (9) Geological and geophys,i cal infor-proceeding; E arising in.the preparation and/or execu- mation and data (including maps) con.

(4) Nuclear Regulatory Commission a tion of a budget; annual and multiyear cermng weUs. rules and regulations; prograrn and financial plans and support I (b) Any reasonably segregable portion (5) Nuclear Regulatory Commission papers; audit reports, programs, work kof a record shaU be provided to any Manual and instructions to NRC person-papers, and other data developed during eperson requesting such record after dele. nel that affect any member of the public;

.,the couna of audits. ' tion of the portions which are exempt (6) Cunent indexes of the foregoing

-' (6) Personnel and medical files and hunder this section. records issued, adopted or promulgated similar files, the disclosure of which -

would constitute a clearly unwarranted *(c) If a requested record is one of *

• k (b) The NRC will publish, quarterly invasion of personal privacy. Information g another Government agency or deals with ' r m te requently, and distribute (by subject matter as to which a Government >

g m such files which is not exempt from y agency other than the NRC has exclusive r therwise) {" saleof the indexes or copies

, disclosure pursuant to other provisions of g E this section will not be withheld from the u. r primary responsibDity, the request forgg supplements gggg thereto, specified in pars-h individual concerned or from his desig. N '"' ' "" ' ' "" I#

• I " '"' determines by order published. in the '

l nated legal representative, and it may be H * "" '" #

T isposidon pr for gudance with FEDERAL RtmisTER that publication disclosed to others with his written con- would be unnecessary and impracticable, sent. To the extent that they involve a "spect M Wos%n. in which case the NRC wi!! provide copies clearly unwananted invasion of penonal ~ *(d) Nothing in this part authorizes of such indexes on request at a cost not privacy, examples of files exernpt from . withholding of information or limiting to exceed the direct cost of reproduction

_glisclosure include, but are not limited to: the avaUability of records to the public, as provided in @ 9.14 (i) Files contas. .mns the names of in-except as specifically provided in this

{dividuals who have received exposure to part authority to with.

part, not is this.

@ 9.8 Requests for records, radiation; hold information from Congress. (a) Copies of records may be re-(ii) Files contatrung reports, records { 9.6 Deletion of identifying details. quested in person at the NRC Public and other material pertaining to inds,. . Document Room, 1717 11 Street, N.W.,

, Whenever the release of the i.ame or names or other identifying details of, or Washington, D.C. Written requests for y vidual cases in which disciplinary or other '

- administrative action has been or may be copics of records shall be addressed to the relating to, a private party or parties wiu E taken, including records of proceedings ;, :onstitute a clearly unwarranted invasion Director, Office of Administration, U.S.

Nuclear Regulatory Commission, Wash-g pertaining to the conduct or performance 8' of personal privacy, an opinion, order, or L of duties by NRC personnel. Opinions f other record required to be made avail ington, D.C. 20555*

and orden resulting from those proceed- g able punuant to 5 U.S.C. section 552 will f  ;

hgs shall be disclosed without identifying be published or made available with such details if used, cited or relied upon as identifying details deleted and with a The request should clearly state on the grecedent, as provided in @ 9.6. notification such as the following as a [. envelope and in the letter that it is a I"** . Freedom of Information Act request", 5

~ (7) In@atory records compiled for law enforcement purposes, but only to Names parties and certain other {

the extent that the product.on of such , identifying details have been removed sn f A request tblis not so marked will be records would (i) interfere w(ith enforce- ordu to pnvent a cledy mmad k eemed d not to have been received by the

- nent proceedings, (ii) deprid a person of '

• invasion of the personal privacy of the e

-individuals involved- w NRC until it is actually trecived by the a right to a fair trial or .n impartial S Director, Office of Administration.

, adjudication, (iii) constitute an unwar. $ 9.7 Publicly avaUabh secords. t-3 ranted invasion of personal privacy, (iv) ~

(a) The NRC Public Document Room

disclose the identity of a confidential is located at 1717 11 Street, N.W., Wash- " "* *

• pies of rec rds E source and, in the case of a record ington, D.C., and is open betv.cen 8:30 mu namably desen.be the record

? compUed by a criminal law enforcement j a.m. and 5:00 p.m. on Monday through s ught in sufficient detail to permit the identification of the requested record.

authority in the course of a criminal e Friday, except iegal holidays. The iollow.elWhne possible, specific inf investigation, or by an agency conducting 5 ng records or documents are avaDable at k a

lawful national security intelligence S the NRC Public Document Room for " "' "' # "*" "'

investigation, confidential information public inspection and copying: E "" " * * " " " I"I#**U "

furnished only by the confidential source. (1) Final opinions including concur- 3 which may help identify the records t

(v) disclose investigathe techniques arid ring and dissent 9g opinions as well as # "N""I"*

• procedures or (vi) endanger the life or orders of the NRC made in the adjudica-

" " e the physical safety of law enforcement per* tion of casest '".sufs.ga% cient detail to per.

.,,,lon n el. mit its identification, the ret; nester will be

.Redensnamed 4o FR 'ista, t

9-3 August 1,1980

PART 9

• PUBUC RECORDS l l

so informed by the Director, Office of gether with the following information: day period, or within such extended ( l Administration, or his designee, within 10 (1) the date the request was received;(2) periods as provided in this Part, the -

working days afte'r receipt of the request the office to which it was referred; and requester may treat such delay as a denial o and requested to submit additional infor. (3) the date on which it was referred, of the request and immediately appeal to E mation regarding the request or to meet 9.9 Initial determination. the Executive Director for Operations as U with appropriate NRC personnel in order (a) If, after consultation with the Ex. provided in g 9.ll(a) or to a district court f to clarify the request Requests for Waiver ecutive Legal Director or his designee, the as provided in f9.11(c).

3 or reduction of fees shall be made in head of the office to which a request has accordance with { 9.14a, waiver or reduc- been referred finds that the record sought @9.10 Form and content of responses, tion of fees, and shall be processed in is exempt from production or disclosure, (a) When a requested record has been accordance with @9.14b, Processing of but that its production or disclosure is identified and is available, the head of the requests for a waiver or reduction of fees. not contrary to the public interest and office in which a request has been refer-

[ will not adversely affect the rights of any red or the Director, Office of Administra-(c) If the record for which a request is person, the head of the responsible office tion, will promptly furnish the record or made has been reasonably described pur- will authorire the production or disclo-notify the requester as to where and suant to parapaph (b) of this section and sure of the record, and will notify the when the record will be available for is available in the NRC Public Document requester within 10 working days after inspection and copying. Copies of records Room, the requester will be informed receipt of the request that the records will disclosed in response to Freedom of within 10 working days after receipt of be promptly made available. Information Act requests will normally the request by the Director, Office of (b) Except as provided in @9.15, if be placed in the NRC Pub!L Document Administration, or his designee, of the the head of the office to which a request Room and,in the case of records relating time and place where the record will be has been refened finds that a request to nuclear power facility, in the Local made available, and the estimated cost for should be denied in whole or in part, he Public Document Room established for furnishing ccpies of the record. In order will submit such findings to the Director, that facility. The notification will also to obtain copies of records in the most Office of Administration, in sufficient advise the requester of any applicable fees expeditious manner, a person may request time io cornply with the time limits set copies of records in person at the NRC forth in this paragraph for a response by under $9.14.

(b) A reply denying a request for a Public Document Room, or may open an the Director. The Director, Office of record or denying a request for waiver or account at the Public Document Room Administration, will, after consultation h reduction of fees filed pursuant to with the private firm contractually re gwith the Executive Legal Director or his s 09.14a will be in writing signed by the g sponsible for reproducing copies of NRCr-designee, made an independent determi E Director, Office of Administration.or his

records. Enation whether to comply with or deny g designee, and will include as appropriate

w (d) Requested records w hich havegthe request. If the Director, Office of (1) The reason for the denial;

% been reasor. ably described pursuant to Administration, determines that the rec-(2) A reference to the specific exemp-paragraph (b) of this section but which ord sought is exempt from production or tion under the Freedom of Information are located at places other than the NRC disclosure pursuant to 09.5(a), and its Act and the Commission's regulations Public Document Room or NRC head- production or disclosure is contrary to authorizing the withholding of the rec-quarters may, at the discretion of the the public interest or will adversely affect ord; NRC, be made available for inspection the rights of any person, the Director, (3) The name snd title or position of I cnd copying at such other locations Office of Administration, will notify the each person responsible for the denial of within 10 working days after receipt of requester in the manner provided in the request, including the head of the the request. For example, contracting Q9.10 within 10 working days after re- office recommending denial of the re officers may authorize an NRC contractor ceipt of the request- quest; to disclose records in its possession at the (c) The 10 working day period for (4) A statement as to why the request contractor's facihty or, if the record is in response to a request for records provided does not meet the requirements of the possession of a subcontractor, at a in paragraphs (a) and (b) of thilsection g9.14a if the request is for a waiver or subcontractor's facility. To the extent may be extended for unusual circum- reduction of fees;and epplicable, the charges specified in {9.14 stances as provided in @9.13. (5) A statement that the denial may for locating and reproducing copies of (d) In e x c eptional circumstances be appealed within 30 days from the records shall be applied to records made where it does not appear possible to receipt thereof to the Executive Director evallable pursuant to this paragraph. complete action on the request within the for Operations.

(e) A request for a record which is not maximum 20 working day limit as pro" (c) A copy of each letter granting or I available in the NRC Public Document vided in @9.13, the Director, Office of denying requested records or denying a l Room shall be promptly forwarded by Administration may seek an agreement request for waiver or reduction of fees the Director, Office of Administration, or with the requester for a specific extension will be maintained by or furnished to'the his designee, to the head of the office of time in which to act upon the request. Director, Office of Administration, or his primarily concerned with the records re- Any such agreement shall be confirmed in designee.

quested. The Director, Office of Adminis- writ!ng.

tration, or his designee will maintain, and (e) If the head of the office to which a [9.11 Appeal from initial determina-the Executive Legal Director or his de- request has been referred or the Director, tion, signee will be furnished, a copy of each Office of Administration, does not re- (a) Eacept as provided in $9.15, a request referred to another office, to- spond to a request within the 10 working. requester may within 30 days of receipt August 1,1980 M i

l l

PART 9 o PUBLIC RECORDS of a notice of denial of the request for records, except in accordance with this b GoGes for P%edon obcon$s. )

records or denial of a request for waiver Part or $ @ 2.744 and 2.790 of this * (a)(1) Charges for the copying of or reduction of fees pursuant to this chapter. ' '

subpart, appeal such denial to the Execu. (b) NRC personnel and NRC contract- Ro pD .1 'W '

tive Dimtor for Operations. The appeal ors from whom a record exempt from Washington. D.C. by the copying service shall be in writing sddressed to the disclosure is sought'shall follow the pro- contractor are as follows: .

eedure specified below: (i) Five cents per page for paper copy I Executive Director for Operations, U.S.

(1) If an exempt record is sought to paper copy, except for engineering Nuclear Regulatory Commission, Wr.sh. 1 from NRC personnel, the request or drawings and any other records larger i ington, D.C. 20555, and should clearly a x1 n th state on the envelope and in the letter subpoena shall promptly be forwarded to , ,e e $

that h is an " Appeal trom initial FOIA the Director, Office of Admmistration, square foot, depending upon size ~

Decision." An . appeal that is not so who shall process the request as provided (ii) Twenty four cents per page for marked will be deemed not to have been in this Part of take such other action as microform to paper copy. except for received by the NRC until it is actually may be appropriate, engineering drawings and other records (2) If an exempt record is sought larger than 8% x 14 inches for which the received by the Executive Director for charge is $3.00 per aquare foot or $a.00 Operations. from an NRC contractor, the request or

. nc a (b) Except as provided in @9.13, the subpoena shall promptly be forwarded to I {g*; ".,C n *] 'p o nj]18 x Executive Director for Operations will the NRC contracting officer administer. to microfiche, make a determination with respect to any ing the contract who will then follow the (iv) Forty cents per aperture card to appeal pursuant to thir section within 20 procedure specified in paragraph (b)(1) of , aperture card. .

this section. (v) Charges for records copied by the working days after the receipt of such appeal. (3) NRC personnel or NRC con. e contractor at the PDR must be paid tractors who are required by a subpoena h * "g }eg cokes g h ef s (c)(1) If on appeal the denial of the ,

request for records is upheld in whole or to produce or , disclose a record of the machines are available at the PDR for in part, the Executive Director for Opera. types included in Q9.5(a) shall appear in the use of the public. Paper to paper is tions will notify the person making such response thereto and shall respectfully $0.05 per page. Microform to paper ia decline to produce or disclose the record $0.10 per page on the reader printers.

request of the denial, including the ex. (3) Mail order requests for contractor emption relied upon, an explanation of described, basing refusal on this para.

, how the exemption applies to the records graph, unless production or disclosure has {,pyi g cf NRC reco de may be made g withheld, and the reasons for asserting ,been authorized pursuant to this Part. (i) The charges for mail order

- the exemption. E g9.13 Extension of time for response. reproducLon of recorda are the same as those set out in paragraph (a)(1) of this 5 (2) If on appeal the denial of a re-E (a) In unusual circumstances specified section, except there is a $2.00 minimum g quest for waiver or reduction of fees for W.

locating and reproducing records is up g m paragraph (b) of this section, the time charge for recurds. plus mailing or limits prescribed in @9.9 or 9.11 may shipping charges.

held in whole or in part, the Executive (ii) Each order submitted by mail must be extended by not more than 10 work.

Director for Operations will notify the contain a statement that the requester is ing days by written notice tu the person person making such request of the denial' making such request, setting forth the Willing to pay the applicable charges.

. including a statement as to why the The contractor willinclude an invoice reasons for such eMension and the dMe when it sends the order to the requester.

request does not meet the requirements on which a determination is expected to .

A requester may also open an account of @9.14a. be dispatched- with the copying service contractor, (3) The requester shall be informed (b) For purposes of this section,"un- 1.iterature Research Company, P.O. Box I

• that the denial is a fmal agency action 1001, Annandale VA 22003 (703-941-

' usual circumstances" means:

f and that judicial review is available in a 6010).

i district court of the United States in the (1) the need to search for and collect the requested records from field facilities -

district in which the requester resides, or r other establishments that are separate has his principal place of business, or in fr m the office processing the request; which the agency records are situated, or (2) the need to search foi, collect,and in the District of Colombia. appropriately examine a voluminous (d) Copies of all appeals and written amount of separate and distinct records determinations on appeal will be fur- which are demanded in a single request; nished by the Executive Director for O'

Operations, or his designee, to the Direc-(3) the need for consultation, which for, Office of AJministration, or his shall be conducted with all practicable desipee,

- speed, with another agency having a substantial interest in the determination "

[9.12 Production or disclosure of ex. of the request or among two or more empt records. components of the NRC having substan.

(a) Records of the kind specified in tial subject matter interest therein.

[9.5(a) shall not be produced or dis. (c) Any extension of time limits pre-closed by NRC personnel, or NRC con- scribed in { { 9.9 and 9.1I may not tractors who have possession of such exceed a combined total of 10 working days per request.

9-5 October 31, 1980 (nest pare h 9 Sa) w- s--'r -+---w --erw w--- w - - - *- r- ---e *'- = ' - - - - ' + *-'w -rw

PART 9 o PUBLIC RECORDS I (b') R'equests for copies of records to .

j be reproduced and furnished by the NRC l

at locations other than the NRC Public k Document Room located in Washington, -

)

! D.C., will be honored st' the following l

Lch=rses: .

g .ir.-

V (t) Sizes up to 8% x 14 inches made

on office copying machines-40.05 per 6 page of copy.

0: 1 6 4

, (2) The charge for reproducing ree-ords other than those specified above will be computed on the basis of NRC's direct

. cost s.

(3) If a request is for records at locations other than the NRC Public Document Room, a charge of 55.00 per hour will be made for searching for the -

requested records by clerical or adminis-g trative employees and a charge of $12.00 ,

g per hour for searching by professional or g supervisory employees. ,

I sary(4) When in order a computer to fulfill a request,search

. the is neces-computer search charge will be the actual direct cost of the computer search.

(5) Except as otherwise provided in

@9.14a, unless the request specifically states that whatever cost is involved will be acceptable,' or acceptable up to a ,

specified limit, the NRC will, for requests involving anticipated costs in excess of the minimum specified in [9.14a(s), so advise the requester as provided in 69.14(b), and the request will not be F5a' October 31, 1980 (nemt page is9 6)

. - _ - , - . , _ , ~ . - . . _ , _ - , _ , .. -.--

- - . ----=. . - - . . _ . . - - - - .-- --

PART 9 o PUBUC RECORDS deemed to have been received until n (c)In making a request for walver or or in part, the NRC win consider the deposit equal to the estimated costs is reduction of fees, the requester shan total estimated search and reproduc.

received, or the requester has agreed t provide a statement setting forth the tion costa necessary to comply with bear the anticipated costs, or a determina* foHowing information to the extent the request and the extent to which possible: l the requester has carried the burden i

tion bis been made on a request for (1) How the informatlon obtained of making the necessary public inter-waiver or reduction of fees. Fees may be from the records, or how the conclu, est shouing under paragraph (c) of required to be paid in full prior to the sions or results from any review or th see o issuance of the requested records, analyses of the records, will be pub- the absence of a specific re-lh I quest for walver or reduction of fees,if (6) Refunds of unused deposits or he sen ral c the information furnished by the re.

additional billings will be made to adjust (2) The size of the public that will be the anticipated cost to the actual cost, benefited by the disclosure; [ulternents of is sec lo f r salv (c) In compliance with the Federal (3) The nature, significance and like* or reduction of fees NRC rnay deter.

lihood of any tangible benefit that the mlne that production or disclosure of Advisory Committee Act, transcripts of the requested records can be consid-

. . pub!!c may receive from dissemination testimony in NRC proceedings, which are of the information' ered as primarily benefiting the gener.

transcribed by a reporting firm under al public, (4) The financial benefit, if any, the (g) The NRC w1H not walve the re-contract with the NRC, may be pur. requester wiH receive from the use of production costs for documents locat-chased directly from the reporting firm at the requested materials; (5) The ability of the requester to ed or made available in the NRC the cost of reproduction as provided for pay for any of the anticipated costa; Public Document Room or a local in the contract with the reporting firm, or public document room in the absence (6) How the intended use of the var. of a compelling reason to do so.

may be purchased from the NRC at the tous types of records requested is rea-cost of reproduction as provided in para.

sonably Ilkely to. ,gp g ,

graphs (a) and (b) of this sectior .

(1) Result in actions to maintain or or reduction of fees' (d) Copyrighted resterial will not be enhance the pubtle's health, safety, or (a) Within 10 working days after re-reproduced in violation of the copy.' the cluality of the environment; ceipt of a request for access to records right laws. til) Result in improved regulatory which does not involve rnore than four (e) The Director, Office of Admints- proc m es. hours of search ttrne, or in which the tration, or his designee, or the Execu- (111) Reduce the cost of providing a NRC agrees to walve fees pursuant to o

tive Director for Operations, on ap- government seg. .

I 9.14a(f), the NRC will respond to the E peals, in accordance with the provi. 3 (iv) Contribute substantially to - request as provided in 19.9. If the re-E quest is expected to require more than E

E sions any fee ofrequired I 9.14a, by willthis waive sectionor reduce upon a ;-.public issue;debateor on an important polley O four hours of search time to locate the (v) Cor; tribute substantially to mat- cw requested records and the NRC has I- determination tien of the fee is that in thewalver or reduc.

public interest , { ters of historicalimportance. ; not waived fees under 19.14a(f), the because furnishing the information * (d) Public benefit will not normally NRC will notify the requester that can be considered as primarily benefit- resulL* fees 3111 be assessed. The notification Ing the general public. (1) When the requested records wiu shall include the estimated ccat of be used primarily for the personal search fees and the nature of the 19.14a Walter or reduedon of fees.' bearch required. Requesters are en.

benefit of an individual or group couraged to discuss with the NRC the

+

(a) Fees for searching and reproduc. rather than the general pubile; possibility of narrowing the scope of tion of records at locations other than (2) When the requested records will the request whue retaining the re-the NRC Pubile Document Room shall be used primarily for a commercial quester's original objective. The re-be waived: ~ purpose or !!nancial benefit;  :

(1) for search fees when the time for quester will be advised that he may (3) When the requested records have agree to bear the estimated costa, the search does not exceed four hours, already been made avausble, or are submit a deposit equal to the estimat-in the aggregate, for a request or being made available in response to ed cost of complying with the request, series of related requesta; the request, for inspection and copy. or submit a request for walver or re-(2) where the records are requested ing in the NRC Pub!1c Document duction of fees pursuant to 9 9.14a.

I by and made available to a Federal, Room or a Local Pubile Document (b) Within 10 working days of the re.

State, or local government, to an inter

• Room: ceipt of NRC's notice that fees w!!! be governmental agency, or to a foreign (4) When the requested records s1H assessed, the requester shall notify government or international agency, not add appreciably to the informa.

and furnishing the records sithout NRC in sTiting that he agrees to bear l charge is an appropriate courtesy. tion already available to the publie in the estimated costa, submit a deposit (b) Except as provided in paragraph the NRC Pubbe Document Room or a equal to the estimated cost of respond-(a) and (f) of this section fees for local Pubuc Doemnent Room: Ing to the request or submit a request searching and reproduction of records (5) When the requested records con. for waiver or reduction of fees pursu.

may be walved only upon request. A sist primarUy of technical data which ant to l 9.14a In making a request for

• will only be distributed or made avalla. walver or reduction of fees, a requester de e r rc u tl 1 ble to the public by the requester must provide the information required under th!s subpart shall, as set forth without further analyses or comment; by 8 9.14a(c).

in 9.14b(b) provide sufficient factual (6) When the costs to the public (c) Within 10 working days after re-Information to permit NRC to make outweigh any benefit which may ceipt of a request for the walver or re-accrue to the pubuc-the determination whether walver or (e) Bued upon the information fur- duction of fees matle in accordance reduction of the fee is in the public in- 31th i 9.14a, the NRC will waive or nished by the requester in response to reduce the fees and notify the request-terest because furnishing the informa- paragraph (c) and the criteria set tion can be considered as primarily forth in paragraph (d) of this section. er of the NRC's intent to promptly benefiting the general public. provide the records or will deny the re.

and the NRC will determine if salver or reduction of the fee is in the public tion requirementa contained interest because furnishing the infor- *ne appucation requirements contained 3e app iptafel and 914b(d) have been mation can be considered as primarilys to sectiona 9.14ates and 9.14txd) have been '

benefiting the general public. In deter.

^8 appmved by the UA General Accounting or$1ce unde nufnber22 R 2 mining whether to aalve fees in whole office under number B-lao 225 (Ross21. .

I k

Au9ust 1,1980 9-6 I

1 1

PART 9 e PUBLIC RECORDS quest and provide a statement to the quests for records made to the NRC un- (d) " System manager" means the requester as to why the request does der this Part and the reasons for each NRC occial responsible for maintaining not meet the requirements of such determination; a system of records. l 9 9.14 a(e). (2) the number of appeals made by (e) " Systems of records" means a

~ persons under l 9.11, the results of such group of records under the control of appeals, and the reason for the action the NRC from which information is upon each appeal that results in a denial retrieved by the name of an individual or

,,Ffees(d)In was those cases requested where and denied a waiver and the of of information; by an identifying number, symbol, or ,

requester has agreed to bear the esti. (3) the names and titles or positions of other identifying particular assigned to '

. mated cost, the requester may within each person responsible for the denial a 30 days of receipt of the requested of records requested under this section. .sngg3ind.ividual.

. Statistical record" means a rec-

' documents resubmit a request for a and the number of instances cf par

• ord in a system of records maintained

waiver or reduction of fees if the re- ticipation for each

for statistical research or reporting pur-celpt of documents has materially (4) t.he resulta of each proceedmg con- poses only and not used in whole or in changed the infortnation originally ducted pursuant to 5 UE.C. 552(a)(4) part in making any determination about furnished by the requester pursuant (F), including a report of the discip11- an identifiable individual, except as pro-to 9.14a(c). E nary action taken against the omeer or vided by the Census Act,13 UE.C. 8.

- R employee who was primarily responsible (g) " Routine use" means. w'th respect e for improperly withholdP.g records or an to the disclosure of a record, the use of (e) As provided in (( 9.11 and 9.15, a w explanation of why disciplinary setion such record for a purpose which is com-denial of a request to walve or reduce g was not taken; patible with the purpose for which it was fees may be appealed within 30 days to (5) a copy of every rule made by the collected, as described in a nouce pub-the Executive Director for Operations NRC regarding this Part; lished in the PEDERAL REctsTEa.

or to the Commission, as appropriate. (6) a copy of the fee schedule e.nd the PaocEncats ArPLICAsLE To REQUESTS sy

4. 3ection 9.15 is revised to read as total amount of fees collected by the INDivzDUALs roa INroRMAT!oN, ACCESS follows: NRC for rnaking records available under on AMENDMENT or RECORDS MAINTA1} RED l 9.15 Committees, boards, pan 7) ch ther information as indi-fires reporting to the Comm,els, ission. and of- cates efforts to administer fully the pm. rREsENTAT!oN or REQUESTS (a) For boards, panels. and of fices re- visions of 5 UE.C. 652. E 9.52 Trpes of requests.

porting directly to the Commission. (b) A copy of each report to the Con- (a) Individuals may make the fo!-

and the Office of the Executive Legal gress made pursuant to paragraph (a) lowing requests respecting records about Director, the initial determination on of this section will be made available for themselves maintained by NRC in a sys-a request for records or request for public inspection and copying in the tem of records subject to the provisions n of the Privacy Act of 1974:

waiver or reduction of fees for locating _NTtC Public Document Room.

and reproducing such records, re- m (1) Request a determination whether quired by i 9.9 shall be made by the - Subpart B-Privacy Act Regulations head of such board, panel, or office, or { ainrecord about the individual is contained his designee, instead of the Director, 0 9.50 Scope of subpart. E (a 2) system of records. Request access to a record

Office of Administration, and an This subpart implements the provi. othe individual. Access

• requests may in-

appeal of an adverse determination sions of section 3 of the Privacy Act of 'clude requests to review the record and 1974 Pub. L.93-579, 5 U.S.C. 552a, with to have a copy made of all or any portion

shall be made to the Commission in- thereof in a form compreher;Alble to the w stead of the Executive Director for respect to (a) the procedures by which

- Operations. individuals may determine the existence individual.

(b) The Advisory Committee Man- of, seek necess to and request correction (3) Request correction or amendment of NP'; records concerning th*mselves, of a record about the individual, asement Officer shall make the initial (b) Requests for accounting of disclo-determination required by 19.9 on re. ant' (b) the requirements applicable to sures. Individuals may, at any time, re-quests for records of adytsory commit. NftC personnel with respect to the use quest an accounting by NRC of disclo-tees established pursuant to Part 7 of sures to any cther person or Oovernment this chapter including the Advisor; l and dissemination regulations in this subpartofapply such records.

to all a e The '

, Committee on Reactor Safeguards. or j ,ree ds h h ar e b mj co a st m rec on requests for walver or reductior. of I the Nuclear Regulatory Commission by troDed by NRC, except the following: (1) fees for locating and reproducing such Disclosures made pursuant to the Free-records and an appeal of an auverse "c: the use of annumber, identifying individual's nameor symbol, orother of an dom of Information Act. 5 U.B.C. 5521 determination shall be to the Commis- S identifying particular assigned to such (2) disclosures made within the Nuclear sion. individual. Except where specificaUy pro. Reguktory Commission; (3) discicsures (c) The head of boards, panels, and vided otherwise, this subpart apphes to made to anotter Oovernment agency or offices rei;orting directly to the Com. instrumentality for an authorized law all NRC records maintained on individ. enforcement activity pursuant to S U.S.C.

mission, and the Advisory Committee uals stether they predate or postdate 552a(b)(7): (4) disclosures expressly Management Officer for advisory com- September 27,1975.

mittees established pursuant to Part 1 exempd by NRC regulations from the of this chapter, will make the inidal $ 9.51. Definitions. requirements of 5 U.8 C. 552a(c)(3) pur.

As used in this subpart; suant to 5 U.S.C. 552a(k),

determination required by paragraph (a) and (b) of this section only af ter (a) " Individual" means a citizen of 6 9.53 Hequests: how and where pre.

i I consultation with the Office of tN the United States or an aten lawfully se nted.

I General Counsel. admitted for permanent residence. (a) Requests may be made in person

~

~

(b) The term " maintain" includes or in writing. Assistance regarding re-g 9,M A nnual Hq, ore in Congress. mainta,,in, collect, use or disseminate, Quests or other matters ' relating to the g Record' means any item, coDec.

(a) On or before March 1 of each cal- tion or grouping of information about an Privacy Act of 1974 may be obtained by I

endar year, the Director, OSee of Ad- individual that is maintained by the writing to the Director, Omce of Admin-

[ istration, U.S. Nuclear Regulatory Com-ministration, will subm!t a report cover- NRC, including, but not limited to, his mission, Washington, D.C. 20555. Re-ing the preceding calendar year to the education, financial transactions, medi.

Speaker of the House of Representatives cal history, employment history or crim!- quests relating to records in multiple and President of the Senate for re.ferral nal history, and that contains the systems of records abould be made to the to the appropriate comm!ttees of the individual's name, or the identifying Dtrector, Ocee of Administration, U.S.

Congress. 'Ite report will include- number, symbol or other identifying par. Nuclear Regulatory Commission, Wash-(1) the number of determinations ticular assigned to the individual, such ington, D.C. 20555. The Director, or his made by the NRC not to comply with reJ as a finger or voice print or a photograph. ' designee, shall assist the requestor in l

9-7 August 1,1980 l

l

1 1

PART 9

• PUBLIC RECORDS identifying his request more precisely he represents as required in paragraph rectMn or amendment thould be granted. (

and shan be Tcsponsible for forward- (a) of this section, the parent or legal immediate de etmination cannot ing the request to the appropriate system guardian of a minor or of an individual If bear(de, ma the request will be processed in manager, judicially determined to '.e incompetent the same manner as a written request.

~*

shan establish his status as parent or Records wiU be made available for im-(b) All written requests shall be made guardian by furnishing a copy of a birth mediate inspectioh whenever possible.

to t.be Director, O2ce of Administration, cerincate of the minor showing parent-U.S. Nuclear Regulatory Commission, age or a copy of a court order estabush. $9.61 Procedures for ..p.rocessing. re.

Washington, D.C. 20555, and should ing guardianship. quests for rec rds e.xernp.L in s liole

'" clearly state on uA envelope and in the m in pa&

letter, as appropriate: Privacy Act Re- 6 9.59 Spec.ficah.on a of vwords. (a) When an individual requests in-N gyggg M ** Privacy Act Disclosure Account- (a)(1) Requests relating to records formation concerning the . existence of, E ing Request," **Pdvacy Act Correction shau, insofar as practicabie, Fpecify the or access to, records about himself which

) Request." A request that is not so marked nature of the record Nmght, the approri- have been compiled in reasonable antic-

• wiu be deemed not to have been received mate dates covered by the record,' the ipation of a civil action orproceeding in by the NRC until it is actually received system of records in vthich the record is either a court or before an administra.

by the Director, Omce of Administration. thought to be included and the system t!ve tribunal. the NRC shall advise the manager having custody of the record individual only that no record available system as shown in the s.nnual con pila- to him pursuant to the Privacy Act of (c) Requests may be made in person during occial hours at the U S. Nuclear 1 ed by e nera erNees A ** "" "

Regulatory Commission oSce where the (b) Speci/!c exempffois pursuont to K istration. Requests shall, in addition.

record is located, as listed in the "Notiet comply with any additional speciacation RS.C. 55fa(k). Individual requests for of Bystem of Records" for the system ib ~

access to records which have been*ez-which the record is contained. .requirersente contained in the publisEl empted from access pursuant to the pro-Notice of System of Records" for that visions of 5 U.S.C. 552ack) and I 9.95 g 9.54 Verification of identley of 'Indi. 'I' (2 Itequests for correction us amend- shan be procissd as follows:

siduals making requesta, ment ci records shall,in addition, spectiy (1) Information classi/ led pursuan.t to (a) Identincation requireinents in par- the particular record involved, state the der 6s a

',es. p B5f k) f) It agraphs (a) (1) and (2) of this section nature of the correction or amendrnent quested information classified by NRC are applicable to any individual who sought and furnish justincation for the will be reviewed by the responsible of.

'maires requests respecting records about correction or amendment.

himself, except that no verification of (b) Requests which do not contain in- ficial of the NRC to determine whether identity shall be required if the records formation sumelent.to identify the rec- it continues to warrant classincation requested are available to the public un- ord requested will be returned promWy under the criteria of *section Wol 'of der the provisions of the Freedorn of In- to the requestor, with a notice indicating Executive oroer 1206 5."

n information wnich no longer formation Act. With respect to certain n what information is lacking. Individuals senritive records,addftionalrequirements 3 making requests in berson will be in S* warrants classification under these crl-teria shall be declassified and made avail-for verincation of identity stated in the g formed of any denciency in the speciaca w able to the individual.11 the requested appropriate publisheri" Notice of System g tion of records at the time the rpquest e ,

of Records" may be imposed. w is made. Individuals making requests in6e 'other information agency,has thebeen classified responsible by an-OScial'of (1) Written requests. An individual g writing will be notined of any such de 'l the .NRC will request the classifying making a written, request respecting a ficiency when their request is acknowl- ]a y tireview the information 6o sa-record about himself may establish his edged.

identity by a signature, address, date of certain if classiacation is still warranted.

birth, employee identincation number if 6 9.56 . Accompanying ps. If the information ' continues to war-m any, and one other item of ident1Scation An inctividual requestmg access to sew-rapt classification, the individual shall be advir,ed that the ipformation soughtis S such as a photocopy of a driver's license ords about himself may be accompanied classified, that it has been reviewed and

or other document, by another individual of Als own choos* continues to warrant classificatigtf, and g (2) Requests in person. An individual ing. Both the individual requesting access that it has been exempted from access

~

a making a request in person respecting a and the individual accompanying him pursuant to S US.C.55;atkJ G) g record about hirnself may establish his shall sign the required , form indicating (2).JnveJ8fac. tory ' material compilest identity by the presentatbn of a single that the Nuclear Regulatory Conunis* for late enforcement purposes ' exempted document bearing a photograph (such as sion is authorized to discuss the contents siursuant to 5 U.S.C. 552a(k)(3ri Re-a passport or identiccation badse) or by of the subject record in the presence of quests ihall be responded to in the man-

, the preacntation of two Jtems' of identi. both individuals. Der provided in paragraph (a) 6f this i

ficabon ahich do not bear a photograph but do bear a name, address and signa- NR.c raC>crotrats ron rmoctssrxc aratzsrs section unless a.revleg of the informa-ture tsuch, as a driver's license or credit 99.60 Acknowledgment of requests. tion in'dicates that the.information has C** been .used orils 'being 'used to deny the (a) Written requests by individuals to individual any right, priyflege 'or benefit (b) Inability to provide requisite docu* verify' the existence of, obtain access to for which he is eligible'or to wh!ch he ncntation of identity. An individual making a request in person or in *Titing or correct or amend records about them- would otherwise be entitled underTed-respecting a record about himself who selves maintained by RC in a system eral law. In that event, the individual of records subject to the provisions of shall .be advised of the existence of the cannot provide the necessary documenta* the Privacy Act of 19M, shall be acknowl. information and shall be provided .the tton of identity may provide a notarized edged in writing by the Director, Ocee of information except to the extent it would state.rnent, swearing .or airming to his Admln!stration. or his designee, within reveal the identity of a confidential identity and to the fact that he under" ten working' days after dr.te of aet'ual re-stands that penaltles for iaise statements source. Information that would reveal ceipt. The acknowledgment shall advise the identity of a confidential source shall may be imposed pursuant to 18 UE.C. the requestor if any additional informa-1001, and that penalties for obtaining a be estracted or stunmarized in a manner record concerning an indhidual under tion is netded to process the request. which protects the source and the anms iaise pretenses may be imposed pursuant Wherever pr5cticable, the acknowleds- mary or extract shall be provided to the merft shalltiotify the individual whether requesting individual, to 5 UE C. 552ati)(3). Forms for such his request to obtain access to the record 13) Afatertal.nettAin a system of ree-notarized statements may be obtained on request from the Director, Omce of Ad- or to correct or amend the record has crds required by statute to be main-been granted or denied. fained and used solely as statistical ree-rninistration UE. Nnclear Regulatory (b) Wheri an individual requests ac- ords and exempted pursuant to 5 U.S.C.

Commission, Washington. DC. 20$55. cess to records of permission to correct 552a(k)(d). The exempted.information l (c) Verfflection of parentage or guard- or amend records in person, every e!! ort requested will be reviewed .by.,the re-1

, unsMp. In addition to establishing the will be made to make an immediate de- sponsible occial .of the. NRC ,to deter-identity of the minor, or other individual termination as to Fhether acteSs or eor = mine %bethtr it continues to Warrant

' Amended 44 FR 50804 l

l Augurt 1,1980 9-8

PART 9 e PUBLIC RECORDS eXe/nption. Inforruation which no longer within 30 work,ing days after receipt of record within 30 working days af ter re-sarrants exemption shall be made avail- the request. ceipt of the request. In making this de-able to the individual. If the,tnformation (1) Notices granting access thaU in- bermination, the Director, or his desig-continues to warrant exemption, the in. form the individual when and where the nee, shall be guided by the following dividual shall be advised that the in. requested record may be seen, how copies standards:

formation sought is exempt from dis. Inay be obtained, and of any fees or (1) Records shall contain only such clmure, that it has been reviewed and anticipated charges which may be in.

Information about an indhidual as is continues to warrant exemption. and curred pursuant to i 9.85 of this sub-that it bas been exempted frorn access part. relevant and necessary to accomplish an pursuant to 5 UE.C. 552a(k)(4). (2) Notices denying access shall state NRC function required to be a; corn-(4) Investfactory materici compfled the reasons for the denial, and advise the plished by statute or by executive order so7ely for the purpose of determining individual that he may appealihe denial of the President

• suitability, cligibility, or qualiAcations to the Executive Director for Operations (11) Records used by NRC in 2naking for rederal civilian employment, Federag in accordance with the procedures set any determination about any individual contracts, or access to classfAed infor. forth in this section. shall be as accurate, relevant, current, motion and cumpled pursuant to 5 and complete as is reasonably necessary U.S.C. 552a(k)(5). Information exempt.

(b) AppecZs from, denials of secess. to assure fairness to the individual in If an individual has bech denied access the determination

• cd puriuant to 5 UEJC.'552a(k)(5i sliaU (iii) No record s' hall describe how any be made available to an individual upon to a record the individudl mpy requett sk individual has exercised rights guaran-request except to the extent that the in. f nal review and determinstion .of pis, g teed by the First Amendment unless such formation would reveal the identity of a request .by the Executive I? ector. I 4 g record is expressly authorized by statute conndential source. Material that would Qperations. A request for final.rcyter o e or by the individual about whom the reveal the identity of a confidential $

source shan be extracted or summarized $ gn initial determination dAya of theshould Me of recejpl filed, g and w record within is themaintained, scope of anorauthorized is pertinent to in a manner which protects the source N within 60" law enf orcement activity, and the summary or extract shan be g the initial determination, shad be in (2) If correction or amendment of a provided to the requesting individual

• Writing, shall be addressed to the Exec

• record is authorized, the Director, Of-(5) Testing or czamination matering 5 utive Director for Operations, UE Nu* fice of Administration, or his designee, crempfed pursuant to 5 U.S.C. 552a(k) clear Regulatory Commission, Washing

• ton. D.C. 20555, and should be cleari>

shall correct or amend the record, notify (6). Testing or examination material the requesting individual in writing that used 561ely to delirmine individual qual- marked on the envelope and in the letter

Privacy Act Appeal-Denial of Access. the correction or amendment has been if. cations for appointment or prodiotion made and provide the individual with A request that is not eo marked will be in the Federal service which has been deemed not to have been received by the a courtesy copy of the corrected record.

exempted purs.zant to 5 UE.C. 552a(k)- (3) If correction or amendment of a NRC until it is actuaUy received by the (6) shaU not be rnade available to an' Executive Director for Operations. record is refused, the Director OfBee individual if disclosure would compro- -

of Administration. or his designee, shall mise the objectivity or fairness of the' ~ (c) Tinci determinations. (1) The Ex- notify the requesting individual in writ-n testing or examination process but may ecutive Director for Operatiens, or his ing of the refusal and the reasons there-g be made available if no possibility of designee, shaU make a final determina. for, and shall advise the individual of g such ce:nprombe exists.

tion within 30 working days of receipt of his right to request a review of the re-c g 9.62 E' pecial procedures. the request for final review, unless be f usal by the Executive Director for Oper-6 extends the time for good cause shown ations in accordance with the procedurc:p g DM Reconis ur. der the control of an* such as the need to obtain additional set forth in this section.

other pot >crnment caency. (1) afedical information, the volume of records ""

rreords. Requests received by NRC per* involved or the complexity of the is. (b) Appeals from inftfa! adverse de.

taining to medical records under the con- ferminafions. If an individual's request trol of the UE. Pubbe Health Service or sue. The extension of time shall not exceed 30 additional working days. The to amend or correct a record has been another Government agency wiD either requestor thall be advised in advr.nce denied, in whole or in part, the individ-be referred to the appropriate agency or of any extension of time and of the ual may request a final review and deter.

returned to the requestor with the name mination of his request by the Executive of the contro!hng Government agener, reasons therefor.

(2) If the Executive Director for Oper. Director for Operations. A request for

if known, within ten working days after ations, or his deshrnre, determines that final review of an initial determination

! receipt by NRC. NRC will inform the re- access was properly denied because the o should be Aled within M days questor of any referral of his request to m information requested has been ex- g of the receipt of the initial determina-another Government agency at the time % e:Spted from disclosure he shall under o tion, shall be in writtrig, shall be ad.

the referralis made.

• take a review of the c'xemption to de. N dressM to W meuuve Drector for Op-(2) Nonmedical records. Requests re c': termine whether the information should C erati ns, U.S. Nuclear Regulatory Com.

ceived by NRC pertaining to nonmedical continue to be exempt from disclosure * " "

records under the control-of another 'S The Executive Director for Operations' wshould b'e clearly mark' ed on' the env' elope

• Government agency will be returned to an in ter , acy Act Cmecuon the requestor with the name of the con. haU tif the ind!

l hr his dual desi in wr1 of his final determ!

Ape An a@ca a sn s znaded trouing Government agency, if known, nati n to grant. or deny W request will be deemed not to have been received within ten working ' days af ter receipt f r access. Notices denying necess shad by the NRC until it is actually received

g. NRC' by the Esecutive Director f('r Operations.

state the reasons therefor and shad ad- Requests for final review shall set forth mEREDWArtoN MD Arrea.tA vise the indhidual of his right to judicial review pursuant to 5 U.S C. 552a(g). the speciSc item of information sought l C 9.65 Acceu determinationn appeals. to be corrected or amended and should I ' "*

• j l (a) fr.ftful determfnctions. The Direc. g  ; n ,g" (u hr include, where appropriate, documents i tor, Odee of Administration, or his p,,j,* supporting the correction or a mendment.

designee, with the advice of the rystem -

manager having control of the record (a) Inffief determinations. (1) The 2 (c) Tinal determinations. (1) The Ex-to a hich access is requested. shau deter. Director, Of"ce of Administration, or his ecutJve Director for Operations, or his l 1

mine whether access to the record is designee, with the advice of the system , designee, shall make a final determina- I ava!!able under the Privacy Act and manager having control of the record, g tion within 30 working days of receipt of I notify the requesting indhidual in per, shall determine whether to authorire or , the request for final review unless, for I son or in writing 'of that determination. refuse correction or amendment of a y good cause shown such as the need to l Unless the recuert presents unusual dif. record. Unless the request presenta un a obtain additional informatica, the vol-ficulties or lavolves extensive numbers usual di 5culties or involves extensive g ume of records involved or the complex.

l of treerds, indhiduals shall be notiSed numbers of records, indhiduals sha.tl be ity of the issue, he extends the time for of determinations to grant or deny accesa notified of determinations to authorize making the final determination. The ex-l S kean.wed 4: Fw 44997.

"" # " " " " ##* *# ## * *d M #

t Sg August 1,1980 l

PART 9

• PUBLIC RECORDS tional working days. The requestor shall determined pursuant to an accounting tme uw by publication in the FrernAL be advised in advance of any extension of disclosures required by the Privacy Rtcistra, and the instance of miscon-of time and the reasons therefor. Act or any other accounting previously ' duct is directly related to the purpose for (2) If the Executive Director for Oper- made, of the correction or of the filing which the record is maintained; ations, or his designee, inakes a final of the " Statement of Disagreement". (8) To any person upon a showing of determination that an amendment or (b) Any disclosure of disputed infor- compelling circumstances affecting the correction of the record is warranted on mation occurring af ter a Statement of health or safety of any individual-the f acta. he shall notify the Director, Disagreement" has been filed shall (9) To either House of Congress or. ic Omce of Administration, to correct or clearly identify the specific information the extent of matter within its jurisdic-amend the record pursuant to the proce- disputed and be accompsnied by a copy tion, to any committee or subcommittee dures in i 9.66(a)(2). of the " Statement of Disagreement" and thereof or to any joint committee of the (3) If the Executive Director for a copy of any NRC " Statement of Congress or to any subcommittee of such Operations, or his dast; nee, makes a Explanation". joint committee; final determination that an amend- DiscLosvar to orntas or ascompa (los To the Comptroller General, or ment or correction of the record is not Asov7 mervrot:Ata any of his authorized representatives, warranted on the facts. he shall notify . in the course of the perfonnance of the

• the individual in writing of his re- $9.8 the ilaYaheUnd du1toSo "j duties of the General Accounting Omce; fusal to authorize correction or amend- perta;ns. or ment of the record in whole or in gg g g part, and of the reasons therefor, and (a) NRC Commissioners and NRC per- competent jurisdiction.

Shall advise the individual of his right sonnel shall not disclose any record to provide a " Statement of Disagree- whichis contained in a system of records I 9 81 N8'I'"

• f '"b P **"***

ment" for the record and of his right to maintained by NRC by any means of When records concerning an individ-ludicial review pursuant to 5 U.13.C. communication to any person, or to an- ual are subpoenaed or otherwise dis-552a(g). other Government agency, except pur- closed pursuant to court order, the NRC suant to a written request by, or with of5cer or employee served with the sub-( 9.67 Statemente of disagreernent. the prior *Titten consent of, the ind!- poena shall be responsible for assuring (a) Written " Statements of Disagree- vidual to whom the record pertains. that the indhidual is nottfied of the ment" may be furnished by the individ- unless disclosure of the record is:

disclosur'e within five days after such ual within 30 working days of the date of (1) To NRC Commissioners and NRC subpoena or other order becomes a mat-receipt of the final adverse determina ' personnel who have a need for the rec- ter of public record. The notice shall be tion of the Executive Director for ord in the performance of their duties; mailed to the last known address of the Oper.itions. " Statements of Disagree- (2) Required under 5 U S C.552; individual and shall contain the follow-ment" sht.ll be addressed to the Execu. (38 For a routine use published in the ing information: (1) The date the sub-tive Director for Operations, U.S. Nu- FrotaAL Rtc2stra; poena is returnable: (2) the court in clear Regulatory Commission. Washing. (4) To the Bureau of the Census for, which it is returnable; (3) the name ton. D.C. 20555, and should* be clearly purposes of planning or carrying out a and number of the case or proceeding; census or survey or related activity pur- and (4) the nature of the information a marked velope " on the statement Privacy Act Statement andof on the en j suant to the provisions of Title 13 of the jsought.

h Ex utive Director for Opera. 5 To a re ip e t sho has provided ; $ 9.82 Notices of emergency disclosures.

c: tions, or his designee, shall be respon- [ the agency with advance adequate writ- When information concerning an in-

' r.lb4 for ensuring that: (1) ten assurance that the record will be used { dividual has been disclosed to any per.

S ment of Disagreement" is included inThe " State- $ solely as a satistical research or reporting E son under compelling circumstanc the system or systems of records g record and the record is transferred in a fecting health or safety, the NRC omcer which the disputed item of information' form that is not individually identifiable. or employee who made or authorized the is minntained; and (2) the original rec. The advance written statement of assur- disclosure shall notify the individual at ord is marked to indicate the informa, ance shall (1) state the purpase for which his last known address within five days t)on dl=pu ted, the existence of a the record is requested, and (11) certify of th0 disclosure. The notice shall con-that the record will be used only for tain the following information: (a) The

" Statement of Disagreenet", and the location of the " Statement of Disagree- statistical purposes. Prior to release for nature of the information disclosed; (b) nent" within the system of records. statistical purposes in accordance with the person or agency to whom the in-the provisions of this paragraph, the ree- formation was disclosed; (c) the date

. g 9M NHC hements of Esplanation. ord shall be stripped of all personally of the disclosure; and (d) the compelling The Executive Director for Opera. Identifying information and reviewed to circumstances justifying the disclosure, tions, or his designee may, if he deems ensure that the identity of any individual pggg it appropriate, prepart evcise state- cannot reasonably be determined by com*

bining two or more statistical recordan $ 9.85 Fees.

ment of the reasons wh;, ..a requested (a) When chorped. Pees shall not be amendments or corrections were not (6) To the National Archives of the rnade. Any NRC " Statement of Explana. U Jted States as a record which has charged for search for or review of rec-tion" shall be included in the system og suScient historical or other value to war- ords requested pursuant to this subpart tant its continued preservation by the or for making copies or extracts of ree-records in the same manner as the

" Statement of Disagreement". Courtesy' United States Government, or to the Ad- ords in order to grant accus to records ministrator of General Services or his and male them sval!able for review, copies of the NRC statement and of the notation of dispute as marked on the designee for evaluation to determine Pees established pursuant to 31 U.S.C.

ortrinal recoro shall be furnished to the whether the record has such value; 483a and 5 U.S.C. 552ati)(5) shall be individual who requested correction or (7) To another agency or to an in.:tru- cha,rged according to the schedule con-amendment of the record, mentality of any governmental jurisdic- tained in paragraph (b) of this sec-Lion within or under the control of the tion for actual copies of records requested 6 9.69 Nun.ces of correcu.an or du.pute, United States for a civil or criminal lay by individuals pursuant .to the Privacy f a) When a record has been corrected enf orcement acth1ty if the activity is au- Act of 19*l4. Unless the Director, Omce of upon request er when a " Statement of thorized by law, and if the head of the Administration, or his designee, wiives Disagreement" has been filed, the Direc. agency or instrumenta!!ty has made a the fee because of the inability of the tor. Of5cc of Administration, or his des- written request to the NRC specifying the individual to pay. Fees shall not be ignce, shall. within 30 working days particular portion of the record desired charged where they would amount. in thereof, adstse n!! prior recipients of the and the law enforcement methity for the aggregate to less than $3.

affected record whose identity ca.n be which the record is sought. A record man (b) Schedule of */tes. Fees may only be disclosed to a law enforcement agency ' be assessed for reproduction charges for at the initiative of the NRC if criminal actual copies of records requested by in-conduct is suspected, provMed that such dividuals pursuant to the Privacy Act \

% mended 4 I R 20645.

disclosure has been established as a rou- of 1974 in accordance with the following i

Augurt 1,1980 9-10

1 1

1 l

l 1

PART 9 e PUBLIC RECORDS schedule: $ ExEMPrioNs therl2ed to act on its behalf, and shall not (1) Record sizes up to 8b x 14 inches f f 9.95 Specific enmptions, mean any body not composed of members ,

made on omee copying machines-80.10 3 Pursuant to 5 U.S.C 552a(k), portions CI,that c ] 1 bo . j per page copy. - of the following systems of records are (2) Reccrd sizes greater than 8% x 14 " exempt from 5 U.S.C. 552a(c)(3);(d): vidual sho is a member of the Commis-sion.

Anches-80.10 for each 8% x 14 inch (e)(1):(e)(4)(C),(H),(I); and (f)and are ic)

• Meeting" means the deliberations I subject to the provisions of 19.01 cf this of at least a quorum of Commissioners unit or fraction %

(3) Microfiche-4 80.15 per page copy.

thereof per page copy, -l part:

x 11 inelles- where such deliberations determine or i

(4) The charge for reproducing ree-result in the .ioint conduct or disposition ords other than those specified above ~(a) Contracts Records Ptles of omcial Commission businese, but does will be computed on the basis of NRC's (b) Of5ce of Inspector and Auditor In, not include deliberations required or per-

"I C

• dex F11e and Associated Records mitted by !! 9.305, 9.106, or i 9.308(c),

(c) Notice of antiefpeted chcrpes. (c) Development and Advancement for gatherinFs of a social or ceremonial Dat.

When it is anticipated that fees chstge. Regulatory Employees (DARE) Records ure, or tricSngs of the Commission by (d) Equal Employment Opportunity representatives of other agencies or de-able under more than thisthe

$3 and section willhas requestor amount not to h RecoMs Ees partments of the United States govern-Indicated in advance his willingness to e* (e) General' Personnel Records (O".-.- ment, or representatives of foreign gov.

pay fees as high as are anticipated, the c: cial Personnel Folder and Related Rec- ernments or international bodies there requestor shall be notified of the amount a crds) such brieSngs or discussions are informa-of the anticipated cost before copies are I e) Personnel Security Mles and h, tional in nature and are not conducted da with specine reference to any particular made. The notification shall ofer the Clate,d gg pgRjC 1 Performance Appraisals matter then p(nding before the Commis-requestor the opportunity to confer with NRC personnel with the object of re- (h) P rsonnel Research and Test Vall- sion formulating the request to meet the re- g f ..Clc4ed meeting" means a meeting questor a needs at lower cosL (1) Recruitikg. Examining and Place- of the Commission closed to public ob-(d) Form and ploce of payment. Fee m t servation as previded by 5 9.104.

payments shall be by check, draf t or } t riat Records Facility Fues (e) "Open meeting" means a meetag money order payable to the U.S. Nuclear of the Commis*lon open to public ob-Regulatory Commission. No employee of servauon pursuant to this subpart.

NRC is authorized to accept payment of g (k) Protection support files and a,s- e- e (f) " Secretary" means the Secretary

• sociated records. to the Commission, im in cash. C (1) Information security files and as, f. (g ) " General Counsel" means the Gen-(e) Advance deposit. Where the antic a fpated fee chargeable under this section ;r,ociated recoMs. { eral Ccunsel of the Commission as pro-w vided by section 25sb)'of the Atomic En-exceeds $25. an advance deposit of 25% * ~ ergy Act of 1554 and stetion 201(f) of

,,, of the anticipated fee or $25. whichever f* ' the Energy Reorganization Act of 1974.

m is FTeater, may be required. Where a re- and, until such time as the o!'5ces of that j questor has previously fai ed to pay a h (m) Appointment and Prometien Cer- cfScer are in the same location as those of fee under this section, en advance deposit

• tificate Records. the Commission, any member of his of5ce 6 of the full amount of the anticipated f

• w specially desirnated in writing by him g may be required. g pursuant to this subsection to carry out ENronecutNT his rerpensibi!! ties under this subpart.

6 9.90 Viola tions. 6 9.102 General requirement.

(a) An injunctlon or other court order 5 may be obtained pursuant to 5 U.S.C. e (n) Docume:,.! Control System, du t or ispose of C rm on iness 552af g) (1-3) to compe1 NRC to permit an 6 in Commission meetings other than in individual to review, amend or copy a O accordance with this subpart. Except as record pertaining to him, or to be accom- L- provided in f 9.104, every portion of every parJed by someone of his own choosing - meeting cf the Commissir.n shall be open s hen he rena s his record. A court order Subpart C--Covernment in the Sunsh.ent to public observation *

' may be obtaMed for the payment of a Act Regulations i 9.103 Cencral provi lons.

civil penalty imposed pursuant to 5 US C.

550a(g)(4) if NRC intentionally or will* g 9.100 Scope of Subpan. The Secretary shall ensure that all f ully fails to maintain a record accu. This subpart prescribes procH!ures cpen Commission meetings are held in a rately, or f alls to comply with any pro. pursuant to which NTtC meetings shall Wh M M m h M visien of 5 U.S C. 552a. or any provision be open to public observation pursuant t space, and adequate visibility a d a ous i

i of this subpart. if such failure results in the provisions of 5 U.S.C. bec. 552b. Tlus tics, for pub!!c observation. No additlenal g g, g g an adverse determinatloa or ha.s an ad. subpart does not afect the procedures ings is granted to any person by this sub-g erse efect on an indivicual. Court costs , pursuant to which NRC records a.re made part. An open meeting is not part of the and attorney's fees enay be as arded in y available to the public for inspection and formal or informal record of decision of CWil SCtICUS- O copying which remain governed by sub-(b) Any c5cer or e:nployee of NRC the matters discussed therein except as who wtllfuny maintains a system of rec. Se part A' except that the exemptions set otherwise required by law. Statements of views or expressions of crinton made by ords without meeting the notica require- g forth in I 9.104(a) shall gover in the case Commissioners or NRC employees at open ments of 5 U.S.C. 552a(e)(4), or who of any request made pursuant to I 9.8 meetings are not intended to represent willfuily discloses information knowing to copy or inspect the transcripts, record. final determinations or beliefs.

such disclosure to be proh!bited by 5 ings or minutes described in i 9.108. """

U.S C. 552s or.by any rules or regulations issued thereunder, may be guilty of a Access to documents considered at NRC

• criminal misdemeanor and upon convic. meetings shall continue to be governed f*

tjon may be fined up to 85000. Any person by cubpart A of this Part. *

. Such statements may not be who knowingly and willfully requests or g 9.101 De finhions. I pleaded, cited or relied upon before obtains any record concerning an indl- c" the Commission or in any proceeding As used in this subpart:

vidual from NRC under false pretenses (a) " Commission" means the ccDegial 6 under part 2 of these regulations (10 may be cons 1cted of a crimh1 raisde. body of five Commissioners or a quorum O CFR part 2) except as the Commission meanor and upon conyletion may be fined thereof as provided by section 201 of the may direct.

up to $5000. Energy Reorganization Act of 1974. or any subdivision of that collegial body au-9-11 l

1 l

l PART 9 e PUBLIC RECORDS I

[~ Members of the public attend. (vi) endanger the life or physical safety (b) Within one day cf any vote takeo ,

• Lng open Commi'.slon meetings may of law enf orcement personnel; pursuant to paragraph (a) of this see-tion, I 9.106(a) or i 9.108(c) the Secre.

(

0 se u small electronic sound recorders to 45) TReserved) h record the meeting, but the use of (9) disclose informatten the premature tary sha'I make nblicly ava!1able in the S other electronic recording equipment disclosure of which would be likely to Pub!!c Document Room a Written copy of O and cameras requires the advance algnificantly' frustrate implementatjen of such vote reflecting the vote of each a proposed Commission action, except member on the quesuon. If a portion of a Lwritten approval of the Secret ry.

that this subparagraph shall not apply in meeting is to be closed to the public, the 1

~S 9.104 Closed mecilngs. any instance where the Commission has Secretary shall, within one day of the l already disclosed to the public the con. vote taken pursuant to paragraph (a)

(a) Except where the Commission tent or nature of its proposed action, or of this section or ! 9.106(a), make pub-finds' that the public interest requires where the Commission is required to licly available in the Pubile Document otherwise, Commission meetings shall be make such disclosure on its own initiative Room a full written explanation of its closed, and the requirements of Il 9.105 prior to taking nnal action on such pro. action closing the portion together with and 9.107 shau not apply to any infor- posal; or a list of au persons expected to attend mation pertaining to such meeting other" (10) specincally concern the Commis. the meeting and their af'i!!ation, wise required by this subpart to be dis- slon's issuance of a subpoena, or the (c) The notices and lists required by closed to the public, where the Commis- Commissien's participation in a civ1] paragraph (b) of this section to be made slon determines in accordance with the action or proceeding or an action or pro. public may be withbeid frorn the public procedures of I 9.105 that opening such ceeding before a state or federal admin. to the extent that the Commission deter-rueetings or portions thereof or disclos* 1strative agency, an action in a foreign mines that such information itself would ing such information. is likely to: court cr international tribunal, or an be protected agalnst disclosure by I 9.104 (1) Disclose matters that are (D spe* arbitration, or the initiation, conduct or (a). Any such deterrninations shan be c1Scally authori:ed under criteria es. disposition by the Commission of a par. made independently of the Commission's tablished by an Executive order to be ticular case of formal agency adjudica. cetermination pursuant to paragraph (a) kept secret in the interests of national tion pursuant to 5 U.S C. Sec. 554 or of this section to close a meeting, but in defers or foreign policy, and (LD in otherwise involving a determination on accordance with the procedure of that fact properly classined pursuant to such the record after an opportunity for a subsection. Any such determination, in.

Executive order; hearing pursuant to.part 2 or similiar cluding a written explanation for the (2) Relate solely to the internal per.

provisions action and the srecific provision or pro-aonnel rules and practices of the Com- (b) ExEmples of altuations in which visions of I 9.104(a) relied upon, must m n. Commission action may be deemed to be be made publicly available to the extent (3) Disclose matters specinrany ex.

signincantly frustrated are (1) if open-permitted by the circuinstances.

' ' ing any Commission meeting or negotia- g 9.106 Per.ons affected and motions

[, h0 3 5) ed such statute (D requires that the mat-tions would be likely to disclose infor- for reconsideration.

ters be withheld from the public in such nattorrprovided or requests made to the (a) Whenever any person whose inter-Ommission in conndence h persens ests may be directly affected by a por-a manner as to leave no discretion on outside the Commksion and which would the k. sue, or (11) establishes particular tion of a meeting requests that the Com-not have been provided or made other- mission close such portlen to the public m criteria for withholding or refers to par.

E ticular types of matters to be withheld: R wise: (2) if opening a eneeting or dis R for any of the reasons referred to in U (4) disclose trade secrets and com ,, closing any information would reveal R paragraph (5), (6), or (7) af f 9.104, the c mercial or nnancial information ob O legal or other polley advice, public - Commission, upon request of any one

' tained from a person and privileged or g knowledge of which could substantially e O conSdential,ine!uding affect the outeotne such information 'y ingor or conduct of pend

• vote reasonably whether to close anticipated such meeting, litigation $,, Commissione as denned in 1 *90(d) of this title; (b) Any person may petition the Com-(5) involve accusing any person of a or negouadons; w (3) if opening any mission to reconsider its action under crime, imposing a civil penalty en any meeting or disclosing any information i 9.105(a) or pararraph (a) of this aec-would revealinformation requested by or person pursuant to 42 U.S C. Sec. 2282 or tion by niing a petition for reconsidera.

42 U.S C. Sec. 5846, or any revocation of kstimony or proposals to be given to tion with the Commission within seven any license pursuant to 42 U.S C. Sec. other agencies of government, including days af ter the date of such scuon and 2236, or formally censuring any person: the Congress and the Executive Branch before the meeting in question is held.

(C) disclo'.e information cf a personal before the requesting agency would re- -(c) A petition for recon =1deration flied celve the information, testimony or pro

• nature shere such disclosure would con. pursuant to paragraph (b) of thts sec-stttute a clearly unwarranted invasion of posals. The examples in the above sen* tion shatl state soecincally the grounds personal privacy; tence are for 1Dustrative purposes only on which the Commission action is (7) disclose investigatory reports co:n. and are not intended to be exhaust!ve- claimed to be erroneous, and shall set piled for law enferccment purposes, in* $ 9,105 Comminion procedures, forth, if sporopriate, the pub!!c interest cluding specincally enforcement of the in the clo<!ng or opening of the meet-Atomic Energy Act of 1954, as amended, (a) Aetten under ! 9.104 shall be taken ing. The niing of such a petition shai!

42 U.S C. Sec. 2011 et seq., and the En. only when a maiority of the entire mem- riot act to stay the effectiveness of the ergy Reorgr.nitation Act of 1974, as bership of the Commission votes to take Commission action or to nostpone or de-amended, 42 U S C. Sec. 5801 et seo., or such action. A separate vote of the Com- lay the meett ut in cuestion unless the missioners shall be taken sith respect to Commission orders otherwise.

information shich if written would be each Commission meeting a portion or contained in such records, but only to the extent that the production of such portions of shi*h are proposed to be $ 9.107 Public announcement of Com-records er information would (D inter, closed to the public pursuant to I 9.104, mlulon mutinp.

fere with enforcement proceedings, (11) or with respect to any information which (a) In the case of each meeting, the is preposed to be withhe'd under 8 9105 deortve a person of a richt to a fair (c). A single vote may be taken with re- Secretary shall make public announce-trial or an impartial adjudication, (iii) ment, at least one week before the meet-spect to a series of meetings, a portion constitute an unwntranted invasion of ing, of the time, place, and subject personal privaer (17) disclose the iden- or portions of which are proposed to be tity of a con".dential source and. in the closed to the pub!!c, or with respect to matter of the znecting, whetheritis to be case of a record como11ed by a criminal any information concerning such series open w closed to the pubuc, and the law enforcement authority in the course of meet!ngs, sa long as er ch meeting in nune and phone number of the ofncial of a criminal imestigation, or by an sud sedes involves the same particular designated by the Commission to respond agency conducting a lawful national se* to requests fw informauon aW the rr.atters and is scheduled to be held no # IU8 "

• C***"I ' ""

curity intelligence investigation, cons- raore than thirty days af ter the initial dential information furnished only .td meeting in such series. The vote of each made W' 0"'a mam"of W memh!

the conndential source, (v) disclose in- Commissioner partielpating in such vote s estigative techniques a nd procedures, or shaU be recorded and no proxles shall be te [a o us u -

that euch meeticg be called at an cariier 1 allcrwed. 1 i

l August 1,1980 9 12 i

PART 9 e PUBLIC RECORDS date, in which case the Sec% 1 =han vision unless the Commission votes pur- mation frem the public which has pre-make pub!!c anrouncement of L . time, suant to I 9.1054) that such certifica- vlously been withheld, then such infor-place and subjet'. matter of such met: ting, tion 1s protected against disclosure by' motion shall be made aval'able.

and whether open or closed to the public, I 9.104(a) A copy of such certification,

$ 9,109 fleport to Coneresa.

at the earliest practical time. together with a statement from the pre.

(b) The time or place of a meeting siding officer of the meeting setting forth The Secretary anall annuaUy report to may be changed foUowing the pubile the time and place of the roeet.ing, and , the Congrets regaroing the Commission's announcement required by paragraph the persons present, shan be retained by e- compliance with the Government in the (a) of this section only if the Secretary the Coromission The Commission shan R Sunshine Act, including a tabulation of pubucly announces such changes at the maintain a complete transcrifat or elec ** the total number of open rueetings, the earliest practicable time. The subject tronic recording adequate to record fully 6 total number of closed meetings, the snatter of a meeting, or the determina, the proceedings of each meeting, or por-tion of the Commission to open or close tion of a meeting closed to the publi:, ex U reasons in closing such meetings and a description of any litigation brought a meeting, or portion of a meeting, to cent that in the case of a meeting, or por ,

tion of a meeting, closed to the pubUc against the Commission pursuant to the the pubile, may be changed foUowing the public announcernent required by pursuant to parag aph (10) of I 9.104(c). Governmentin the Sunshine Act,includ.

this subsection only if (1) a majority of the Commission shan maintain such a ing any costs assessed against the Com-transcript or recording or a set of min

• mission in such litigatJon (whether or not.

the entire membership of the Commis-ston determines by a recorded vote that utes. Such minutes shall fully and clearly paid by the Commission).

Commission business so requires and that describe all matters discussed and shau no ear 11er announcement of the change provide a fun and accurate sununary of was possible, and (2) the Secretary pub- any ach Wn, aM me reas m licly announces such change and the vote therefor, including a description of each f.the views expressed on any item and of each member upon such change at rec any mkau W WMng the earliest practicable time, '"# " '#

(c) Immediately foDowing each Public question). All documents considered in announcernent required by this section, connection with any action shall be iden-not.lce of the time, place, and subject tified in such minutes.

matter of a meeting, whether the meet

• R (b) The Commission shall 'make ing is open or closed, anf change in one R promptly available to the pub!!c, in the of the preceding, and the name and ,* PubUc Document Room, the transcript, phone number of the odeial designated c: electronic recording, or minutes (as re-by the Commission to respond to requesta [ iiutred by paragnph (a) of this section) for information about the meeting, shau w of the discussion of any item on the also be rubmitted for publication in the agenda, or of any item of the testimony PreraAL RtcIsrp of any witness received at the meeting, (d) The public announcement required except for such item or items of such by paragraph (a) of this section ahn11 discussion or testirnony as the Commis-consist of the Secretary: sion dttermines pursuant to paragraph 7 (1) publicly porting a copy of the docu- (c) of this section to contain informa-3 ment in the Pubuc Document Room at tion which may be withheld under i 9.104 e 1717, H Ftreet. RW., Washington. D.C.; or i 9.105(c); Copies of such transcript, c' and. to the extent hppropriate under the or minutes, or a transcription of such re-

$ circumstaws. cording disclosing the identity of each speeker, shaU be furnished to any person

• (2) ment a copy to su pc*rsons whose names are on a maning list maintained upon payment of the actual cost of du.

for this purpose; pilcation or transcription as provided in (3) pubmitting a copy for possible 19.14. 'Ibe Secretary shall matutain a pubheation to at least two newspapers complete verbatim coprof the transcript, of general circulation in the. Washing. a cornplete copy of the minutes, cr a ton, D C. metropoutan area; ..

co:nplete electronic recortiing of each (4) any other Eneans which the See- meeting, or portion of a meeting, closed retary believes win serve to further in. to the public, for a period of at least two form any persons who might be inter. years after such meeting, or until one ested. year af ter the conclusion of any Com-(e) Action under the second sentence mission proceeding with respect to which of paragraph (a) or (b) of this section the meeting or portion was held, which-shaU be taken crily when the Commis- --

sion finds that 'the public interest 'in (cfin the case of Any meeting closed prompt Commission action or the need pursuant to I 9.104, as the last nem of to protect the ecmrnon defense or secut bw;!,Dess, the Commission shall deter-

~

rity or to protect 'the public health or mine wNeh If any, portions of the elec-ufety overrides the public interst in tronic twording, transcript or minutes and W&. U any, nems of Wormauon hr.ving full prjor notice of Commission withheld pursuant to I 9.105(c) con-meetings. tain irJormation which should be with-E 9.108 Certification, truarripw re- held pursuant to I 9.104; provided how,

<wengs and minutes, , ever, that should the Commission not make gg g such determinations immedtately following any such closed meeting, the Secretary of the to subparagranha (1) through (10) of ,

I 9.104(a) and for every determtnatkut Cornmission,' upon the adnce of the Offsm purvuant to submeetioo 9.1C6(c), the of the General Counsel and af ter consulting General Counse! aball pobticly certify at with the Commission, shall make such the time of the puhue announcement d determinstinns.

the meeting, orif there is no p@tle an-noupeement at .tbe earilest inctical [ (d) If at some later time the Commis-t2rne, tha.t in his or her opinion, the sion de' ermines that there is no further meting may be ched to the pubuc and justincation for withholding any trans-ahall state each relerant gzemptive pro. script, recording or other item of infor-9-13 August 1,1980

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PART 9 e PUBLIC RECORDS Appendix A-Request for Declassification is being appealed. j Review c.The NRC Classification Review Committee will normally render a decision '

The following guidance is provided for witiin 30 days of the receipt of an appeal. lf a g members of the pubhc desiring a 1 nger peri d is likely to be required because of the need for consultations with other l classification Nur.iear Regulatoryreview Commissionof (NRC) a document 'of the 8"'i" "' O ' '* 8 "" ** O' "8 "" "$

pursuant to sections 3-5 of Executive Order **

• 12005 (43 FR 28949. July 3.1978), and sec lon I the matter.' "

MD of the information Security Oversignt nmw .

i

d. In the event the Director Division of Office Directive No.1 Covering the Secunty. or au canon ReWew Cla ssification. Downgrading. Declassification **iitee, determ nes that the record is and Safeguardmg of National Security unclassif ed but the information appears to Information. [43 FR 46280. October 5.1978). A be of the type exempt from public disclosure Freedom ofInfortnation Act request for a under i 9.6 of this part. the requester shall be classified document may also be made in not d in writing as provided in i 9.10 of accordance with the procedures set forth in his

• @ 8'8' 2 ' 3. Suggestions and complaints. Any person

1. Request for Declass i ficationReview of 3 may make suggestions or complaints with Documents. a. Any person desinns a

• respect to NRC's administration of the declassification review of an NRC document containing information classified as National .

[ provisions of Executive Order 12065 1S00 Directive by writing to the Chairman.

and the Security Information by reason of the Classification Review Committee. U.S.

Provisions of Execune Order 12065 (or any

• predecessor Executive Order) should address Nuclear Regulatory Commission, such requests to the Director. Division of Washington DC 20555.

Security. U.S. Nuclear Regula tory 4. Other Material. NRC Manual Chapters Commission. Washington. DC. 20555. covering the NRC's classification and

b. Requests need not be mada on any declassification policied and procedures are special form but shall, as specified in the available for inspection and copying in the Executive Order, reasonably describe the NRC's Public Document Room.1717 H Street, document to enable NRC personnel to NW., Washington. DC.

identify and obtain the document from NRC 5. Classification Advice in General These records without expending more than a procedures are intended to supplement the reasonable amount of effort. policies and practices of the NRC to provide

c. Charges for locating and reproducing classification guidance with respect to copies of records will be made in accordance information originated by persons working in with ! 9.14 of this part. the nuclear energy field.The FRC will

2. Action on Requests for Declassification respond as promptly as as ai!able resources O Review. a. Esery effort willbe made to permit to questions about the proper

complete action on each request within thirty classification of information and material. ,

• 30 days of receipt of the request.If action

[ (can)not be completed within thirty (30) days. ,

, the requester shall be so advised by the

• Director. DMt N ;f Security, along with the reasons % the need for additional time. If the ret sesier does not receive a decision on the request within sisty (60) days from the date of receipt of the request by NRC. the requester may appeal to the Chairman of the NRC Classification Reuew Committee for a decision on the request. ,

b. In the es ent the Director. Division of

• Secunty, determines that requested information must remain classiGed b) reason .

of the protisions of Esecutise Order 12065.

i the requester shall be given prompt notification of that decision and shall be provided with a statement as to why the information or material cannot be declassined Classified sections of the document wi!I be identined. and the requester will be advised that a " sanitized'*

document can be presided with an appropriate unclassihed description of the deleted information. Unclassified portions of ,

the document will be made available to the requester unless withholding is warranted for ,

some other reason under the provision of applicable law. If information is denied, the ,

requester will be adsised that the decision may be appealed to the NRC Classification Review Committee. An appeal should be inade in writing addrened 10 the Chairman.

Classification Review Committee. U.S.  !

Nuclear Regulatory Commission.

Washington. DC 20555. Any such appeal y i

! should include a statement as to why the i l requester disagrees with the decision which I i

1 August 1,1980 W 1 l

l

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