ML20126H156

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Provides Clarification Re Protection of Requested Confidentiality.Nrc Manual Chapter 2101 Xvi, Proprietary Info Encl
ML20126H156
Person / Time
Issue date: 12/16/1983
From: Fox E
NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
To:
NRC
Shared Package
ML20126H018 List:
References
FOIA-84-601 NUDOCS 8506180268
Download: ML20126H156 (12)
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UNITED STATES NUCLEAR REGULATORY COMMISSION

WASHINGTON, D. C. 20656 j

\,*****/ DEC 161983 ,

MEMORANDUM FOR:-ATS Coordinators FROM: Edwin F. Fox Jr., ATS Coordinator Program Support Branch Office of Inspection and Enforcement

SUBJECT:

ALLEGATIONS AND REQUEST FOR PART 21.2 IDENTITY PROTECTION While the NRC Manual Chapter on Allegations is in perparation, the following clarification is provided regarding protection of requested confidentiality.

NRC MC 2101, Section A.2. C., of Part XVI " Proprietary Infomation," defines proprietary information to include:

"Infonnation received by the Comission as set forth in 10 CFR Part 21 (21.1 (a) and (b)), submitted to this agency pursuant to a claim for withholding from public disclosure, relating that a facility or activity or basic component supplied to a facility or activity:

(1) contains substantial safety hazards, or ,

(2) contains defects which could create a substantial safety hazard." '

Recognizing the intent of this part with respect to classifying, handling and marking such documents as proprietary or please be advised: 1) guidance exists in NRC MC 2101 Part XVI with respect to protection of proprietary information;

2) allegations requesting Part 21.2 protection are to be treated as proprietary (NRC MC 2101, Part XVI, A.2.C) and information containing their names (letters, memos, etc.) will be marked "Prorietary" IAW NRC MC 2101, XVI, C. Control of Documents and treated as such; and 3) guidance on transmitting this information to other ATS Coordinators is contained in NRC MC 2101, XVI, D. Transmission by Electronic."

Protection of sources of allegations is extremely important and should be handled in accordance with existing regulations. The above is provided to assist you in your dealings with such matters; if you have unique pr blems or questions con-cerning the above, please contact the Division of Secu ity.

8506180268 850419  !

PDR FOIA . ox Jr. , ATS Coordinator ADATOB4-601 PDR rogram Support Branch l Office of Inspection and Enforcement' l

Enclosure:

As Stated i cc: See Attaced List h

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! DEC 1 6 1983 I .

i Attached List

.R. Y IE i

i C. Taylor, J. M.

De oung, I I E. L. Jordan, IE i J. G. Partlow, IE j Technical Staff, IE

! J. L. Blaha, IE-R. F. Blackmon, IE l

i R. J. Brady, SEC/ADM ,

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o o NRC SECURITY PROGRAM NRC Appendix 2101 CONTENTS PART PAGE j 'XVI PROPRTETARY INFORMATION ......................................... XVI-l A. INTRODUCTION .................................................... 1

8. ACCESS .......................................................... 2
1. General Rule ............................................... 2
2. Hearings, Conferences or Discussions ....................... 2 C. CONTROL OF DOCUMENTS ............................................ 2
1. Marking of Documents ....................................... 2
2. Cover Sheet ................................................ 5
3. Protection and Handling of Documents ....................... 5
4. Reproduction ............................................... 5
5. Documents Containing Information from Foreign Sources ...... 6
6. Documents Originated Prior to This Issuance ................ 6 D. TRANSMISSION BY ELECTRONIC MEANS .................. ............. /

E. PROTECTIVE ORDERS ............................................... 7 F. UNAUTHORIZED DISCLOSURE .........................................- 7 Exhibit 1 - Proprietary Information Cover Sheet ...................... 9 1

- xix - Approved: December 10, 1980 f

NRC SECURITY PROGRAM Q NRC Apprndix 2101 i

PART XVI PROPRIETARY INFORMATION A. INTRODUCTION

1. Official Use Only, as the term is used in Part IV and this Part, is unclassified information in oral or documentary fonn:
a. originated by or furnished to NRC, or
b. originated by or furnished to an NRC contractor, i which is authorized to be withheld from public disclosure under

. the provisions of the Freedom of Information and/or Privacy Acts, and which requires special handling to assure that the informa-tion receives limited internal distribution only and is not publicly disclosed. Proprietary information is a type of Official Use Only information.

l

2. Proprietary information in accordance with this Part includes:
a. trade secrets.

, b. privileged or confidential research, development, commercial or j financial information exempt from mandatory disclosure under i

10 CFR Part 2, " Rules of Practice for Domestic Licensing Pro-ceedings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions."

c. information received by the Commission as set forth in 10 CFR Part 21 (21.1 (a) and (b)), submitted to this agency pursuant i to a claim for withholding from public disclosure, relating that a facility or activity or basic component supplied to a facility or activity:

(1) contains substantial safety hazards, or l (2) contains defects which could create a substantial safety hazard.

d. information submitted in confidence to 'the NRC by a foreign

, source and which is determined by NRC to be unclassified.

3. This Part applies to documents containing proprietary information generated by NRC and NRC contractors, and documents in the possession of NRC and NRC contractors generated by NRC licensee personnel or other owners of information claimed to be proprietary.

Official Use Only information in other categories is covered in Part IV, " Control of Official Use Only Information."

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g XVI-l Approved: December 10, 1980 f

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i NRC Appendix 2101 Ptrt XVI NRC SECURITY PROGRAM

4. The term " claimed to be proprietary" refers to documents received by NRC and NRC contractors and marked as proprietary informa-tion. These Are documents for which the NRC has made no deter-mination of the validity of the claim.

B. ACCESS I

1. General Rule. Access to proprietary information or information

! claimed to be proprietary will be given only to those persons who need the information in the conduct of official business. Functions of the proposed recipient should be considered. Access to proprietary

information or information claimed to be proprietary in documentation centers will be given to NRC persor.nel on the basis of NRC access j authorization. Such persons shall attempt to obtain this access only in connection with their duties. If any doubt exists as to whether it is proper to furnish information in any particular case, the NRC office which has programmatic responsibility for the information (e.g.,

the Office of International Programs for foreign information) shall be consulted.

2. Hearings, Conferences or Discussions. NRC and NRC contractor i personnel who participate in hearings, discussions or conferences involving proprietary information shall:
a. ascertain prior to the hearing, conference or discussion that ,. . +

participating personnel are identified and are authorized to have f

access to the information to be discussed.

i b. Indicate to participating personnel the specific data which is

{ proprietary ~ information together with any protective measures

required.

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c. assure that no discussion takes place audible to persons not authorized access to the information.

C. CONTROL OF DOCUMENTS

, 1. Marking of Documents i

a. On Origination or Submission.- Documents which contain trade 2

! secrets or other privileged or confidential commercial or

-j financial information as set forth in A . 2. b . above, .shall be

r. larked to indicate that' fact. Markings shall be placed on the document on origination by NRC or NRC contractors. If docu-ments containing this information submitted to NRC or NRC 4 contractors by NRC licensees or other owners of information i are known to be proprietary and not so marked, they shall be marked accordingly by holders. Documents claimed to be pro-i prietary shall be so marked after NRC determination that they contain proprietary information.

b Approved: December 10, 1980 XVI-2 r

=

o o NRC Apptndix 2101

, NRC SECURITY PROGRAM Part XVI (1) " PROPRIETARY INFORMATION" The words " PROPRIETARY INFORMATION" shall be placed conspicuously at the top and bottom on the front cover (if any) other than the cover sheet, title page (if any),

the first page of text (if there is no front cover or title page), the outside of the back cover (if any), or outside of the back page if there is no back cover.

(2) " TRADE SECRET OR PRIVILEGED OR CONFIDENTIAL COM-MERCIAL OR FINANCIAL INFORMATION" MARKING The wording set forth below shall be placed at the bottom of the front cover and title page, or first page of text if there is no front cover or title page:

" TRADE SECRET OR PRIVILEGED OR CONFIDENTIAL COMMERCIAL OR FINANCIAL INFORMATION This document contains information submitted to the NRC by (Name of Company) (Name of Submitter) (Name of Originator) -

which has been determined (which is claimed) to be pro-prietary in accordance with (10 CFR 2.790(b)) (10 CFR 9.5)

(10 CFR Part 21) and is exempt from mandatory public disclosure pursuant to 10 CFR Part 9.

WITHHOLD FROM PUBLIC DISCLOSURE ft (Signature & Title) (Office) (Date)

The signature, title, and office shall be those of a member of the NRC staff or NRC contractor personnel who make this determination. The person who signs shall modify the wording and cross out the wording which is not applicable.

If documents contain both Official Use Only information, as set forth in Appendix 2101, Part IV, and proprietary information, the front cover, title page and first page of text shall be marked as proprietary information and with the Official Use Only markings (if the originator deems it necessary). Other pages that contain proprietary informa-tion may be marked accordingly. The pages that contain Official Use Only information may be marked to indicate that fact, if the document is marked as Official Use Only or if otherwise deemed necessary.

XVI-3 Approved: December 10, 1980 t

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l NRC Appendix 2101 NRC SECURITY PROGRAM l

Part XVI i

These provisions do not preclude the addition of other markings inadvertently omitted by the individual who Tupplied the proprietary documents to NRC.

' b. On Transmittal Documerits. Documents (e.g. , cover letters or memoranda) which do not in themselves contain proprietary information or information claimed to be proprietary but are used to transmit other documents containing proprietary 'infor-mation or information claimed to be proprietary shall be stamped or printed with PROPRIETARY INFORMATION at the top and bottom of the first page and shall also contain the fonowing wording at the side or bottom of the page: "Enclo-

! sure(s) contain(s) PROPRIETARY INFORMATION. Decontroued when separated from attachments."

c. - On Removal from Category. The person who determined that the disclosure of a document should be limited, or the appro-i priate program office, may remove the limitations. The person taking the action shan place on the document the stamp set forth in e. below, and as a minimum, line out the markings on the first page of text and on the outside of front and back i covers, if any.

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d. By Persons Other than Individuals Authorizing Removal. If at
  • any time it is no longer necessary to retain the PROPRIETARY INFORMATION markings on a document, the originator, his successor, or the person authorizing removal from the PRO-PRIETARY INFORMATION category, to the extent feasible, i

j shall advise the persons to whom the document was sent.

e Persons advised that the marking is no longer required, to the extent feasible, shall line out the PROPRIETARY INFORMATION l

markings on the copies in their possession as set forth in c.

I above.

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e. Where Exemption from Public Disclosure is CanceUed. If the l

) exempt status of the information is cancelled or is to be can-celled, that fact should be indicated on the covers and title pages, or if there are no covers or title pages, on the first

pages, by wording as fonows

"The exempt status of the information contained in l

this document is cancelled on. (or after) l (Signature and Title) (Office) (Date) . "

The date of cancenation or the event which win result in can-cellation shan be set forth. The last line must be completed with the signature, title, and office of the person authorizing the action and the date of authorization.

Approved: December 10, 1980 XVI-4 1

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NRC SECURITCROGRAM unc ^99=ndix 2101 1 Part XVI l l t

2. Cover Sheet. Each hard copy of a document in possession of the j NRC, or its contractors, containing trade secrets or privileged or confidential research, development, commercial or financial informa-

! tion , shall contain a copy of the " PROPRIETARY INFORMATION"

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cover sheet, NRC Form 190, (See Exhibit 1). This cover sheet shall tm placed on documents prepared by NRC or NRC contractor person-

, nel on preparation.

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! A copy of the cover sheet shall be placed on each hard copy of a

! document in the possession of NRC and its contractors prepared by j sources outside of the NRC and marked to indicate that it contains

proprietary information. ,

1 i This cover sheet shall be placed on the document when received by NRC or NRC contractors or if it is marked subsequent to receipt at the time of marking. Normally, a central distribution point, if any, should place the cover sheet on the document. If documents marked

" PROPRIETARY INFORMATION" do not contain the cover sheet, I . holders will assure that it is added when the documents are handled i or withdrawn from files. This cover sheet shall remain on the docu-ment at all times when not in security containers. Each cover sheet shall be completed with as much of the information as applicable j identifying the document set forth on the face of the cover sheet.

i 3. Protection and Handling of Documents. Documents containing or

claimed to contain proprietary information shall be stored, destroyed

! and otherwise handled in accordance with the provisions of Part IV i of this Appendix for Offical Use Only Information. -

) Documents containing or claimed to contain proprietary information l shall be transmitted in accordance with provisions of Part IV for

Official Use Only Information. One opaque envelope or wrappar as a '

j minimum shall be used in transmissions outside NRC Headquarters 2 and Regional Offices, whether to or from NRC contractor facilities,

between contractor facilities, to NRC licensees, or other locations.

3 No indication of the nature of the contents shall be contained on

the envelope or wrapper. In situations where such measure is be-i lieved necessary, e.g. , to preclude access by unauthorized person-nel, two envelopes or wrappers shall be used. No indication of the

! nature of the contents shall be placed on the outer envelope or i wrapper. The inner envelope shall bear the words " PROPRIETARY j INFORMATION" on the front and back.

] 4. Reproduction. Documents containing or claimed to contain proprie-

, tary information may be reproduced by authorized holders provided

{ there is no unauthorized access during reproduction. If reproduc-i tion (copying or printing) of proprietary information is requested, j the requisition, NRC Form 20 for this service, should contain the

! following information. The requestor should place an asterisk in the 1 blocks marked " UNCLASSIFIED" and "other" and include an expla-nation in the special instruction block as to the proprietary infor-

mation contents. This action is intended to assure that if there is
any waste, it will be bagged and properly disposed of. Markings on l matter to be reproduced should be dark enough to be reproduced.

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! XVI-5 Approved: December 10, 1980 1

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NRC Apprndix 2101 Part XVI NRC SECURITY PROGRAM i

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5. Documents Containing Information from Foreign Sources. Documents are deemed pursuant to 10 CFR 2.790(d) to be commercial or financial information within the meaning'of 10 CFR Part 9, specifically Sec-tion 9.5(a)(4), and subject to disclosure only in accordance with the provisions of Section 9.12 if they are determined not to contain classified infomation, _ but contain information submitted in con-

' fidence to the NRC by a foreign source.

Documents containing foreign information submitted in confid.ence

shall be marked conspicuously
a. on the top and bottom of front covers (if any) other than cover, sheets, on title pages (if any), on first pages (if there
are no front covers or title pages), on the outside of back covers (if any) or back pages (if there are no back covers) with the wording " PROPRIETARY INFORMATION," and
b. ,at the bottom of front covers (if any) other than cover sheets, and title pages (if any) or first pages (if there are no front

] covers or title pages), with the wording:

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" FOREIGN INFORMATION This document contains infomation submitted to the NRC by i- .

] (Name of Organization) - *

! which is described in 10 CFR 2.790(d)(2) and is exempt from

mandatory public disclosure pursuant to 10 CFR Part 9.

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WITHHOLD FROM PUBLIC DISCLOSURE i n (Signature and Title) (Office) (Data)

The line "Name of Organization" identifying the source of the 2

infomation shall contain such information as appropriate.

2 Documents containing such foreign information shall comply in i

all respects other than marking with the provisions of C.I.,

2. , 3. and 4. above.
6. Documents Originated Prior to This Issuance. Documents containing proprietary information in the possession of NRC or NRC contractors l originated prior to this issuance shall be handled in the manner set i forth in C.1 through C.5 above. These documents need not be
marked until they are withdrawn from repositories. Holders shall j coordinate with the appropriate program office; assure agreement on l'

handling of individual documents or on handling on a blanket basis.

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Approved
December 10, 1980 XVI-6 i

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NRC App 1ndix 2101

, NRC SECURITY PROGRAM Part XVI D. TRANSMISSION BY ELECTRONIC MEANS -

Utmost discretion should be used in transmissions by electronic means (e.g. ,Melephone, facsimile machines or automatic data processing). Mail channels are preferable.. Proprietary information will be encrypted, if requested by the sender and if facilities are available, as indicated by the use of the words "EFTO" (Encrypt for Transmission Only) placed on the message fonn between the names of the sender and addressee and text of the message.

E. PROTECTIVE ORDERS

1. Section 2.740(c) of 10 CFR Part 2 provides authority to presiding officers in proceedings subject to Part 2 to determine, on motion, that a trade secret or other confidential research, development, or commercial information not be disclosed or be disclosed only in a designated way. Such a determination is contained in a protective order issued by the presiding officer which sets forth procedures necessary to protect the information.
2. Information subject to a protective order shall be protected and handled in accord with the terms of that order. When issuing pro-tective orders, presiding officers will take into account the proce-dures set forth above, and, to the extent feasible, incorporate them into the protective order. To the extent that they do not conflict with the provisions of a protective order, the procedures set-forth above shall be employed with respect to infonnation subject to a protective order.

F. UNAUTHORIZED DISCLOSURE Directors of Offices and Divisions, Headquarters, and Regional Offices shall make an immediate report in writing to the Director, Division of Security , and the Director, Office of Inspector and Auditor, of any unauthorized disclosure of proprietary information by any NRC or NRC contractor employee.

XVI-7 Approved: December 10, 1980 e

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NRC Appsndix 2101

, NRC SECURITY PROGRAM Part XVI EXHIBIT I PROPRIETARY INFORMATION NOTICT THE ATTACHED DOCUMENT CONTAINS "PROPRI-ETARY INFORMATION" AND SHOULD BE HANDLED AS NRC " OFFICIAL USE ONLY" lliFORMATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-TlON IN THE CONDUCT OF OFFICIAL BUSINESS AND SHOULD BE STORED, TRANSFERRED, AND DISPOSED OF BY EACH RECIPIENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILABLE TO UNAUTHORIZED PERSONS.

COPY NO.

! DOCKET NO.

CONTROL NO.

REPORT NO.

REC'D W/LTR DTD.

1 PROPRIETARY INFORMATION XVI-9 Approved: December 10, 1980 t

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O O NOTICE THE ATTACHED DOCUMENT CONTAINS "PROPRI-ETARY INFORMATION" AND SHOULD BE HANDLED AS NRC " OFFICIAL USE ONLY" tilFORMATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-TION IN THE CONDUCT OF OFFICIAL BUSINESS AND

. SHOULD BE STORED, TRANSFERRED, AND DISPOSED OF BY EACH RECIPlENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILABLE TO UNAUTHORIZED PERSONS.

COPY NO.

DOCKET NO.

CONTROL NO.

REPORT NO REC'D W/LTR DTD.

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PROPRIETARY INFORMATION XVI-9 Appmved: December 10, 1980

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