ML20207E177
| ML20207E177 | |
| Person / Time | |
|---|---|
| Issue date: | 08/05/1988 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| References | |
| NRRL-104, NUDOCS 8808170089 | |
| Download: ML20207E177 (6) | |
Text
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AUG 5 ggy MEMORANDUM FOR:
All NRR Employees FROM:
Thomas E. Murley, Director l
Orfice of Nuclear Reactor Regulation
SUBJECT:
NRR OFFICE LETTER NO. 104, REVISION 1, FREEDOM 0F INFORMATION ACT REQUESTS PURPOSE l
This procedure establishes guidelines for processing Freedom of Information Act l
(F0IA) requests.
These guidelines ensure that requests are thoroughly researched and that responses are complete and timely in accordance with the F0IA Act of 1966, as amended, 10 CFR Part 9, and NRC Manual Chapter 0211.
This directive supersedes and replaces NRR Office Letter No. 104, dated August 11, 1987, by updating some responsibilities, requirements and general guidelines.
This revision also incorporates by reference NRR Office Letter No.106, Revision 1, "Release of NRC Draft or Predecisional Documents and Information.' The guidance in Office Letter No. 106 should be taken into consideration when responding to F0IA requests.
DEFINITIONS F0IA Requests are written requests from a public entity for information under the provisions of the Freedom of Information Act (5 U.S.C.).
The F0IA requires, by law, that an agency respond withir, ten (10) working days.
Agency Records include any book, paper, correspondence, report, computer tape, film, map, photograph, or other docunentary material that the NRC, in connection with its official functions, has prepared, has in its possession, i
or has under its control.
It does not include publicly available books, periodicals, or other publications owned or copyrighted by profit-making or non-profit-making organizations.
"Record" does not include objects or articles that cannot be reproduced. Drafts ara "agency records." However, early drafts
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of documents not yet in final form ma) generally be withhela from public disclosure under the provisions of Exenstion 5 of the F0IA as "predecisional advice, opinions, or recommendations.*
If a "final" draft of a documant does not differ significantly from the docuNnt issued in final form, then the "final" draft must be disclosed to a requt: ster if sought under the F0IA.
h Personal Records are uncirculated personal notes, papers, and records' that are O'M retained or discarded at the author's sole discretion, and over which the NRC T
exercises no control or dominion. However, if a "personal record" is shown or tj i transmitted to any other individual, other than for F0IA review, it becomes an j
"personal records" are maintained in the same file as, or commingled with,
/2,,h "agency record" subject to the requirements of the act.
Futhermore, if agencyrecords,thereisapresumptionthattheyarealsoagencyrecords.,{
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Contact:
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Wilda Mullinix, PMAS:NRR f
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49-21236 8808170089 880805 f-PDR ORG NRRB
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-2 Exemptions are th'e bases for withholding information from public disclosure.
There are nine exemptions under which records may be withheld. The two most frequently used in this agency are Exemptions 4 (Proprietary) and 5 (Predecis-ional). See NRC Appendix 0211, Part II, "Records Exempt From Disciosure," and 10 CFR Part 9, Subpart A, Section 9.5, "Exemptions."
RESPONSIBILITIES AND AUTHORITIES Deputy Office Director reviews denying division's decision when there is an appeal and determines whether denial should be overruled.
Division Director 1.
Signs denial memorandum to the Chief, F0IA/LPDR Branch, Division of Rules and Records.
2.
Reviews appeal to denial and determines if document (s) should continue to be withheld, j
Division / Staff Offices 1.
Give estimate of time to be spent searching, reviewing, and/or duplicating records for commercial requesters as requested by the NRR F0IA Coordinator.
2.
Search office, including NRC Document Control System (DCS/NUDOCS) and personal files for any infonnation relating to the F0IA request.
3.
Assemble copies of documents by category (release or withhold).
4.
Determine exemption applicable to documents or parts of documents being withheld. Bracket information that will be withheld.
Assioned Branch Chief or Project Director 1.
Ensures responses are complete and timely.
2.
Requests extension of due date from the NRR F0IA Coordinator if assigned date cannot be met.
3.
Approves release of information requested.
NRR F0IA Coordinator 1.
Assigns request to the individual / office (s) that may have documents.
2.
Gives to the F0IA/LPDR Branch contact, by phone, an estimate of time to be spent searching, reviewing, and/or duplicating records for commercial requesters.
3.
Ensures that documents are screened and properly marked when information is denied or partially denied.
4.
Meets with assignee, F0IA/LPDR Branch contact, and OGC, as required, to resolve questions relative to scope and specificity.
4 5.
Writes denial memorandum to Chief, F0IA/LPDR Branch, Civision of Rules and Records, from the NRR Division Director.
6.
Reviews response, assembles documents provided by different branches, and transmits documents to the F0IA/LPDR Branch.
7.
Prepares periodic reports for NRR management.
BASIC REQUIREMENTS 1.
The NRR F0IA Coordinator sends request to appropriate individuals / offices and, when appropriate, to Central Files with instructions on searching and providing a response and estimating time to be spent on requests from I
commercial requesters.
2.
The assignee determines if documents are in files or the NRC Document Control System and estimates how long it will take to search for and provide the documents.
If no documents are to be provided, the assignee completes the response memorandum and returns it to the NRR FOIA Coordinator.
3.
Questions about the scope of the request should be discussed with the NRR F0IA Coordinator so that the requester can be contacted and the scope can be more clearly defined, especially for requests asking for "all records" under a broad heading.
4.
Documents to be provided cre categorized as: Appendix A - document is in public document room (PDR); Appendix 0 - document is not in PDR but can be released; Appendix C - document should be referred to originating offices, agencies, or companies for determination on release; appendix D -
document is denied partially, or denied entirely.
The assignee determines the appropriate F0IA exemption for denials (see Part II of NRC Appendix Mll).
5.
The assignee has copies reproduced, assembles the response, prepares a list of the documents being provided, and forwards response to the NRR F0IA Coordinator.
6.
The NRR FDIA Coordinator prepares a denial memorandum for signature of the Division Director identifying documents to be denied.
7.
The NRR FOIA Coordinator refers appeals pertaining to denied documents to the denying office for review and determination on whether document (s) shoule continue to be withheld. The Divis1or, Director reviews appeals and final detenninations. The Deputy Office Director makes the final
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decision on whether document (s) will continue to be withheld.
GENERAL GUIDELINES Ge_n_eral Information 1.
F0IA requests should receive sufficient priority to enable NRR to respond within the allotted time. The NRC must respond to the requests within ten
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(10) vorking days from date of receipt.
Occasionally, it may be necessary to obtain an extension or to put some F01As in a "Hold' status pending discussions between the requester and the FOIA/LPDR Branch.
2.
If an employee receives an F0IA reqJest directly from a requester, it must be forwarded immediately to the Division of Rules and Recordt.
3.
All F0IA requests will be coordinated by the Planning, Program, and Manage-ment Support Branch (PMSB).
4.
FOIA requests will be assigned by the NRR F0IA Coordinator to the appro-priate division / branch for response.
Search The person responsible for processing an FOIA request must make a timely search, including DCS/NUDOCS, for relevant documents.
That person should contact other persons in the branch to ascertain whether they have or are aware of documents that are subject to the request.
The general rule is that a search is adequate when all of the relevant documents have been located that an individual familiar with the subject matter can reasonably be expected to find in a reasonable amount of time. The adequacy of searches has been an issue in litigation; therefore, it is imperative that staff reviews for relevant documents be thorough.
Please check to see that obvious items, like letters referenced in relatet documents, are accounted for. Also, the assignee can ask for a docket printout of documents in the POR and Central Files from the Document Control System by calling x27603.
This will enable the assignee to make a more accurate assessment of documents that are relevant to the request.
Commercial requesters are being charged for the search, review, and duplication of records provided in response to their requests.
Those assigned action on a request should provide the estimate to the NRR F0IA Coordinator by phone.
The F0IA/LPDR Branch will determine which of the above three categories will be assessed a charge.
The form used to transmit the F0IA request will indicate which category or categories are to be assessed and the phone due date.
It is imperative that the phone due date be met.
The F0IA/LPDR Branch must respond orally to commercial requesters within a specified time.
Documents Relevant to the Request 1.
Provide a copy (reproduced) of documents subject to the request to the NRR F0IA Coordinator.
Incoming documents processed through the official distribution system should be in the POR and need not be provided.
- However, identify items in the PDR b Control System (DCS/NUDOCS)y dates, applicable document numbers, Document accession numbers, etc.
2.
Provide a list of applicable documents and a description (including date of document, originator's name, recipient's name).
List the iaentifying number of any publication or report. NUREG documents need not be provided, just identify them by the NUREG number.
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3.
If you believe a document is exempt, submit it, indicating the applicable F0IA exemption.
Exempt documents must be listed and submitted separately from non-exempt documents.
If exenpt and non-exempt materials exist in the.
same document, then those portions proposed to be withheld should be marked by brackets and the applicable F0IA exemption should be noted.
Provide a "sanitized" (marked with brackets) and "unsanitized" (original) copy of those documents.
Records that are exempt from disclosure are discussed in Part II of NRC Appendix 0211. There are nine exemptions.
Specific attention should be given to Exemption 5, which covers inter-agency or intra-agency memoranda or letters that would not usually be available by law to a party in litigation.
d.
Identify any records that have been sent to or received from the Commission or a Comissioner, or that contain identifiable excerpts from records received from or sent to the Commission or a Comissioner.
i 5.
Identify any documents originated by another agency or NRC office.
6.
Highlight or identify aisy documents obtained from foreign sources.
7.
If parts of a document are relevant to a request and the rest of the document is not within the scope of the request, only the relevant parts should be released. The "scoped-out" part may be blocked out and identified as being "not within the scope of the request."
EFFECTIVE DATE This revised office letter is effective immediately.
original signed by nomas E. Murley Thomas E. Murley, Director Office of Nuclear Reactor Regulation cc:
V. Stello, ED0 17G-13 J. Taylor, ED0 17G-13 J. Partlow, OSP 7-D-4 W. Mcdonald, ARM MNBB-6201 W. Russell R-I J. Grace R-II j
A. Davis R.III i
R. Martin R.IV J. Martin R-V 7
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t 0GC 15.B.18 s
NRC PDR l-2 (Distributiononnextpage}
- See previous concurrence.
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DATE :7/1/88*
- 7/5/88*
- 7/13/88
- 7/14/88
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ADMIN RF NRC PDP WMullinix VWilsoi JBlak.a HSmith CTnomas JSniezek Thurley
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