ML20217H251
| ML20217H251 | |
| Person / Time | |
|---|---|
| Issue date: | 07/08/1997 |
| From: | Halman E NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Galante A NRC |
| Shared Package | |
| ML20217H029 | List: |
| References | |
| FRN-62FR46922, RULE-PR-9 AF78-1-007, NUDOCS 9910220086 | |
| Download: ML20217H251 (1) | |
Text
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j NUCLEAR REGULATORY COMMISSION 4
UNITED STATES f
WASHINGTON, D.C. 20555 4001 o
s,*****/
July 8, 1997 MEMORANDUM TO:
A. J. Galante Chief Information Officer FROM:
Edward L. Halman, Dir Office of Administratio
SUBJECT:
PROPOSED RULE AMENDING 10 CFR PART 9, SUBPART A - FREEDOM OF INFORMATION ACT REGULATIONS in response to your memorandum dated June 26,1997, my staff has reviewed and concurs in the subject proposed rule. Attached is a marked draft of the proposed rule that includes our comments.
We note specifically that the provisions in the draft rule at @ 9.25(g) should be expanded to include records located in the offices of the Chief Financial Officer and the Chief Information Officer, in addition to offices reporting to the Executive Director for Operations.
Questions regarding this review should be directed to David L. Meyer, Chief, Rules and Directives Branch at 415-7162 (DLM1).
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Attachment:
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As stated
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9910220086 991020 PDR PR 9 62FR46922 PDR 1
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ma UNITED STATES g
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NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 2055W1 June 26,1997 MEMORANDUM TO:
L. Joseph Callan Executive Director for Operations Jesse L. Funches Chief Financial Officer Edward Halman, Director Office of Administration Donald F. Hassell, Assistant General Counsel for Administration Office of the GenetaA Counsel
< b,A A.
J. Galante Chief Informati(bd fficer
,FROM:
SUBJECT:
PROPOSED RULE AMENDING 10 CFR PART 9, SUBPART A-FREEDOM OF INFORMATION ACT REGULATIONS Attached for your concurrence is the notice of a proposed rule for publication in the Federal Register. The proposed rule is to amend NRC regulations, 10 CFR Part 9, Subpart A-Freedom of Information Act Regulations, to implement new requirements
. imposed by the Electronic Freedom of Information Act Amendments j
of 1996 (EFOIA).
The EFOIA requires agencies to publish a final rule to be effective on October 1, 1997, implementing the new amendments.
Therefore, to speed the concurrence process, I am providing each addreasee a separate concurrence copy of the notice.
Please provide your concurrence as soon as possible but not later than COB July 9, 1997.
Earlier versions of this notice have already been informally reviewed by appropriate members of your staff and l
their comments have been incorporated.
TjfjppoG C/Ypf
P-L. Callan, et al. ;
I have also attached for your information and reference a copy of the memorandum from the Office of the General Counsel, dated November 7, 1996, that summarizes the requirements of the EFOIA.
If you or your staff have any questions, please contact Russ Powell on 415-6527 or e-mail RAP 1.
Your prompt attention to this matter will be appreciated.
Attachments:
As stated cc:
A.E.. Levin, IRM M.P.
Siemien, OGC D.L. Meyer, ADM l
B.J.
Shelton, IRM E.
Bell, OIG J. Hoyla, SECY l
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(7590-01-P]
Draf t (June 24,1997 10:21am)
NUCLEAR REGULATORY COMMISSION 10 CFR Part 9 RIN 3150-AF78 Electronic Freedom of Information Act: Implementation AGENCY:
Nuclear Regulatory Commission.
ACTION:
Proposed rule.
SUMMARY
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to implement the Electronic Freedom of Information Act Amendments of 1996 (EFOIA), which are designed to bring the Freedom of Information Act (FOIA) into the information and electronic age by clarifying that FOIA applies to records maintained in hardcopy or electronic format.
The proposed rule would implement statutory provisions of the law that broaden public access to government information by placing more records on-line and expanding the role of the agency public document room. The proposed rule would implement statutory onendments that recognize the difficulty in responding to requests in the 10 days formerly required and extend that time to 20 days.
It also provides procedures for agencies to discuss ways of tailoring requests to p
improve responsiveness.jThe proposed rule would amend NRC's FOIA regulations to comply with the requirements of the new statute.,Certain other changes have been made to correct administrative errors and to update or remove obsolete information.
DATES:
Submit comments by 30 days from date of oublication J
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Comments received after this date will'be considered if it is practical to do so, but the NRC is able to assure; consideration only for commente y
received on or before this'date.
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l' ADDRESSES:~ --Send = comments to: Secretary,: U.S. Nuclear Regulatory Commission, Washington,;DC 20555-0001, Attention: Rulemakings and Edjudications Stafs.
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l JkHanddelivercommentsto ll555 Rockville Pike, Rockville, Maryland, between 7:30 am and 4:15 pm Federal workdays, ff'Examinecommentsreceivedat The NRC Public Document Room, 2120 L Street,
. NW. (Lower Level), Washington, DC.
,FOR FURTHER INFORMATION CONTACT:
Russell A.-Powell, Chief, Freedom of Information/ Local Public Document Room Branch. Office of Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001,
-telephone
-(301) 415-7169, e-mails RAPl@nrc. gov.
SUPPLEMENTARY INFORMATION:
Background'Information On' October 2,:1996, the President signed-into law the Electronic Freedom of Information Act Amendments of 1996 (EFOIA), Public Law 231, 110 Stat. 3048 l
(1996). EFOIA' includes provisions authorizing or requiring agencies to promulgate regulations implementing certain of its requirements, including the tracking of Freedom of Information Act (FOIA) requests, the aggregation of In addition, FOIA requests, ' and the expedited processing of FOIA requests.
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to EFOIA changes the' time limit' for responding to a FOIA request from ten for reporting FOIA activities to Congrees, and twenty days, the requirementt ill respond the cases in'which an agency may extend the' time within which it w EFOIA'also includes provisions regarding the availability l
to a FOIA: request.g d
and the of documents in electronic form, the treatment of electronic recor s, establishment of " electronic reading rooms."
its regulation j
.The Nuclear Regulatory Commission proposes to amend The proposed amendments would revise 10 CFR Part 9.
implementing the FOIA, the NRC's FOIA' regulations to comply with EFOIA.
New Provisions I
A. dew and revised definitions.
Freedom of Information l
.The proposed rule would establish a new tit e, l
ible for Act and Privacy.Act Officer,.for the designated official respons
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in lieu of using the organizational l
administration of the FOIA and Privacy Act l
i of these-title of the responsible individual which may not be as indicat ve M
dded to 10 CFR specific responsibilities. A new definition is proposed to be a i
A 9.13 to reflect this new title.
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The definition of record woul.1 be amended to add "any informat on C 552) when would be an agency' record subject to the requirements of (5 US and to including an electronic format" maintained by an agency in any format,
... drawing, diagrem, read " Record also~ includes a book, l
h The definition of review time would be revised to remove from t l
" excising from the records those portions which definition the period spent are to be withheld." '
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B. Electronic Records.
d" for Section 3 of EFOIA amends 5 USC 552(f)(2) to define "ageacy recor 3
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y record purposes of FOIA as ir.cluding "any information that would be an agenc when maintained by an agency in any subject to the requirements of (5 USC 552)
Section 552(f) thus clarifies that including an electronic format."
- format, t
readable the term " agency record" includes information stored in any compu er IV ld format as well as traditional paper documents. The proposed regulations wou b
l tronic format amend 10 CFR 9.13 to specifier.lly include information in an e ec 10 CFR 9.13 specifically within the definition of the term " record."
d by includes in the definition of " search" time spent reviewing recor s automated means as well as manually.
C. Electronic Reading Room.
ired Section 4 of EFOIA amends 5 USC 552(a)(2))which previously requ i
rtain agencies to make available for public inspection and copy ng ce i i trative information, such as agency opinions and policy statements, adm n s f the public.
The staff manuals and staff instructions that affect a member o h t have been made new law expands these categories to include agency records t a itive public publicly available and are likely to be the subject of repet l
t as well as a general index of ther-frequently sought documen s.
- requests, records created on or The mmendments further previde that section 552(a)(2) 1996, must be made available by computer telecommunications after November 1, (by October 1, 1997),
within one year after the date of enactment of the law by other or if computer te.ecommunications have not been established, The general inds; of these records is to be available by electronic means.
These new requirements, as 1999.
computer telecommunications by Decembar 31, t, would be well as the on-line address for NRC's homepage on the Interne and (e).
incorporated in 10 CFR 9.21(c)(7) 4
4 Finally, where material has been withheld in electronic records made available to the public, the extent of the deletions must now be indicated on the portion of the record made available or published and, where technically possible, must be indicated at the place in the record where the deletion f
occurred. This new requirement would be included at 10 CFR 9.19(d).
D.
Honoring Form or Format of Requests.
EFOIA, 5 U.S.C. 552(a)(3) contains three,.gnificant new provisions.
First, 5 U.S.C.552(a)(3)gB) requires agencies, when making records available to the public, to do so "in any form or format requested by the person if the This record is readily reproducible by the agency" in the requested manner.j new requirement would be included in 10 CFR 9.15.
Second, 5 U.S.C.
552 (a)(3)(c) makes it clear that when an FOIA request is received, an agency should not only search for haro copies, but should also search for the records in their electronic form. This new requirement would be included in 10 CFR 9.15.
Finally, a " search" under the amendments means to review, manually "or by automated means," agency records for the purpose of locating those records which are responsive to a request.
This new requirement would be o
incorporated in 10 CFR 9.13 in the definition of " search time."
E. Time Limits for Responding to Requests.
In recognition of the fact that 10 days is not a realistic standard, th9 EFOIA amendments, 5 U.S.C.
552(a)(6)(A)(i), extend the time to respond to a l %.
request' from ted to twenty working days.
10 CFR 9.25 would be amended to reflect the change in the time limits for initial disclosure determination from 10 to 20 working days effective october 2, 1997.
F. Multitrack Processing of Requests.
However, Congress recognized that even with the increase in time to 5
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- process requests,lmany agencies may not be prepared to meet a 20 working-day A
deadline for some requests. Therefore, to help ensure timely agency responses to requests, the new law, 5 U.S.C. 552(a)(6)(D)(1), auchorizes agencies to establisi. separate systems within the agency for handling simple and complex 45 of requests. Urder these typd syntems, called "multitrack processing," requests l
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e, would be categorized based on the amount of agency effort involved in processing the request. This would replace'the current first-in, first out approach generally employed at.the NRC.-
Agencies must still exercise due diligence within each' track..The new law, 5 U.S.C.
552(a)(6)(D)(ii), also l
requires agencies'to give requesters the opportunity to limit the scope of their requests : +o qualify for processing under a f aster track. This provision is ir. tended to permit more requests to be completed more quickly by providing an incentive for requesters to frame narrower requests for fewer documents.
These new provisions would be incorporated in NRC's proposed three-track system described in 10 CFR 9.25(c).
The first track is for simple requesto or requests of moderate 6 9.,
complexity tha* are expected to be completed within 20 working days pa request l
that does not involve a large volume of documents, retrieval of documents from f
regional offices, or extensive coordination between NRC offices).
The second track is for requests of. involving unusual circumstances that are expected to take between 21-30 working days to complete.
The third track is for requests that, because of their unusual volume or complexity, are expected to take more than 30 working days to complete.
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Upon receipt of requestf NRC would notify, requester / of the track in l
l which'the request has been placed for processing and the estimated time for tr completion. Should subsequent information substantially change the estimated A
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e-J he time to process $Irequest, the requester.would be notified telephonically or l
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.p in writing. A requester may modify 411pf request to allow it to be processed under a different track for a faster response.
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G. Unusual Circumstances.
Even with use of multitrack processing, Congress recognized that in some circumstances the statutory response time will not be met.
The EFOIA retains
.the provisions for agencies to extend the initial 20 working. day response time Eer b
for
,,8-Q(P a request or the 20 working-day response time (3D an appeal for an A
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4 additional 10 working days in " unusual circumstances." Agencies must provide
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therequesterwithwrittenjustificationffortheextensionthatcontainsthe f
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The +mendments would retain the date Sf the expected agency response.
definition of " unusual circumstances" as time needed to search for and collect the requested records from field facilities or other establishments that are the need to search for, separate from the office processing the request; and appropriately examine a voluminous amount of material demanded in collect and the need for consultation with another agency having a a single request; substantial interest in the determination of the request or among two or more in the request. These parts of the agency ha'ving substantial interest consultations must be corducted "with all practicable speed." 5 U.S.C.
552(a)(6)(B)(iii).
H. Exceptional Circumstances.
In addition to extensions under unusual circumstances, the EFOIA amendments, 5 U.S.C. 552(a)(6)(B)(ii), authorize the agency to negotiate a response time with a requester that may exceed the statutory maximum (204 ho t' for those FOIA requests whichs' working days plus a 10 working-day extension) the agency determines cannot be processed within the statutory time limits.
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The agency must offer.the requester an' opportunity to limit the scope of the request so that it may be processed within the prescribed 20 working days.
. Congress asserted that this process for negotiated time limits reflects the l
policy that FOIA works best when' requesters and agencies work together to define and fulfill reasonable requests. This new provision would be incorporated.in 10 CFR 9.25(c).
I.' Aggregation of Requests The EFOIA amendments, 5 U.S.C. 552(a)(6)(B)(iv), authorize agencies to l
promulgate regulations that allow for the aggregation of FOIA requests by the eame requester or by a group of requesters acting together. Aggregation may
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b occur if the agency " reasonably believes" ts.at these multiple requests do j
k indeed constitute a single request. This new provision would be implemented in
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i J. Requests for Expedited Processing.
The EFOIA amendments, 5 U.S.C. 552(a)(6)(E)(1), require agencies to a
. promulgate regulations to provide for " expedited processing" in cases where the person requesting the recorda demonstrates a " compelling need" and in r
other cases where the agency determines expedited grocessing is warranted. The A
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amendments /5U.S.C. 552(a)(6)(E);\\),' define " compelling need" in two ways.
One is where "a failure to obtair. requested records on an expeditud basis.
could reasonably be expected.to pose an imminent threat to the life or physical safety of an individual." The other is where a " person primarily engaged in disseminating information" 'o the publicLhas "an urgency to inform activity."
The tho'public concerning actual or alleged Federal Government i
. House Committee report explaining the legislation states that a person j
"primarily engaged" in the business of dissemination of information "should 8
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not include individuals who are engaged only incidentally in the dissemination of information," but requires that "information dissemination be the main A
activity of the requester, although it need not be their sole occupation."
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requester who "only incidentally" involved (himsel,f, in information dissemination, in addition to other activities, would not satisfy this requirement.
The report further explains that the term " urgency to inform," one of the qualifying elements for expedited processing, must involve a matter of
" current exigency to the American public" such that any reasonable person could conclude that delaying a response to a FOIA request would compromise a j
1 "significant recognized interest." The public's right to know, while "significant and important," would not stand alone as sufficient to satisfy this standard. Agencies will have to make both " factual and subjective judgments" about situations cited by requesters as reasons for expedited processing and must demonstrate " fairness and diligence" in exercising their discretion.
Requestr.ars must provide detailed explanations to support their expedited requests.
I The EFOIA Amendments, 5 U.S.C.
552(a)(6)(E)(li), require that agency
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regulations provide that requesters be given notice within 10 days after the date of the request as to the determination whether it qualifies for expedited processing. Once expedited processing is granted, agencies must process it "as soon as practicable" (5 USC 552 (a)(6)(E)(iii)). Any administrative appeal to a denial of expedited processing must be handled with " expeditious consideration" (5 USC 552 (a)(6)(E)(ii)(II)).
If an agency denies the request for expedited processing or fails to act upon the request within the l
l prescribed 10 days, petitioner may seek judicial review.
The NRC would n
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implement the EFOIA requirements for expedited processing at 10 CFR 9.25(e) j l
and 9.29.
t K. Estimates of the volume of materials denied l
EFOIA, 5 U.S.C. 552(a)(6)(F), requires agencies to make a reasonnole l
is denied effort to estimate the volume of any requested record material that l
1 and to provide the estimate to the requester unless j
in whole or in part, tm x y
providing such estimate would harm an,d interest protected by a FOIA exemption.
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This new requirement would be implemented at 10 CFR 9.19(c).
L. Annual Report to Congress i
The EFOIA, 5 U.S.C. 552(e), amended the annual requirements for
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-r-On or before February 1 of each
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- reporting agen y FOIA activities to Congress.
year beginning in 1998, agencies must submit to the Attorney General an annual report that covers the preceding fiscal year and includes the number of
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4 to comply with the requests for records determinations made by the agency not made to the agency and the reasons'for those determinations; the number of the results of those appeals, and the reason for the appeals made by persons, I
results in a denial of information; a complete action upon er:h appeal that
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c' listofallstatutesthattheagencyusedtoauthorizetheggej}c}tkwithholdir;!
information under Section 552 (b)(3), which exempts information that is a description of specifically exempted from disclosure by other statutes; whether a court has upheld the decision of the agency to withhold information and a concise description of the scope of under each of those statutes cited, any information upheld; the number of requests for records pending before the agency as of September 30 of the preceding year, and the median number of days W eg.
that(juchf reguests had been pending before the agency as of that deter the number of requests for records received by the agency and the number of 10 i
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requests which the agency processed; the median number of days taken by the agency to process different types of requests; the total amount of fees collected by the agency for processing requests; the average amount of time that the agency estimates as necessary, based on the past experience of the agency, to comply with dif ferent types of requests; the number of full-time A
staff of the agency devoted to the processing of requests for records under s ucse this section; and the total amount expended by the agency for processing such>'
D requests.gThe NRC would implement this amended EFOIA reporting requirement in 10 CFR 9.45.
The amendments require each agency to make these annual reports avai2sble to the public through a computer retwork, or by other electronic The NRC has means if computer networking is not a possibility for the agency.
is accessible posted its annual report on its website on the Internet that through the NRC homepage at: http\\\\www.nrc. gov. The report is also available
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in the NRC Public Document Room, i
Environmental Impact - Categorical Exclusion The NRC has deterrined that this proposed rule is the type of action Therefore, neither an described in categorical exclusion 10 CFR 51.22(c)(1).
statement nor an environmental assessment has been environmental impact prepared for this proposed rule.
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Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information I
collection requirement subject to the Paperwork Reduction Act of 1995 (44 U.S.C.
3501 et seq.).
Existing requirements were approved by the Office of Management and Budget, approval number 3150-0043.
1 Regulatory Analysis Pin 'y, This proposed rule would implement the EFOIA by amending 10 CFR Subpart s
A - Freedom of Information Act Regulations. This is an administrative regulatory action that would make NRC's regulations reflect the new provinicns of the EFOIA.
The pror7 sed rule would not have any adverse economic impact on any class of licensee or the NRC; on the contrary, the proposed rule with its new provisions allowing expedited and multitrack processing may provide some new and additional benefit to those who may opt to use these regulations to obtain access to NRC records and information.
This constitutes the regulatory analysis for this proposed rule.
Reg.latory Flexibility Ca**'fication As' required by the Regulatory Flexibility Act (5 U.S.C.
605(b)), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities.
The amendments to 10 CFR Part 9 are procedural in nature and are required to implement the Electronic Freedom of Information Act Amendments nf 1996 (EFOIA), 5 U.S.C. 552.
Backfit Analysis The NRC has determined that the backfit rule 10 CFR 50.109 does not 12
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apply to this proposed rule,*and(j therefore, h
a backfit analysis is not required-for this. proposed rule because these amendments do not involve any provisions that"would impose backfits.as defined in 10 CFR E&TiGigajt -
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- List of Subjects in 10 CFR Part 9 Criminal penalties, Freedom of information, Privacy, Reporting and recordkeeping requirements, Sunshine Act.
For.the reasons set'out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C. 552, 552a, and 553; the NRC is proposing to adopt the
-following amendment of 10 CFR Part 9, Subpart A-- Freedom of Information Act Regulations.
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PART 9--PUBLIC-RECORDS
- 1. The authority' citation'for Part.9 continues to read as follows:
Authority: Sec. 161, 68 Stat. 948, as' amended (42 U.S.C. 2201); sec. 201,'88 Stat. 1242, as amended (42 U.S.C. 5841).
Subpart A also issued under 5 U.S.C. 552; 31 U.S.C. 9701; Pub. L. 99 - 570.
Subpart a-1'sLalso issued under 5 U.S.C.
552a.
Subpart C also issued under 5 U.S.C. 552b.
2.
In 5 9.8, paragraph (b) is revised to read as follows:
.5 't,6 % Ko..~4 k c.eItre4,.% <* p en~ h : om8 a pe n **l.
j (b)LThe appenved information collection requirements contained in this part appear in 55=9.23, 9.29, 9.40, 9.41, 9.53, 9.54, 9.55, 9.65, 9.66, and 9.67.
3.
In Part 9, Subpart A is revised to read as follows:
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Subpart A--Freedom of Information Act Regulations 9.11' Scope of subpart.
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9.13 Definitions.
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1 9.15. Availability'of records.
9.17 Agency records exempt from public disclosure.
9.19 Segregation of' exempt information and deletion of identifying details.
9.'21-Publicly-available records.
N 9.23. Requests for records.
1 9.25. Initial disclosure determination.
j 9.27 Form and content of responses.
9.29 Appeal from' initial determination.
19.31 Extension of time for response, j
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o 9.33 Search, review, and special service fees.
9.34 Assessment'of interest and debt collection.
9.35 Duplication fees.
9.37 Fees for search and review of agency records by NRC personnel.
9.39 Search and duplication provided without charge.
9.40 Assessment of fees.
9.41 Requests for waiver or reduction of fees.
0 9.43 Processing (f[f) requests 1 for a waiver or reduction of fees.
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I 9.45 Annual report to Congress.
Subpart A--Freedom of Information Act Regulations S 9.11 Scepe of subpart.
This subpart prescribes procedures for making NRC agency' records available to the public for inspec* ion and copying pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552) and provides notice of procedures for obtaining NRC records otherwise publicly available.,This subpart does not affect the dissemination or distribution of NRC-originated, or NRC contractor-originated, information to the public under any other NRC public, technical, or other information program or policy.
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$ 9.13 Definitions.
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I Acency record means a record in the possession and control of the NRC that l
1s associated with Government business. Agency repord does not include records such as--
(1) Publicly-available books, periodicals, or other publications that are f.
owned or copyrighted by non-Federal sources; (2) Records solely in the possession and control of NRC contractors; (3) Personal records in possession of NRC personnel that have not been i
circulated, were not required to be created or retained by the NRC, and can be retained or discarded at the author's sole discretion, or records of a personal nature that are not associated with ana,- Government business; or
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1 (4) Non-substantive information in logs or schedule books of the Chairman or Commissioners, uncirculated except for typing or recording purposes.
Commercial-use recuest means a request made under 59.23(b) for a use or purpose that furthers the commercial, trade, or profit interests of the l
requester or the person on whose behalf the requeet is made.
Direct costs mean the expenditures that an agency incurs in searching for
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and duplicating agency records. For a commercio; ase request, direct costs l
include the expenditures involvad in reviewing records to respond to the tr request. Direct costs include the salary of the employee category performing the work based en that basic rate of pay plus 16 percent of that rate to cover fringe benefits and the cost of operating duplicating machinery.
Duoliention means the process of maxing a copy of a record necessary to f
respond to a request made under S 9.23 3' Copies may take the form of paper l
copy, microform, audio-visual materials, disk, magnetic tape, or machine readable documentation, among others.
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,c h<," e Educational institution means an institution which' operates a program or Z
programs of scholarly research. Educational institution refers to a preschool,
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J a-public or private elementary or secondary school, an institution of graduate
- higher education, an institution of undergraduate higher education, an institution of professional' education, or an institution of vocational I
education.
Freedom of Information Act and Privacy Act Officer means the NRC official
'designatedLto fulfill the responsibilities for implementing and administering j
the Freedom of Information Act and Privacy Act as specifically designated under this regulation.
Noncommercial scientific institution means an institution that is not operated on a commercial basis, as'the term " commercial" is referred to in the definition of " commercial-uce request," and is operated solely for the purpose of conducting scientific research, the results of which are not intended to promote any particular product or industry, and office, unless otherwise indicated, means all offices, boards, panels, advisory committees of the NRC.
Record means any information that would be an agency record subject to the requirements of the Freedom of Information Act when maintained by the NRC in any format, including an electronic format-.
Record also includes a book, paper, map, drawing, diagram, photograph, brochure, punch card, magnetic tape, paper tape, sound' recording, pamphlet, slide, motion picture, or other i
L 11 documentary material regardless of form or characteristics., Record does not furniture, a tangible I
include an object or article such as a structure, i
exhibit or model, a vehiclo, or_ p ece of equipment.
j Representative of the news media means any person actively gathering news 17 r-
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for an entity that is organized and operated to publish or broadcast news to O
the public..The term news means information that is about current events or r
that would be of current interest to the public., Examples of news media entities include television or radio stations broadcasting to the public at 1
large, and publishers of periodicals (but only in these instances when they I
can qualify as dieseminators of " news") who make their products available for purchase or subscriptions by the general public.
Review time means the period devoted to examining records retrieved in response to a request to determine if they are in fact responsive, and to tr determine whether they are exempt from disclosure in whole or in part.jAlso, review time in-ludes the period devotad to examining records to determine which Freedom of Information Act exemptions are applicable and identifying records or portions thereof to be disclosed.
Search time means the period devoted to reviewing, manually or by automated means, agency records for the purpose of locating those records which are responsive to a request. This includes a page-by-page or line-by-line identificatior of responsive information within the records.
l Unusual circumstances mean--
i (1) The need to search for and collect the requested records from field I
facilities or other establishments that are separate from the office i
processing the request; (2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or j
t (3) The need for consultation, which will be conducted with all practicable speed, with another agency having a substantial interest in the determination j
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4 of the request or among two or more components of the NRC having substantial subject-matter interest therein.
S 9.15 Availability of records.
The NRC will make available for public inspection and copying any reasonably described agency record in the possession and control of the NRC e
Records under the provisions of this subpart, and upon request by any person.
will be made available in any form or format requested by a person if the record is readily reproducible by NRC in that form or format. NRC will make
.c.able efforts to maintain its records
',n forms or formate that are reast NRC will make reasonable ef forts to search for records in reproducible.
II. a electronic form or format when requested, except when such* efforts would significantly interfere with the operation of any of the NRC's automated Records that the NRC routinely makes publicly available information systems.
are described in S 9.21. Procedures and conditions governing requests for records are set forth in S 9.23.
S 9.17 Agency records exampt from public disclosure.
i f
(a) The following types of agency records are exempt from public disclosure under 5 9.15:
(
(1) Records - -
ilsat.
(i) Whied are specifically authorized under criteria established by an A
Executive order to be kept secret in the interest of national defense or l
foreign policy, and
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l l
l 19
{
i i
)
l
]
O n'
.(11) Which'are in fact properly classified pursuant to such Executive
)
order; (2) Records related solely to the internal personnel rules and practices of the agency; (3) Records specificatly exempted from disclosure by statute (other than 5 j
t U.S.C.
552b), procided that such statute--
(1) Requires that the matters be withheld from the public in euch a manner O'7
.A-as-to leave no discretion on the issue; or (ii) Establishes particular criteria for withholding or refers to particular types of matters to be withheld; (4) Trade secrets and commercial or financial information obtained from a
]
m 1are person'as privileged or confidential; 2 i.,
(5) Interagency or intra-agency memorandums or letters which'would not be available by law to a party other than an agency in litigation with the agency; (6) Personnel and medical files and similar files, the disclosure of which I
.would constitute a clearly unwarranted invasion of personal privacy; (7) Rwords or information compiled for law e "orcement purposes, but only in, to the extent that the production of such. law enforcement records or information--
(i) Could reasonably be expected to interfere with enforcement proceedings; (ii) Would deprive a person of a right to a fair trial or an impartial adjudication; (iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) Could reasonably be expected to disclose the identity of a 20 i
I LL
(I I
h confidential source, including a-State, local, or foreign agency or authority, or.any private institution which furnished information on a confidential hasis, and, in the case of a record or information compiled by a criminal law
(
enforcement authority in the course of-a criminal investigation, or by an agency conducting a-lawful national security intelligence investigation, information furnished by a confidential source; i
(v) Would disclose techniques and procedures for. law enforcement 1
investigations or prosecutions, or would disclose guidelines for law du #
enforcement investigations or prosecutions if auch disclosure could reasonably q
l be' expected to risk circumvention of the law; or-4 (vi) Could reasonably be expected to endanger the life or physical safety of any_ individual; (8) Matters contained in er related to_ examination, operating, or condition reports prepared by, on behalf of, or for the use of any agency responsible for the regulation or supervision of financial institutions; or (9) Geological and geophysical information and data, including maps, concerning wells.
(b) Nothing in this'subpart authorizes withhol' ding of information or limiting the availability of_ records to the public except as specifically provided in this'part, nor is this subpart authority to withhold information from Congress.
%,a
- (c) Whenever a request is made which, involves access to agency records described in paragraph (a)(7) of this section, the NRC may, during only.
u time as that circumstance continues, treat the records as not subject to the L
l requirements of this subpart when--
(1) The investigation or proceeding involves a possible violation of 21' 1
t 4
' criminal law; and (2) There is reason to believe tnat--
(i) The' subject of the investigat.lon or proceeding is not aware of its pendency; and (ii)l Disclosure of,the existence of the records could reasonably be
' expected to interfere with' enforcement proceedings.
O' S 9.19 segregation of exempt information and deletion of identifying details.
(a) For reco-ds' required to be made available under.5 U.S.C.
552(a)(2), the NRC shall delete information.that is exempt under one or more of the vill m.
t exemptions cited in S 9.17.',The amount of information deleted shall be indicated on the released portion of the record, 'unless providing such '
indication would harm an interest protected by the exemption (s) under which the matter has been withheld.
(b).in respo. ding'to a request for information submitted'under S 9.23, in
. y. I(
which it has been determined to withhold exempt information, the NRC -shal-1" segregate---
(1) Information that is exempt from public disclosure under S 9.17(a) from
= nonexempt information; and j
(2) Factual information from advice, opinions, and recommendations in predecisional records unless the information is inextricably intertwined, or is contained in drafts, legal work products, and records covered by the lawyer-client privilege, or is otherwise exempt from disclosure.
(c) In' denying a request for records, in whole or in part, NRC will make a 4-22
7-e k
is reasonable effort to estimate the volume of any information requested that unless denied and rhettgprovide the estimate to the person making the request, O
providing the estimate would harm an interest protected by the exemption (s) under which the information has been denied.
(d) When entire records or portions thereof are denied and deletions are amount of information deleted made from parts of the record by computer, thi w;Il iding jshall be indicated on the released portion of the record, unless prov under ebindicationwouldharmaninterestprotectedbytheexemption(s) s s
which the matter has been denied.
S 9.;A Publicly-available records.
f Publicly-available records of NRC activities described in paragraphs (a)
A of this section are available through the National Technical (c) and (d)
Information Service. Subscriptions to these records are available on 48x microfiche and may be ordered from the lational Technical Information Service, 5285 Port Royal Road, Springfield, VA 22161. Single copies of NRC publications in the NUREG series, NRC Regulatory Guides, and Standard Review Plans are also available from the National Technical Information Service.
charge For the convenience of persons who may wish to inspect without (b) or purchase copies of a record or a limited category of records for a fee, publicly-available records of the WRC's activities described in paragraph (c) f z.
4 of this section'are also made available at the NRC Public Document Room. The NW., Washington, DC, and NRC Public Document Room is located at 2120 L Street,
<j<.i 5
legal' and 4:15 p.m. on Monday through Friday, except is open between 7:45 a.m.
holidays.
23
o-D (c) The following records of NRC activities are publicly availabla at the NRC Public Document Room for public inspection and copying (1) Final opinions including concurring and dissenting opinions as well as orders of the NRC issued as a result of adjudication of cases;
- ug-(2) Statements of policy and interpretations which,have been adopted by the NRC and have not been published in the Federal Register; (3) Nuclear Regulatory Commission rules and regulations; (4) Nuclear Regulatory Commission Manuals and instructions to NRC ptrsonnel that affect any member of the public;
+ Lo*
(5) Copies of records which have been released to a person under the v
d o,f Freedom of Information Act which, becaur.e of the aature of their subject matter, che NRC determines have become or are likely to become the subject of subsequent requests for substantially the same records.
(6) A general index of the records released under the FOIA.
(d) Current indexes to records that are made publicly available are listed in NUREG-0540, " Title of List of Documents Made Publicly Available," which is published monthly.jThe. records required to be made available under 5 U.S.C.
552(a)(2) are included in this listing.
(e) Records made publicly available under paragraphs (c)(1), and (2) of this section are also tvailable for purchase through the National Technical Information Service.
(f) By October 31, 1997, NRC will make records identified in paragraph (c) of this section that were created after November 1, 1996, available by j
electronic means, including computer telecommunications to the extent NRC has implemented its telecommunications capability, unless the records have been
)
e promptly published and copies offered for sale., Telecommunications access can i
24 l
p
' +
+:
.i.
be obtained via the'Internet by accessing the NRC Home Page on the Internet
-atshttp//www.nre. gov /.
- 5.9.23 Requests for records.--
(a)(1) A-person may request: access tosrecords routinely made availab1; by
'the NRC under 5 9.21 in person or in writing at the NRC Public Document Room, 2120 L street, NW., Washington, DC 20555.
t (i);Each' record requested must be describedfin' sufficient detail to enable
(.
5 thePublicDocumentRoomtolocatetherecord.jIfthedescriptionofthe record:is'not sufficient to allow'the Public Cocument Room staff to identify s.; - n
.the record,'the Public Document Room shall advise the requester to select the record ~from the. indexes, published under S 9.21(c)(6).
.(11) In order to obtain copies of records expeditiously, a person may open an account at the Public Document Room with.the private contracting firm that
'is responsible for duplicating NRC records.
(2);A. person may;also order records routinely made available by the NRC under S 9.21 from the NationalLTechnical Information Service, 5285 Port Royal
' Road, Springfield, Virginia, 22161.
(b) A person may request agency records by submitting a request authorized
.by 5 U.S.C. 552(a)(3) to the Freedom of Information Act and Privacy Act l Officer, Office'of; Chief Information Officer, U.S. Nuclear Regulatory r
commission,1 Washington,LDC 20555.,The request must be in writing and clearly state on the' envelope ~and in the letter-that it is a " Freedom of Information 3
Act request." The NRC does not consider a request as received until it has coon received and logged in by the office of the Freedom of Information Act 25 O
h and Privacy Act Officer.
(1) A Freedom of Information Act request covers only agency records that are in existence on the date the Freedom of Information Act and Privacy Act Officer,* receives the request. A request does not cover agency records
/
destroyed or discarded before. receipt of a request or which are created after the date of the request.
(2) All Freedom of Information Act requests _ for copies of agency records must reasonably describe the agency records sought in sufficient detail to e
permit the NRC to identify the requested agency records.jWhere possible, the requester should provide specific information regarding dates, titles, docket 1
4 n o t-numbers, file dasignations, and other information which may help identify the t
agency records.j If a requested agency record is not described in sufficient detail to permit its identification, the Freedom of Information Act and 1
k Privacy Act Officer,' shall contact the requester within 10 working days after receipt of the request and inform the requester of the additional information or clarification needed to process the request.
(3) Upon reeaipt'of a request made under paragraph (b) of this section, the n :4 p
NRC shalV provide written notification to the requester that indicates the request has been received, the name and telephone number of the NRC point of contact to find out the status of the request, and other pertinent matters
-regarding the processing of the request.
(4) (i) The NRC shall advise a requester that fees will be assessed if--
(A) A request involves anticipated costs in excess of the minimum specified l
i in S 9.39; and t
(B) Search and duplication is not provided without charge under 5 9.39; or (C) The requester does not specifically state that the cost involved is i
26 l
acceptable or acceptable up.to a specified limit.
(ii) The NRC has discretion to discontinue processing a request made under this paragraph (b) until--
(A) A required advance payment has been received; (B) The requester has agreed to bear the estimated costs; (C) A determination has been made on a request for waiver or reduction of fees; or (D) The requester meets the' requirements of S 9.39.
(c) If a requested agency record that has been reasonably described is located at a place other than the NRC Public locument Room or NRC headq"srters, the NRC may, at its discretion make the record available for inspection and copying at the other location.
(d) Except as provided in S 9.39--
(1) If the record requested under paragraph (b) of this section is a record nd available through the National Technical Information Service, the NRC shall' refer the requester to the National Technical Information Service; and (2) If the requested record has been placed in the NRC Public Document Roou I
s.
under S 9.21, the NRC may inform the requester that the record is in the Public Document Room and that the record may be obtained in accordance with the procedures set forth in paragraph (a) of this section or, if applicable, is available on line electronically.
I (e) TheFreedomofInformationActandPrivacyActOfficer[shallpromptly f
n, forward a Freedom of Information Act request made under S 9.23(b) for an agency record to the head of the office (s) primarily concerned with the 1r records requested, as appropriate.,The responsible of fice will conduct a search for the agency records responsive to the request and compile those 27 L_..
p L
agency records to be reviewed for initial disclosure determination and/or identify those that have already been made: publicly available in the Public i
JDocument' Room and' Local'Public Document Rooms.
S'9.25 Initial disclosure determination.
.5 (a)' Time for initial disclosure determination. The NRC will-notify a se n u c.
requester within 20 working days of its determination.
If.fI) cannot act upon l
,ye N w.c
^t the request within this period,T$)will provide the requester with tE crJons a
for the delay and provide a projected response date.
k (b) Extension of time limit in unusuel circumacances.,In unusual circumstances, the NRC may extend the time limit prescribed in paragraph (a) of thim-section by'not more than 10 working days. The extension may be made by written or telephonic notice to the person making the request to explain the reasons for the extension and indicate the date on which a determination is d;
expected'to be made.g" Unusual circumstances" is limited to one or more of the-following reasons for delays (1) Therneed to search for-and collect the t 3uested records from field
' facilities'or other establishments that are separate from the office processing the request;-
(2) The need to search for, collect, and appropriately examine a voluminous I
amount of separate and' distinct records which are demanded in a single l
request; or (3) The need for consultation, which will be conducted with all practicable l
speed, with another agency having a substantial interest in the determination of the request or among two or more components of the NRC having substantial 28
I subject-matter interest therein.
(c) Exceptional circumstances. A requester may be notified in certain exceptional circumstances, when it appears that a request cannot be completed u : l1 within the allowable time, and shall be provided an opportunity to limit the scope of tha request so that it may be processed in the time limit, or to agree to a reasonable alternative time frame for processing.
For purpoc_s of this paragraph, the term " exceptional circumstances" does not include delays that result from the normal predictable workload of FOIA requests or a failure y
by the NRC to exercise due diligence in processing the request. A requester's A
unwillingness to agree to reasonable modification of the request or en alternative time for processing the request may be considered as factors in determining whether exceptional circumstances exist and whether the agency exercised due diligence in responding to the request.
en a.
(d) Multiple-Track processing. To aesure the mere %
able twent possible of all requesters, the NRC will process requests on a first-in, first-ont basis, using multiple tracking systems based upon the estimated time it 'e!)1 take to process the request.
(1)
NRC uses a three-track system,,')
d (i) The first track is for requests of moderate complexity that are expected to be completed within 20 working days.
(ii)
The second track is unusual circumstances that are expected to take between 21-30 working days to complete (e.g. requests involving possible records from two or three offices and/or various types of files of moderate volume, of which, some are expected to be exempt)
(iii)
The third track is for requests that, because of their unusual i
i volume or other complexity, are expected to take more than 30 working days to 29
F An complete (e.g. requests involving several of fices, regional offices,3other agency's records, elsesified records requiring declassification review, records from businesses that are required to be referred to the submitter for their proprietary review prior te disclosure, records in large volumes which 4
.t require detailed review because of the sensitive nature of such records such a
as investigative records or legal opinions and recordings of internal deliberations of agency staff).
(2) Upon receipt of requests, NRC will notify requesters of the track in which the request has been placed for processing and the estimated time for y
completion. Should subsequent information substantially change the estimated time to process a request, the requester will be notified telephonically or in eth es e
writing. A requester may modify is/her/ request to allow it to be processed
/
faster or to reduce the cost of processing. Partial responses may be sent to requesters as documents are obtained by the FOIA office from the supplying offices.
(e) Expedited processing.
(1) NRC may olace a person's request at the front of the queue for the i
appropriate track for that request upon receipt of a written request that clearly demonstrates a compelling need for expedited processing.
For puf fuses of determining whether to grant expedited processing, the term compelling need me a n s -- --
l
/\\
(i) That a failure to obtain requested records on an expedited basis could reasonably be' expected to pose an imminent threat to the life or physical safety of an individual; or l
l (ii) With respect to a request made by a person primarily engaged in' disseminating information, urgency to inform the public concerning actual or 30 I
)
l
e allege,i Federal Government activity.
(2) A person requesting expedited processing must include a statement certifying the compelling need given to be true and correct to the best of his or'h'er knowledge and belief.
(3) The NRC will notify a requester within 10 days after the request has i
been received whether expedited processing will be granted.
(f) Disclosure Review. The head of the responsible office shall review i
agency records located in a search under S 9.23(b) to determine whether the r
agency records are exempt from disclosure under S 9.17(a). If the head of the office determines that, although exempt, the disclosure of the agency records will '.ot be contrary to the public interest and will not affect the rights of ys any person, the head of the office may authorize disclosure of the agency j
a i
records. If the head of the office authorizes disclosure of the agency b
l records, the head of the office shall furnish the agency records to the
[,
~
.,. i 51 Freedom of Information Act and Privacy Act Officer, who ehtif notify the 3
s' b
requester of the determinaticsn in the manner provided in S 9.27.
q l T
r (g) Initial disclosure determinations on requests for records located in T5 g
offices under the Executive Director for Operations.t Except as provided Ln D,
e
- [
t_
paragraph (h) of this section, if, as a result of the review specified in Paragraph (f) of this section, the head of the responsible office finds that agency records should be denied in whole or in part, the head of the office 1 f)
{.
will submit that finding to the Freedom of Information Act and Privacy Act s
w' Officer, who will, in consultation with the Office of the General Counsel, make an independent determination whether the agency records should be denied r
n
-J t in whole or in part.,If the Freedom of Information Act and Privacy Act Officer;Q determines that the agency records sought are exempt from disclosure 31
l '
and disclosure'of the records is contrary to the public interest and will adversely affect the rights of_any person, the Freedom of Information Act and
' Privacy Act Offic tify the-requester of the determination in the manner provided in 5 9.27.
l (h) Initial disclosure determinations on requests for records located in g
offices other than offices under the Executive Director for Operations. For
/
' agency records located in the office of a commissioner or in the Office of the i v ; /(
Secretary of the Commission, the Assistant Secretary of the commission ekatt#~
make the. initial determination to deny agency records in whole or in part l
instead of the Freedom of Information Act and Privacy Act under S 9.17(a)J r
Officer. For agency records located in the Office of the General Counsel, the A
w ;II General Counsel shalt make the initial determination to deny agency records in l
whole or in part instead of the Freedom of Information Act and Privecy Act se Officer.7For' agency. records located in the Office of the Inspector General, the Assistant Inspector General for Audits or the Assistant Inspector General e ll sv for Investigations shat 1 make the initial determination to deny agency records in whole or in part instead of the Freedom of Information Act and Privacy Act y
Officer.gif the Assistant Secretary of the Com-3 sion, the General Counsel, the Assistant Inspector General for Audits, or the Assistant Inspector General l
for Investigations determines that the agency records sought are exempt a
1,
disclosure and that their disclosure is contrary to the public interest a i will adversely affect the rights of.any person, the Assistant Secretary of the Commission, the General Counsel, the Atsistant Inspector General for Audits, s i Il or the' Assistant Inspector General for Investigations ehel$, furnish that determination to the Freedom of Ip'ormation Act and Privacy Act Officer, who
- ll
~7 notify _the requester of the dete'rmination in the manner provided i
.xx.
32
9.27
)
(i) Records and information originated by another Federal agency.
If a requested record is located that was originated or contains information ge 4w 3 I
originated by another Government agency, or deals with subject matter over which an agency other than the NRC has exclusive or primary responsibility, Will dcM >
1 the NRC ehti promptly refer the record to that Government agency for disposition or for guidance regarding disposition.
(j) IftheNRCdoesnotrespQndtoarequestwithinthe2h
-day period, or within the extended periode described in paragraph (e) of this section, the requester may treat that delay as a denial of the request and immediately appeal to the Executive Director for Operations as provided in[S
..m.
Y 9.29(a) or sue in a district court as noted in S 9.29(c).
S 9.27 Form and content of responses.
i (a) When the NRC has located a requested agency record and has determined to disclose the agency record, the Freedom of Information Act and Privacy Act w ill _
I Officer, thrtt'promptly furnish the agency re:ord or notify the requester where and when the agency record will be available for inspection and copying.
j I
The NRC will normally place copies of agency records disclosed in response to Freedom of Information Act requests in the NRC Public Document Room and, for agency records relating to a specific nuclear power facility, in the Local I) y PublicDocumentRoomestablishedforthatfacility.TheNRCshathaiscadvise
/
the requeste of any applicable fees under S 9.35.
t
(
(b) When the NRC denies access to a requested agency record or denies a request for a waiver or reduction of fees, the Freedom of Information Act and 1
33 i
l l
lt.
m d
Privacy Act Officer e tify the requester in writing. The denia include
<as appropriate--
(1) The reason for the denial;
.(2) A reference to the specific exemption under the Freedom of Information A
'Act and the Commission's regulations authorizing the withholding of the g.ency record.or portions of it; (3)-The name and title'or position of each person responsible for the denial of the request,. including the head of the office recommending denial of 4 he.
> record; (4) A statement stating why the request does not meet the requirements oft'_[,
V9.41 if the rei.est'is for a waiver or reduction of fees; and (5) A staten?nt that the denial may be appealed within 30 days from the receipt of the denial to the Executive Director for Operations, to the Secretary of the Commission, or to the Inspector General, as appropriate.
e w n,y TheFreedomofInformationActandPrivacyActOfficer[shal7 maintain (c) a copy of each letter granting or denying requested agency records or denying
- a. request for,aiver or reduction of fees in accordance with the NRC Comprehensive Records Disposition Schedule.
$ 9.29 Appeal from initial determination.
(a).A requester may appeal a notice of denial of a Freedom of Information Act request for' access to agency records, denial of a request'for waiver or reduction of fees, or denial of a request for expedited processing under this
.JJ subpart within 30 calendar days of the date of'the NRC's denial. For agency records denied by an office Director reporting to the Executive Director for 34
4
. Operations or for.a denial of a request for a waiver or reduction of fees, the appeal'must be in writing.and. addressed to the Executive Director for I
3r i
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555. For I
l agency records denied by an Office Director reporting to the Commission, the
(. ' u !
(.
7 Assistant Secretary of.the Commission, or the Advisory Committee Management
,,)
l Officer, the appeal must be in writing and addressed to the Secretary of the l
g
' Commission.jFor. agency records denied by the Assistant Inspector General for Audits or the Assistant' Inspector General for Investigations, the appeal'must.
.tr be in writing and addressed to the Inspector General.pThe appeal should
. clearly sta'te,on-the envelope and in the letter that it is an " Appeal from 2
.Initi.1 FOIA Decision."f The NRC does not co; aider ar. appeal that is not marked as indicated in this paragraph as received until it is actually received by the Executive Director for Operations, Secretary of the Commission, or the Inspector General.
j (b) The NRC.shall make a determination on any appeal made under this f
section within 20' working days after the receipt of the appeal.
1 (c)(1) If the appeal is denied in whole or in part, the Executive Director d.T."ID l
for Operations or a. Deputy Director, the Secretary of the Commission, or the Inspector General allkhtifythere' quester-ofthedenialspecifyingE f,
L~
j%)(ifgheexemptionsreliedupoqj uJf
_._jHtthnexplanationofhowtheexemptionappliestotheagencyrecords D'
-~
. withheld 7_nd,
a
<9
- (iii) The reasons for asserting the exeeption.
(2) If,-on appeal, the denial of a request for waiver or reduction of fees t
~for locating and reproducing agency records is upheld in whole or in part, the 1.
L Executive Director for Operations or a Deputy Executive Director shal-l' notify
.[
35 1i.i d;ile u.<t QQ te46 (c.)(U) a.,t (c)(HI) ?
in s a m w. o u. a,, -.a ~., < - J ~
4 L
p t
4 S
l t? y h
the person making the request of.
decision to sustain the denial, including a statement explaining why the request does not meet the requirements of
__._.s--
V 9.41.
(3) The Executive Director for Operations, or a Deputy Executive Director,
{
tv:ll
'or the' Secretary of the Commission, or the Inspector General shal inform the requester.'that the denial is a final agency. action and that judicial review is 1
available in a district court of the United States in the district in which the requester resides or has a principal place of business, in wLich the agency records are situated, or in'the District of Columbia.
(d)'The Executive Director for Operations, or a Deputy Executive Director, tv i ll or the Secretary of the Commission, or the Inspec. tor General ehet furnish I
copies of all appeals and written determinations on appeals to the Freedom'of Information Act and Privacy Act Officer.
S 9.31' Extension of time for response.
(a).In unusual circumstances' defined in S.9.13, the NRC may extend the time A
limits prescribed in S 9.25 or S-9.29 by'nct me.
than 10 working days. The I
I extension may'be made by written notice to the person making the request to i
i explain the reasons for the extension and indicate the date on which a determination is expected to be dispatched.
'(b).An extension of.the time, limits prescribed in 55 9.25 and 9.29 may not exceed a combined total of 10 working days per request, unless a requester has agreed to an alternative tire frame as described in S 9.25 (c).
-$ 9.33-Search, re,tew, and special service fees.
36
n:
p O
(a) The NRC charges fees for--
(1) Search, duplication, and review, when agency records are requested for commercial use; i
l:
(2) Duplication of agency records provided in excess of 100 pages when agency records art: not sought for commercial use and the request is made.by an-educational or noncommercial scientific institution, or a representative of l
the news maidia; (3)-Search and duplication of agency' records in excess of 100 pages for any request not described in paragraphs (a)' -(l) and (2) of this section;.
c I
.(4)'The direct costs of searching for agency-records. The NRC will assess fees even when no agency records are lo:ated as a result of the scarch or when agency records that are located as a result of the search are not disclosed; i
and a2 (5) computer searches which include the. cost cf operating the central Processing Unit for that portion of operating time that is directly attributable to searching for agency records plus the operator / programmer salary apportionable to the searen.
(b) The NRC may charge requesters who request the following services for the direct costs of the services (1).-certifying that records are true copies; or
-(2) Sending records by special methods, such as express mail, package delivery service, etc.
$ 9.34 Assessment of~ interest and debt collection.
l'
(-
m-w
.(a) The NRC shal assess interest on the fee amount billed starting on the I
{
37
Fx' 4
m,
~31st day following the day.on which the billing was sent in accordance with a
/
SMAf ' MT 1 -
NRC's regulations' set out in'S'15.37 of this chapter.
nEeles[isat e rate #
prescribed in 31 U.S.C. 3717.
.. (b) The NRC will use its-debt collection procedures under Part 15 of this chapter'for'any overdue fees.
5 9.35 Duplication fees.
(a)(1)fCharges]fortheduplicationofrecordsmadeavailableunderS9.21 at the NRC Public Document Room (PDR), 2120 L Street, NW. (Lower Level),
Washington, DC. by the duplicating service contractor are as follows:
(i) Paper to paper reproduction is $0.08 per page standard size (up to and
.or including 11 x 17 inches reduced).
Pages 11 x 17 inches are $0.15 each.j Pages larger.than-11 x 17' inches, including drawings, are $1.50 each.j Pages greater than legal size, 8 1/2 x 14 inches, and smaller than or equal to 11 x 17 w,1t inches shal be reduced-to legal size and reproduced for 50.08 per page, unless the order specifically requests full-size reproduction.
A s.
-(ii) Microfiche tofpaper reproduction'is $0.00 per page.7 Aperture card blowbacks are $3.00 each (reduced size) or $5.00 (full size).
(iii) Microfiche or aperture card duplications are 50.75 each.
.(iv) Rush processing is offered for standard size paper to paper h
reproduction and blowbacks, excluding standing order documents and pages reproduced from bound volumes.pThe charge is $0.15 per page.
.(v) Facsimile charges are: $0.30 per page--local calls; $0.50 per page--U.S. long distance;-and $1.50 per page--foreign long distance.
(2) Self-service duplicating machines are available at the Public Document
)
38 1
.I
a.
m e
. Room for the use'of the public., Paper to paper copy is $0.08 per page.
Microfiche to paper is $0.10 per page on the reader printers.
-(3).A requester may submit mail-order requests for contractor duplication
=
cf-NRC records made by writing to the NRC Public Document Room. The charges -
/
for mail-order' duplication of records are the same as those set out in paragraph (a)(1)'of this'section,.plus mailing or shipping charges.
(4) A requester may open an account with the duplicating service tiA requester may obtain.the name and address and billing policy of v
- ?
contractor.p the contractor from the NRC Public Document Room.
(5.' Any change in the costs'specified in this section will become effective final immed~.ately 7di..; w..4 eeien of-the Comnrin iun* rulemaking that amends this 1
W f will section to reflect the new charges.jThecommission4hetypostthechargesthat e
it for the interim period in the Public Document Room. The will be in effect
[*.'"Uf f.* Y F' ^ %$ !M b' ~ ' ' ' U ' ^!N ' L ' * * '' YN Commission rhill.cac.plete-t h lemaking-rac===ney te ref1--tTthe new charges W
within 15 working days from the beginning of the interim period.
iv hl The NRC shebg assess the following charges for copies of records to be
.(b) duplicated by the NRC at locations other than the NRC Public Document Room
-located in Washington, DC or at local Public Document Rooms:
j (1)' Sizes up to 8 1/2 x 14 -inches made on of fice copying machines-- $0.20 per'page of copy; and (2) The charge for. duplicating records other than those specified in of this section is computed on the basis of NRC's paragraphs (a)'and (b)
I.
direct costs.
a requester may (c)-In compliance with the Federal Advisory Committee Act,
. purchase. copies of transcripts of testimony in NRC Advisory Committee proceedings, which are transcribed by a reporting firm under contract with the 39 i
IIL 9
f' NRC directly from the reporting firm,at the cost of reproduction as provided b
for in the contract with the reporting firm. A requester may also purchase L
/
transcripts from the NRC at the cost of reproduction as set out in paragraphs
-(a) and (b) of this section.
l (d) Copyrighted material may not be reproduced in violation of the
.y copyright laws.,As such, requesters will be given the citation to any copyrighted documents and a copy of the material will be placed in the Public Document Room where it may be viewed-by requesters.
4%f. (c d f *E m
-(e) Charges-for-the duplicating e NRC records located in NRC Local Public e s 4.1l86ned L y Document Rooms are thosemets-tha the institutions maintaining the NRC Local Public Document Room collections,eetetritsO SS 9.37 Fees for search and review of agency records by NRC personnel.
wilf The NRC shalj charge the following hourly rates for search and review of b
a agency records by NRC personnel (t, (a) Clerical search, review, and duplication at a salary rate that is
' 3 6 -]# 'lf-w ] -
4 to a GG-7f tep 7,plus 16 percent fr. go benefits;
~~
equivalent i
(b) Professional / managerial search, review, and duplication at a salary s. <: Mc y -
~
rate that is equivalent to a GG-13(; Step 6 plus 16 percent fringe benefits; f.
d and (c) Senior executive or Commissioner search, review, and duplication at a salary rate that is equivalent to an E;-4,plus 16 percent fringe benefits..
l
$ 9.39 search and duplication provided without charga.
Il' 40 l
r:
s ul
,(a) The NRC shal search for agency records requested under S 9.23(b),
without charges when agency records are not sought for commercial use and the records are requested by an educational or noncommercial scientific l
institution, or a representative of the news media.
N ill (b) The NRC thal $ search for agency records requested unde.r S 9.23(b)
C without charges for the first two hours of search for any request not sought for commercial use and not cevered in paragraph (a) of this section.
,A l t (c)TheNRCeheljduplicateagencyrecordsrequestedunderS9.23(b) without charge for the first 100 pages of standard paper copies, or the equivalent cost of 100 pages of standard paper copies when providing the requester copies in microfiche or electronic form such as computer disks, if the requester is not a commercial use requester.
w iH (d) The NRC ma not bill any requester for fees if the cost of collecting the fee would be equal to or greater than the fee itself.
(e) The NRC may aggregate requests in determining search and duplication to be provided without charge as provided in paragraphs (a) and (b) of this section, if the NRC finds a requester or group of requesters acting in concert, have filed multiple requests that actually conotitute a single request, and that the requests involve clearly-related matters.
(
S 9.40 Assessment of fees.
I (a) It the request is expected to require the NRC to assess feec in excess w all of $25 for search and/or duplication, the NRC 4halb notify the requester that l
fees will be assessed unless the requester has indicated in advance his or her willingness to pay fees as high as estimated.
41
-e LY l
. In'the notification, the NRC ohaL4 include the estimated cost of search l.
-(b)
V fees and the nature of.the search required and estimated cost of duplicating fees.
(c) The NRC will encourage requesters to discuss with the NRC the Possibility of' narrowing the scope of the roquest with the goal of reducing the cost while reta,ining the requester's original objective.
u,ill (d) If the fee'is determined to be in excess of $250, the NRC ehet require an advance payment.
(e) Unless a requester has agreed to pay the estimated fees or, as provided for in' paragraph (d) of this section, the requester has paid an estimated fee
'in excess of $*50, the NRC may not begin to process the request.
(f) If the NRC receives a new request and determines that 'the requester has failed to pay a fee charged within 30 days of receipt of the bill on a previous request, the NRC may not accept the new request for processing until payment of the full amount owed on the prior request, plus any applicable j
interest' assessed as provided in 5 9.34, Q made' (g) Within *O working dayr of the receipt of NRC's notice that fees will be assessed, the requester shall provide advance payment,1f required, notify the NRC in writing that the requester agrees to bear the estimated costs, or submit a request for a waiver or reduction of fees pursuant to 5 9.41.
5 9.41' Requests for waiver or reduction of fees.
l wi l (a)(1) TheNRCsheijcollect fees for searching for, reviewing, and duplicating agency records, except as provided in 5 9.39, unless a requester l
e.eu l
submits -a request in writing for a waiver or reduction of fees. To moeurs that j
g 42
e there will'be.no delay in the processing of Freedom of Information Act requests, the request for a waiver or reduction of fees should be included in the initial Freedom of Information Act request' letter.
(2).Each request for a waiver or reduction of fees must.be addressed to the Freedom of Information Act and Privacy Act Officer, Office of Chief Information Officer, U.S.-Nuclear Regulatory Commission, Washington, DC 20555.
(b)-A person requesting the NRC to waive or reduce search, review, or duplication fees shall's (1) Describe the purpose for which the requester intends to use the requested'information; (2' Explain the extent to which the reque. ster will extract and analyze the substantive content of the agency record; (3) Describe the nature of the specific activity or research in which the agency records will be used and the specific qualifications the requester possesses to. utilize'information for the intended use in euc a way that it ~
will contribute to public understanding; (4) Describe the likely impact on the public's understanding of the subject; y,v k Wc 6g Corg as compared to the level of understanding of the subject -existin; prier te-C g
-disclosure; (5) Describe the size and nature of the public to whose understanding a contribution will be made; A
i (6) Describe the intended means of dissemination to the general public; (7) Indicate if public access to information will be provided free of charge or provided for an access fee or publication fee; and
'(8) ' Describe any commercial or private interest the requester or any other party has.in the agency records sought..
43 k
I
The NRC will waive or reduce fees, without further specific information (c) for agency from the requester if, from information provided with the request it can determine that disclosure of the records made under 5 9.23(b),
is information in the agency records is in the public interest because it likely to contribute significantly to public understanding of the operations Wa chte l, or activities of thel overnment and is not primarily in the commercial G
interest of the requester.
for a waiver or reduction (d) In making a determination regarding a request 6Hil p-of fees, the NRC shetg consider the following factorsj--
How the subject of the requested agency records concerns the operations (1)
Qt < <* I) or activities of the hovernment; How the disclosure of the information is likely to contribute to an (2)
.[4dep understanding of dovernment operations or activities; r
If disclosure of the requested information is likely to contribute to (3) public understanding; If disclosure is likely to contribute significantly to public (4)
?!S$
understanding of bovernment operations or activities; f
If, and the extent to which, the reques+ - has a commercial interest (5) d that would be furthered by the disclosure of the requested agency records; an
)
If the magnitude of the identified commercial interest of the requester (6) in disclosure, f
in comparison with the public interest is sufficiently large, f
that disclosure is primarily in the commercial interest of the requester.
If the written request for a wriver or reduction of fees does not meet (e) the requirements of this section, the NRC will inform the request c that the request for waiver or reduction of fees is being denied and set forth the i
appeal rights under S 9.29 to the requester, i
44 i
f
e.
9 I
'S 9.43 Processing requests for a waiver or reduction of fees.
~
(a) Within 10 working days af ter receipt of a request for access to agency records for which the NRC agrees to waive fees under S 9.39(a) through (d) or wil(
$ 9.41(c), the NRC she14 respond to the request as provided in S 9.25.
lo (b) In making a request for a waiver or reduction of fees, a requester shall provide the information required by S 9.41(b).
(c) After receipt of a request for the waiver or reduction of fees made in tv :U accordance with 5 9.41, the NRC phrf$ either waive or reduce the fees and a
~
notify the requester of the NRC's intent t emptly provide the agency W
records or deny the request and provide a statement to the requester explaining why the request does not meet the requirements of 5 9.41(b).
(d) As provided in S 9.29, a requester may appeal a denial of a request to waive or reduce fees within 30 days to the Executive Director for Operations.
S 9.45 Annual report to Congress.
(a) on or before February 1 of each year, the NRC will submit a report covering the preceding fiscal year to the Attorney General of the United tv
- Il Stateswhichshalj, include--
'(1) The number of determinations made by the NRC to deny requests for records made to the NRC under this part and the reasons for each determination; (2) The number of appeals made by persons under S 9.29, the results of the appeals, and the reason for the action taken on each appeal that results in a denial of information; I
as
a --
- r,..
e to withhold (3) A complete list of.'all statutes that the NRC relied upon 552, a description of whether information under. subsection (b)(3)'of 5 U.S.C.
tion under each a court has upheld the decision of the NRC to withhold informa i
and a concise description of the scope of any informat on puch-statute, withheld; f
(4) The number of requests for records pending before the NRC as o that c
September 30 of the preceding year, and the median number of days requests had been pending before the agency as of that date; b
The number of requests for records received by the NRC and the num er
'(5)
- 4}, +
of requests whic the NRC processed; f requests; (6) The median number of days *aken to process different types o i
quests; The total amount of fees collected by the NRC for process ng re (7) i requests t e number of full-time staff of the NRC devoted to process ng 4 p, x (8)f i MW9-(requests.
._ ef under the FOIA and the total amount ' expended for processing sue the make a copy of each report available to the public on p.,
K (b)TheNRCshat}J A
http\\\\www.nre. gov.j NRC~homepage on the Internet that can be accessed at:
in the NRC copy will also be available for public inspection and copying Public Document Room.
For the Nuclear Regulatory Commission.
1997.
Dated at Rockville, Maryland, this day of Anthony J. Galante, Chief Information Of ficer/^
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