ML20217H304
| ML20217H304 | |
| Person / Time | |
|---|---|
| Issue date: | 07/08/1997 |
| From: | Laurette Moorin NRC |
| To: | Racquel Powell NRC |
| Shared Package | |
| ML20217H029 | List: |
| References | |
| FRN-62FR46922, RULE-PR-9 AF78-1-008, NUDOCS 9910220098 | |
| Download: ML20217H304 (1) | |
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Laurette Moorin To:
TWD2.TWP6. RAP 1 Dates 8 Jul 1997 1:22pm subjects Proposed Rule Amending 10 CFR Part 9, Subpart A--FOIA Russ --
Barbara Gabriel called from the EDO's to tell me that the EDO's office concurs in the above-subject memorandum dated Jun 26, 1997.
Thank you Laurette 9910220098 991020 PDR PR 9 62FR 4922 PDR b
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June 26, 1997 l
MEMORANDUM TO:
Ln Joseph 4 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 General Counsel FROM:
A. J. Galante Chief Informati fficer
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 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 s
addressee a separate concurrence copy of the notice.
Please l
provide your concurrence as soon as possible but not later than COB' July 9, 1997.
Earlier versions of this notice have already i
been informally reviewed by appropriate members of your staff and l
their comments have been incorporated.
Approved:
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L. Joseph Callan Date
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Executive Director for Operations c
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L. Callan, et al. :
I-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 l
Powell on 415-6527 or.e-mail FAPl.
Your prompt attention to this matter will be appreciated.
Attachments: ~ As stated icc:.
A.E. Levin, IRM M.P. Siemien, OGC D.L. Meyer,.ADM B.J.
W. Oliu, IRM H. Bell, OIG J. Hoyle, SECY l
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for Administration Office of the General Counsel
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J. Galante Chief Informatilbd f ficer 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 Aposed by the Electronic Freedom of Information Act Amendments
! 1996 (EFOIA),
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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 addressee 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 their comments have been incorporated.
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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.
i Attachments:
As stated cc:
A.E. Levin, IRM M.P.-Siemien, OGC D.L. Meyer, ADM i
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W. Oliu, IRM H. Bell, OIG J. Hoyle,_SECY l
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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 Commissien (NRC) is proposing to amend its regulations to implement the Electronic Freedom of Information Act Amendments
{ {D 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 amendments that recognize the difficulty in responding to requests n/CCk4bC inthe10daysformerlyrequiredandextendthattimeto20 days.)Italso WCrhpq V
provides procedures for agencies to discuss ways of tailoring requests to l
improve responsiveness. The 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 obsolate j
information.
1 1
l DATES:
Submit comments by 30 days from date of eublication i
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4 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 comments received on or before this date.
ADDRESSES:, Send comments to: Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attentions Rulemakings and Adjudications Staff.
Hand deliver comments to:
11555 Rockville Pike, Rockville, Maryland, between 7:30 am and 4:15 pm Federal workdaya..
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. (L. L Examine ecmmen(Lk, ts received at The NRC Public Dc.ument Room, 2120 L Street,J# W D NW. (Lower Level),' Washington, DC.
'O 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, Washir.gton, DC 20555-0001, telephone:
(301) 415-7169, e-mail RAPl@nre. gov.
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SUPPLEMENTARY INFORMATION:
Background Information On October 2, 1996, the President signed into law the Electronic Freedom 1
. of Information Act Amendments of 1996 (EFOIA), Public Law 231, 110 Stat. 3048
( 199 6 ) '. - EFOIA includes provisions auta.orizing or requiring agencies to
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promulga'te regulations implementing certain of its' requirements, including the tracking of Freedom of Information Act-(FOIA) requests, the aggregation of FOIA requests, and the expedited processing of FOIA requests.
In addition, 2
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m EFOIA cha the time limit for responding to a FOIA requwst from ten i
p's M O A b twenty. days, the requirements for reporting FOIA activities to Congress, and i'
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.asesinMichanagencymayextendthetimewithinwhichitwillrespond the to a FOIA request. EFOIA also includes provisions regarding the availability e((
I of documents in electronic form, the treatment of electronic records, and the establishment of " electronic' reading rooms."
The Nuclear Regulatory Commission proposes to ame".d its regulation implementing the FOIA, 10 CFR Part 9.
The proposed amendments would revise the
's FOIA regula ions to compl with EFOIA. - 4/
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The propo d rule oul estab a a new tT e, Freedom'of Informatio g
Act and Privacy Act Officer, for the designated official responsible for k administration of the FOIA and Privacy Act in lieu of using the organizational title of the responsible individual which may not be as indicative of these specific responsibilities. A new definition is proposed to be added to 10 CFR 9.13 to refleci this new title.
The definition of record would be amended to add "any information that would be an agency record subject to the requirements of (5 USC 552) when maintained by an agency in any format, including an electronic format" and to read " Record also includes.a book,... drawing, diagram, The definition of review time would be revised to remove from the definition the period spent " excising from the records those portions which are to be withheld."
i B. Electronic Records.
Section 3 of EFOIA amends 5 USC 552(f)(2) to define " agency record" for 3
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l purposes of FoIA as including "any information that would be an agency record subject to the requirements of (5 USC 552) when maintained by an agency in any 1
l section 552(f) thus clarifies that format, including an electronic format."
l the term " agency record" includes information stored in any computer readab e format as well as traditional paper documents. The proposed regulations would
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nformation in an electronic format amend 10 CFR 9.13 to specifically include V
WA 10 CFR 9.13 s'pecifically within the definition of the term-record."
reviewing records by includes in the definition of " search" time spent
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C. Electronic Aeading Roum.
which previously required Section 4 of EFOIA amends 5 USC 552(a)(2) 4
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agencies to make available for public inspection and copying certain p +' b y..
F such as agency opinions and policy statements, administrative information, a member of the public. The
,3 affect staff manuals and staff instructions that
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have been made
, Atha;y new law expands the.e categories to include agency records that publicly available and are likely to be the subject of repetitive public requests, as well as a general index of these frequently sought documents.
section 552(a)(2) records created on or The amendments further provide that 1996, must be made available by computer telecommunications NcVe,v1bt?A.
after November 1, of the law (by 0:tc5-w 1, 1997),
within one year after the date of enactment or if computer telecommunications have not been established, by other The general index of these records is to be available by electronic means.
as 1999. These new requirements, computer telecommunications by December 31, would be well as the on-line address for NRC's homepage on the Internet, c.
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incorporated in 10 CFR 9.21(c)pf and J f
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' 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 occurred. This new requirement would be included at 10 CFR 9.19(d).
D.-
Honoring Form or Formar of Requests.
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EFOIA, 5 U.S.C. 552(a)(3) contains three significant new provisions.
First, 5 U.S.C.552(a)(3)(B) requires agencies, when making records available i
to the public, to do so "in any form or format requested by the. person if the record is readily reproducible by'the agency" in the requested manner. This new.quirement would be included in 10 CFR 9.15.
Second, 5 U.S.C.
552 l
(a)(3)(c) makes it clear that when an FOIA request is received, an agency should not only search for hard 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
' incorporated in 10 CFR 9.13 in the definition of " search time."
k f)N E. Time Limits for Responding to Requests.
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4, t.he EFOIA amendments, 5 U.S.C.
552(a)(6)(A)(1), extend the time to respond to a request from' ten 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 Poquests.
Howeve'r, Congress recognized that even with the increase in time to i
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process requests, many agencies may not be prepared to meet a 20 working day l
l deadline for some requests. Therefore, to help ensure timely agency responses i
i to requests, the new law, 5 U.S.C.552(a)(6)(D)(1), authorizes agencies to l
establish separate systems within the agency for handling simple and complex i
l requests. Under these type systems, called "multitrack processing," requests j
i would be categorized based on the amount of agency effort involved in i
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 I
f requires agencies'to give requesters the opportunity to limit the scope of their requests to qualify.for processing under a 2 aster track.
This provision i
' s intended to permit more requests to be completed more quickly by providing i
l an incentive for requesters to frame narrower requests for fewer docmaents.
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 sLmple requests or requests of moderate l
complexity that are expected to be completed within 20 working days (a request
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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,Lare expected to take more taan 3G working days to complete.
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.Upon receipt of requests, NRC would notify: requesters of the track in j
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I-whichLthe request has been placed for processing and the estimated time for completion. Should subsequent information substantially change the estimated I
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' time to process a request, the requester would be notified telephonically or in writing. A requester may modify his/her request to allow it to be processed under a different track for a faster response.
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 to a request or the 20 working day response time to an appeal for an additional 10 working days in " unusual circumstances." Agencies must provide the requester with written justifications for the extension that contains the date of the expected agency response.
The mnendments would retain the 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; collect and appropriately examine a voluminous amount of material demanded in a single request; and the need for consultation with another agency having a l
substantial interest in the determination of the request or among two or more
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parts of the agency having substantial interest in the request.
These j
consultations must be conducted "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 (20 i
I working days plus a 10 working day extension) for those FOIA requests which f
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 i
request so.that it may be-processed.within the prescribed 20 working days.
Congress asserted that this process for negotiated time limits reflects the 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).
Z Aggregation of Requests
.The EFOIA amendments, 5 U.S.C.
552(a)(6)(B)(iv), authorize agencies to promulgate rcgulations that allow for the aggregation of FOIA requests by the
.same requester or by a group of requesters acting together. Aggregation may occur if the ag ncy " reasonably _ believes" that these multiple requests do indeed constitute a single request. This new provision would be implemented in 10'CFR 9.39(e).
3.
Requests for Expedited Processing.
l The EFOIA amendments, 5 U.S.C.
552(a)(6)(E)(i), require agencies to promulgate regulations to provide for expedited processing" in cases where a
the person reqv: sting the records demonstrates a " compelling need" and in gp other cases where the agency determines av dited processing is warranted. The 7,v d h'
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amendments, 5 U.S.C. 552(a)(6)(E)f), defi "cornpelling need" in two ways.
ALC' O One-is where
'S 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." The other is where a " person primarily engaged in disseminating information" to the public has "an urgency to inform the public concerning actual or alleged Federal Government activity."
The i
1 House Committee report explaining the legislation states that a person i
"primarily engaged" in the business of dissemination of information "should 8
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4 not include individuals who are engaged only incidentally in the dissemination of information," but requires that "information dissemination be the main activity of the requester, although it need not be their sole occupation." A requester who "only incidentally" involved himself 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 i
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" current exigency to the American public" such that any reasonable person could conclude that delaying a response to a FOIA request would compromise a
" sign.*icant recognized interest." The publ_c's rigat to know, while j
"significant and important," would not stand alone as sufficient to satisfy j
this standard. Agencies will have to make both " factual and subjective i
judgments" about situations cited by requesters as reasons for expedited processing and must demonstrate " fairness and diligence" in exercising their hl' discretion.
Requesters must provide detailed explanations to support their
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l expedited requests.
The EFOIA amendments, 5 U.S.C.
552(a)(6)(E)(11), require that agency Grl&cIn Q V
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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 I
for expedited processing or fails to act upon the request within the prescribed 10 aye, petitioner may seek judicial review.
The NRC would
implement the EFOIA requirements for expedited processing at 10 CFR 9.25(e)
L and 9.29.
K. Estimates'of the volume of materials' denied EFOIA, 5lU.S.C; 552(a)(6)(F), requires agencies'to make a reasonable-dffort to estimate.'the volume of any requested record. material that is denied
~ in,whole or in,part, and to provide the estimate to the requester unless
-providing such estimate would harm and interest protected by a FOIA exemption.
This new requirement'would be'implementad at 10 CFR 9.19(c).
L.IAnnual Report to Congress The EFOIA, 5 U.S.C. 552(e), amended the annual requirements for
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reporting-agency FOIA activities to Congress. On or before. February 1 of each 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 ldaterminations made by the agency not to comply with the requests for records
'made to the agency and the reasons for.those determinations; the number of appeals made by persons, the results of those appeels, and the reason for the action upon each appeal that results in a denial of information; a complete
~11st of all statutes that the agency used to authorize the agency to withhold information under Section 552 (b)(3), which exempts information that is
.specifically exempted from disclosure by other statutes; a description of whether a' court has upheld the decision of'the agency to withhold information under eachLof those statutes cited, and a concise description of the scope of any information upholds the number'of cegoests for records pending before the agency as of September 30 of the preceding year, and the median number of days that such' requests had been pending before the agency as of that date; the number of requests for records received by the agency and the number of 10 2
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 staff of the agency devoted to the processing of requests for records under this section; and the total ar.ount expended by the agency for processing such in requests. The NRC would implement this amended EFOIA reporting requirement 10 CFR 9.45.
The amendments require each agency to make these annual reports available to the public through a computer network, or by other electronic means if computer networking is not a possibility for the agency. The NRC has posted its annual report on its website on the Internet that is accessible through the NRC homepage at: http\\\\www.nrc. gov. The report is also available in the NRC Public Document Room.
Environmental Impact - Categorical Exclusion The NRC has determined that this proposed rule is the type of action described in categorical exclusion 10 CFR 51.22(c)(1).
Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed rule.
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9:
Paperwork Reduction Act Statement This proposed rule does not contain a new or amended information 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.
Regulatory Analysis This proposed rule would implement the EFOIA by amending 10 CFR Subpart A -iFreedom of Information Act Regulations. This is an administrative regulatory action that would make NRC's regulations reflect the new provisions c
of.the'EFOIA.
he proposed 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.
Rwgulatory Flexibility Certification 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 j
Part 9 are procedural in nature and are required to implement the Electronic l
Freedom of'Information Act Amendments of 1996 (EFOIA), 5 U.S.C. 552.
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Backfit Analysis
-The NRC has determined that the backfit rule 10 CFR 50.109 does not i
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x apply to this proposed rule and, therefore, 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 50.109(a)(1).
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;4 and 6 U.S.C.
552, 552a, and 553; the NRC is proposing to adopt the follo.ing mmendment of 10 CFR Part 9, Subpat. 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 B is also issued under 5 U.S.C.
552a.
Subpart C also issued under 5 U.S.C.
552b.
2.
In S 9.8, paragraph'(b) is revised to read as follows:
(b) The approved information collection requitaments contained in this part appear in SS 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:
Subpart A--Freedom of Information Act Regulations 9.11 Scope of subpart.
9.13 Definitions.
-9.15-Availability of records.
9.17 Agency records exempt frem public disclosure.
9.19 Segregation of exempt information'and deletion of identifying details.
9.21 Publicly available records.
9.23. Requests for records.
9.25' Initial disclosure determination.
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9.27 Form and content of responses.
9.29' Appeal.from initial _ determination.
9.31 Extension of time for response.
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1 i-9.33 search, review, and special' service: fees.
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'9.34 Assessment of interest and debt collection.
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19.35 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.
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9'.41 Requists for waiver or reduction of fees.'
9.43 Processing-of requests'for a waiver.or reduction of fees.
i 9.45 Annual report to Congress.
Subpart A--Freedom of Information Act Regulations l
S 9.ll. Scope of subpart.
5 This subpart prescribes procedures for making NRC agency records available to the public for inspection and copying pursuant to'the' provisions of the l
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
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l affect the dissemination or distribution of NRC-originat'ed, 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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r Acenev recore,means a record in the possession and control of the NRC that is associated with Government business. Agency record does not include records such as--
(1) Publicly available books, periodicals, or other pub!; cations that are 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 circulated, were not requie<1 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 any Government business; or (4) Non-substantive information in logs or schedule books of the Chairman or commissioners, uncirculated except for typing or recording purposes.
commercial-use reauest means a request made under 59.23(b) for a use or purpose that furthers the commercial, trade, or profit interests of the requester or the person on whose behalf the request is made.
Direct costs mean the expenditures that an agency incurs in searching for and duplicating agency records. For a commercial-use request, direct costs include the expenditures involved in reviewing records to respond to the request. Direct costs include the salary of the employee category performing l
the work based on that basic rate of pay plus 16 percent of that rate to cover fringe benefits and the cost of operating duplicating machinery.
Duplication means the process of making a copy of a record necessary to respond to a request made under S 9.23. Copies may take the form of paper l
copy, microform, audio-visual materials, disk, magnetic tape, or machine I
readable documentation, among others.
16 1
Educational institution means an institution which operates a program or programs of scholarly research. Educational institution refers to a preschool, 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 education.
Freedom of Information Act and Privacy Act Officer means the NRC official designated to fulfill the responsibilities for implementing and administering the Freedom of Information Act and Privacy Act as specifically designated under this regulation.
Noncommercial scientific institution eans an institution that is not operated on a commercial basis, as the term " commercial" is referred to in the j
definition of " commercial-use request," and is operated solely for the purpose intended to of conducting scientific research, the results of which are not promote any particular product or industry.
Offica, unless otherwise indicated, means all offices, boards, panels, and advisory committees of the NRC.
Record means any information that would be an agency record subject to the j
requirements of the Freedom of Information Act when maintained by the NRC in any format, including an electronic format.
Record also includes a book, drawing, diagram, photograph, brochure, punch card, magnetic tape, paper, map, paper tape, sound recording, pamphlot, slide, motion picture, or other documentary material regardless of form or characteristics. Record does not include an object or article such as a structure, furniture, a tangible exhibit or model, a vehicle, or piece of equipment.
Representative of the news media means any person actively gathering news 17
F I-for an entity that is organized and operated to publish or broadcast news to the public. The term news means information that is about current events or l
l that would be of current interest to the public. Examples of news media entities include television or radio stations broadcasting to the public at large,'and publishers of periodicals (but only in those instances when they I
can qualify as disseminators of " news") who make their products available for purchase or subscriptions by the general public.
i 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 1
i determine whether they are exempt from disclosure in whole or in part. Also, review time includes the period devoted to examit.ing records to determine i
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 yage or line-by-line identification of' responsive information within the records.
Unusual circumstances mean--
(1) The need to search for and collect the requested 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 request; or (3) The need for consultation, which will be conducted with all practicable speed, with another agency having a substantial interest in the determination 1B i
t t
I i
l i
of the request or_among two or more components of the NRC having substantial I
' 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 under the provisions of this subpart, innd upon' request by any person. Records will be made available in' any form or format requested by a person if the NRC will make j
record is readily reproducible by NRC in that form or format.
reasonable efforts to maintain its records in forms or formats that are reproducible. NRC will make reasonable efforts to search for records in j
-electronic form or format when requested, except when such efforts would
)
significantly interfere with the operation of any of the NRC's automated-information systems. Records that the NRC routinely makes publicly available I
are' described in-S 9.21. Procedures and conditions governing requests for records are set forth in S.9.23.
S 9.17 AgencyLrecord.1 exempt'from public disclosure.
(a)'The following types of agency records are exempt from public disclosure under S 9.15:
(1) Re' cords (1) Which are specifically authorized under criteria established by an i
Executive order to be kept secret in the interest of national defense or foreign policy, and 19 o
_ 9- -
w 4.
- (ii) Which_are in fact properly classified pursuant to such Executive
-orders.
S-(2)' Records related solely to the' internal personnel rules and practices of the agency;-
(3) Records'specifically exempted from disclosure by statute (other than 5 U.S.C.
552b), provided that such statute--
(i)' Requires that the matters be withheld from the public'in such a manner i
as to leave no discretion on the issue; or
'(ii) Establishes particular criteria for withholding or refers to
.particular types of matters to be withhe!.d; (4) Trade se rets and commercial or finaccial information obtained from a
~
person and privileged or confidential; (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 would constitut a a clearly unwarranted invasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information--
l (i)-could reasonably be expected to interfere with enforcement proceedings; l
(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 i
l personal privacy; (iv) Could reasonably be expected to disclose the identity of a 20 i
4
confidential' source, including a State, local, or foreign agency or authority, or any private institution which furnished information on a confidential basis, 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; (v) Would disclose techniques and procedures for law enforcement investigations or prosecutions, or would. disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the laws or
( v '. ) could reasonably be' expected to endt. gar the life or physical safety of any individual; (8) Matters contained in or 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, i
concerning wells.
(b) Nothing in this subpart authorizes withholding 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.
(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 such time as that circumstance continues, treat the records as not subject to the requirements of this subpart when--
(1) The investigation or proceeding involves a possible violation of 21
i-Icriminal law; and (2) There is reason to believe that--
(1):The'aubject.of=the investigation or proceeding.is not aware of its
. pendency; and-(ii) Disclosure of'the. existence of the records could reasonably be L
expected to interfere with enforcement proceedings.
I
$ 9.19 segregation of exempt information and deletion of identifying
. details.
(a) For records 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 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)LIn responding to a request for information submitted under S 9.23, in
.which itLhas been determined to. withhold exempt information, the NRC shall segregate--:
(1) Information that is exempt from public disclosure under S 9.17(a) from l
nonexempt information; and
.(2) Factual information from advice, opinions, and recommendations in predecisional records unless the information is inextricably intertwined, or
'is contained'in drafts, legal work prode. cts, and records covered by the
-lawyer-client privilege, or is otherwise exempt from disclosure.
(c)lIn denying a request for records,.in whole or in part, NRC will make a 22 r.
p-l reasonable effort to estimate the volume of any information requested that is unless denied and shall provide the estimate to the person making the request,
-Providing the estimate would harm an interest protected by the exemption (s) under which the information has been denied.
(d) When entire racords or portions thereof are denied and deletions are made from parts of the record by -computer, the amount of information deleted shall be indicated on the relaased portion of the record, unless providing such indication would harm an. interest protected by the exemption (s) under
)
which the matter has been denied.
l G 9.21 Publicly available records.
4 (a) Publicly available records of NRC activities described in paragraphs (c) and (d) of this section are available through the National Technical Information Service. Subscriptions to these records are available on 48x microfiche and may be ordered from the National 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.
(b) For the convenience of persons who may wish to inspect without charge or purchase copies of a record or a limited category of records for a fee, publicly available records of the NRC's activities described in paragraph (c) of this section are also made available at the NRC Public Document Room. The NRC Public Document Room is located at 2120 L Street, NW., Washington, DC, and i
is open between 7:45 a.m. and 4: 15 p.m. on Monday through Friday, except legal holidays.
23 i
i
m
.e 4 l-(c) The following records of NRC activities are publicly available at the NRC Public Locument 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; (2) Statements of policy and interpretations whf.ch 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 personnel that affect any member of the public; (5) Copies of records which have been released to a person under the Freedom of'Infr:mation Act which, because of the nature of their subject matteri the 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 M in NUREG-0540, " Title of List of Documents Made Publicly Available," which is publiebed mont'.ly..The 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 available for. purchase through the National Technical Information Service.
NC{ A -
(f) By Gu wber.11, 1T97, NRC will make records identified in paragraph (c) of this section that were created after November 1, 1996, available by electronic means, including computer telecommunications to the extent NRC has l
implemented its telecommunications capability, unless the records have been promptly publishee and copies offered for sale. Telecommunications access can 24
h j,
ie j-be.obtained.via the' Int'ernet'by accessing the NRC Home Page on the Internet j
l
.at e http//www.nre. gov /.
n l
L5:9.2'3 Requests for' records.'
.3
?
i-
[(a)(1)'A'per'sonmayrequest: access.torecordsroutinelymadeavailable'by i
i the NRC under $.9.21 in person'or in writing at the NRC Public Document Room, i
2120 L Street, NW.',
Washington, DC'20555.'
(1) Each record requested must be described in sufficient detail to enable l
n.
the Public Document Room to locate the record. If_the description of the-
]
~
recorf.?is not sufficient to allow the Public Document Room staff to identify 1
the record,'the Public Document Room shall advise the requester to select the record from the indexes published under 5 9.21(c)(6).
~~
(ii) In. order to obtain copies of records expeditiously, a person may open an'accounti 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 National Technical'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
. Officer, office of Chief Information Officer, U.S. Nuclear Regulatory Commission,-Washington, DC 20555. The request must be in writing and clearly
. state on-the envelope and in the letter that it is a " Freedom of Information t
[.i
'Act request." The NRC does not consider a request as received until it has been received and logged in by the office of the Freedom of Information Act
\\.
25 l
)
l
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 reated 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 permit the NRC tc identify the requested agency records. Where possible, the requester should provide specific information regarding dates, titles, docket numbers, file designations, and other informatier which may help identify the agency records. If a requested agency record is not described in sufficient detail to permit its identification, the Freedom of Information Act and 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 receipt of a request made under paragraph (b) of this section, the NRC shall 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 proecsaing 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 in S 9.39; and (B) Search and duplication is not provided without charge under S 9.39; or (C) The requester does not specifically state that the cost involved is 26
4 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; A determination has been made on a request for waiver or. reduction of (C)
. fees; or
("*.The requester meets the requirements of 5'9.39.
If a requested agency record that has been reasonably described is (c) located at a place other than the NRC Public Document koom or NRC headquarters, the NRC may, at its discretion, make the record available for inspection and' copying at the other location.
-(d) Except as provided in 5 9.39--
of this section is a record If the record requested under paragraph (b)
(1) available through the National Technical Information. Service, the NRC shall refer the requester to the National Technical Information Services and If the requested record has been pla:ed in the NRC Public Document Room (2) 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 of this section or, if applicable, the procedures set forth in paragraph (a) is available on line electronically.
shall promptly (e) The Freedom of Information'Act and Privacy Act Officer, for an iforward a Freedom of'Information Act request made under $ 9.23(b) agency record to the head of the office (s) primarily concerned with the records requested,.as appropriate. The responsible office will conduct a search for the agency. records responsive to the request and compile those 27
agency records to be reviewed for initial disclosure determination and/or
' identify.those-that have already been made publicly available in the Public
' Document Room and Local Public Document Rooms.
S 9.25 Initial disclosure determination.
(a) Time for initial disclosure' determination. 'The NRC will notify n
. requester within 20_ working days of its determination.
If it cannot act upon the request within this period it will provide the requester with the reasons
-for the delay and provide a' projected response date.
(b) Ext ensit 1 of time Jimit in unusual carcumstances. In unusual circumstances, the NRC may extend the time limit prescribed in paragreph (a) of this 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 expected to be made. " Unusual' circumstances" is limited to one or more of the following reassne for delays
-(l') The need to search'for and collect the requested records from field facilitics or other establishments that are separate from the office
- 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 (3) The need for consultation, which will be. conducted with all practicable 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 28L M
e L.
r 4.
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 within the allowaole time, and shall be provided an opportunity to limit the scope of the request so that it may be processed in the time limit, or.to agree to a reasonable alternative time frame for processing.
For purposes of this paragraph, the term'" exceptional circumstances" does not include delays that result from the normal predictable workload of FOIA requests or a failure by the NRC to exercise due diligence in processing the request. A requester's unwillingness to agree to reasonable modification of the request or an altes native time for processing the request.nay be considered as f actors in determining whether exceptional circumstances exist and whether the agency exercised due diligence in responding to the request.
(d) Multiple-Track processing. To assure the most equitable treatment possible of all requesters, the NRC will process requests on a first-in, l
first-out basis,,using multiple tracking systems based upon the estimated time it will take to process the request.
(1)
NRC uses a three-track system
,y Y
% ) ptfi.l W.
The first track is for(rey eats af Inoderate complexity _that are
,tg, /
(i)
C4.
expected to be completed within 20 working days.
V (ii).The second track is unusual circumstances that are expected to take between 11-30 working days to complete (e.g. requests involving possible recordsfrom two or three offices and/or various types of files of moderate volume, of whic some are expected to be exempt)
(iii) The third track is for requests that, because of their unusual volume or other complexity, are expected to take more than 30 working days to 29
.{'
l
[
l i
)
complete (e.g. requests involving several offices, regional offices, other agency's records, classified records requiring declassification review, 1
l records from businesses that are required to be referred to the submitter for j
their proprietary review prior to disclosure, records in large volumes which require detailed review because of the sensitive nature of such records such as investigative records or legal opinions and recordings of internal i
deliberations of agency staff).
Upon receipt of requests, NRC will notify requesters of the track in (2) which the request has been placed for processing and the estimated time for information substantially change the estimated completion. Should subsequent time to process a request, the requester will be notified telephonically or in writing. A requester may modify his/her cequest to allow it to be processed sent to faster or to reduce the cost of processing. Partial responses may be requesters as documents are obtained by the FOIA of fice from the supplying offices.
(e) Expedited processing.
NRC may place a person's request at the front of the queue for the (1) appropriate track for that request upon receipt of a written request that clearly demonstrates a compelling need for expedited processing.
For purposes of determining whether to grant expedited processing, the term compelling need means a failure to obtain requested records on an expedited basis ccald (i) That reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or With respect to a request made by a person primarily engaged in (ii) disseminating information, urgency to inform the public concerning actual or l
30
alleged 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 her knowledge and belief.
g (3) The NRC will notify a requester.within 10 days after the request has y been received whether expedited processing will be granted.
(f) Disclosure Review. The head of the responsible office shall review agency records located in a search under S 9.23(b) to determine whether the agency records are exempt from disclosure under 5 9.17(a). If the head of the office determines that, although exempt, the disclosure of the agency records will not be contrary to the public interest and will not affect the rights of any person, the head of the office may authorize disciceure of the agency records. If the head of the office authorizes disclosure of the agency l
records, the head of the office shall furnish the agency records to the Freedom of Information Act and Privacy Act Officer, who shall notify the 1
requester of the determination in the manner provided in S 9.27.
(g). Initial disclosure determinations on requests for records located in offices under the Executive Director for Operations. Except as provided in
\\
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 will submit that finding to the Freedom of Information Act and Privacy Act officer, who will, in consultation with the Office of the General Counsel, make an independent determination whether the agency records should be denied in whole or in part. If the Freedom of Information Act and Privacy Act officer, de.termines that the agency records sought are exempt from disclosure 31
o and. disclosure'of the records is contrary to the public interest and will adversely atfect'the r'ights of any person, the Freedom of Information Act and Privacy Act Officer, shall notify the requester of the determination in the manner provided in 5 9.27.
(h) Initial ^ Disclosure determinations on requests for records located in offices other than offices under ths Executive Director for' Operations. For I
agency records-located in the office of a commissioner or in the Office of the 1
secretary of the commission, the Assistant Secretary of the Commission shall~
make the initial determination to deny agency records in whole or in part under g 9.17(a) instead of the Freedom of~Information Act and Privacy Act t
. Officer. For a wncy records located in the office of the General counsel, the General Counsel shall make the initial determination to deny agency records in whole or in part instead of the Freedom of Information Act and. Privacy Act
' Officer.I For agency records located in the Office of the Inspector General, the Assistant Inspector General for Audits or the Assistant Inspector General for Investigations shall make the initial determination to deny agency records in whole or in part instead of the. Freedom of Informetion Act and Privacy Act Officer.'If the Assistant Secretary of the Commission, the General Counsel, the Assistant Inspector General for Audits, or the Assistant Inspector e neral I
for Investigations determines that the agency records sought are exempt from disclosure and that their disclosure is contrary to the public interest and will adversely affect the rights of any person, the Assistant Secretary of the Commission, the General Counsel,.the Assistant Inspector General for Audits, or the Assistant Inspector General for Investigations shall furnish that i
determination to the Freedom of Information Act and Privacy Act Officer, who shall notify the. requester of the determination in the manner provided in S 32
r; 9.27
)
(i) Records and information originated by another Federal agency.
If a requested record is located that was originated or contains information originated by another Government agency, or deals with subject matter over which an agency other than the NRC has exclusive or primary responsibility, the NRC shall promptly refer the record to that Government agency for disposition or for guidance regarding disposition.
(j) If the NRC does not respond to a request within the 20-working day period, or within the extended periods 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 Directo' for Operations as provided in S 9.29(a) or sue in a district court as noted in S 9.23(c).
S 9.27 Form and content of responses.
(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 Officer, shall promptly furnish the agency record or notify the requester where and when the agency record will be available for inspection and copying.
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 Public Document Room established for that facility. The NRC shall also advise the requester of any applicable fees under S 9.35.
(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 33
p p.
i:
F l
Privacy Act Officer'shall notify the requester in writing. The denial includes l.
as appropriate--
l (1) The reason for the denial;-
-(2)_A reference to the specific exemption under the Freedom of Information Act and the commission's. regulations authorizing the withholding of the agency record or portions of'its.
'(3).The name and title or position of each person responsible for the i
denial of the request, including the head of the office recommending denial of a record; (4) A statement stating why the request does not meet the requirements of S 9.41 if the request is for a waiver or reduction,of fees; and g
yL y (5)Astatementthatthedenialmaybeappealed'within30baysfromthe k
receipt of the denial to the Executive Director for Operations, to the Secretary of the commission, or to the Inspector General, as appropriate.
i (c) The Freedom of Information Act and' Privacy Act Officer, shall maintain a copy of each letter granting or denying requested agency records or denying a request ' for waiver or reduction of fees in accordance with the NRC comprehensive Records Disposition Schedule.
S 9.29 Appeal from initial determination.
.(a) A requester may appeal a notice of denial of a Freedom of Information l
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 I
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
G
'O i
?;
Operations or for's denial'of a request for a waiver or reduction of fees, the appeal-must be in writing and addressed to the. Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555. For agency. records denied by an Office Director reporting to the Commission, the t
' Assistant Secretary of the Commission, or the Advisory Committee Management' officer, the appeal must'be'in writing and addressed to the secretary of the Commission. For agency records denied by the Assistant Inspector General for Audits or the Assistant Inspector General for Investigatior.9, the appeal must be in writing and addressed to the Inspector General. The appeal should clearly state on the envelope and in the' letter that it is an " Appeal from 4
Initial FOIA Decision." The NRC does not consider an appeal that is not marked i
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.
(b) The NRC shall make a determination on any appeal made under this section within 20 working days after the receipt of the appeal.
(c)(1) If the appeal is denied in whole or in part, the. Executive Director for Operations or a Deputy Director,.the Secretary of the Commission, or the Inspector General shall notify the requester of the denial specifying--
'(1) The exemptions relied upon; (ii) An explanation of how the exemption applies to the agency records withheld; and (iii) The reasons for asserting the exemption.
(2) If, on appeal, the denial of a request for waiver or reduction of fees for locating'and reproducing r.gency records is upheld in whole or in part, the
-Executive Director for Operations or a Deputy Executive Director shall notify i
l 35 I
L-I
o the person making the request of his. decision to sustain the denial, including a statement explaining why the request does not meet the' requirements of $
I
.- 9.41.
l I
(3) The Executive Director for Operations, or a Deputy Executive Director, i
or the Secretary of the commission, or the Inspector General shall inform the requester that the denial is a final agency action and that judicial review is 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 which the agency records are situated, or in the District of columbia.
1 (d) The Executive Director for Operations, or a Deputy Executive Director,
.or the Secreta y of the commission, or the Inspector General shall furnish copies of all appeals and written determinations on appeals to the Freedom of Information Act and Privacy Act Officer.
5 9.31 Extension of time for response.
(a) In unus al circumstances defined in S 9.13, the NRC may extend the time i
limits prescribed in 5 9.25 or 5 9.29 by not more than 10 working days. The extension may be made by written notice to the person making the request to 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 prescrite'i in SS 9.25 and 9.29 may not-exceed:a combined total of 10 working days per
, quest, unless a requester has agreed taa an alternative time frame as described in S 9.25 (c).
l l
(
5 9.33 Search, review, and special service fees.
f.
36
+
4
p
>J-j-
(a) The NRC chatges, fees for--
(1)' Search, duplica+. ion, and review, when agency records are requested for I
commercial use; (2) Duplication of' agency records provided in excess of 100 pages when agency records are not sought for commercial use and the request is made by an educational or noncommercial scientific institution, or a representative of the news media; (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; (4) The direct costs of searching for agency records. The NRC_will assess fees *ven when no agency records are locate < as a result of the search or when agency records that are located as a result of the search are not disclosed; and (5) Computer searches which include the cost of operating the Central
. Processing Unit for that portion of operating t.fme that is directly attributable to searching for agency records plus the operator / programmer i
salary apportionable to'the search.
(b) The NRC may charge requesters who request the following services for l
~
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 j
delivery service, etc.
S'9.34 Assessment of interest anu debt collection.
i.
(a) The NRC shall assess interest on the fee amount billed starting on the I
l l
37 i
j v
i
+
i l
-31st day,following the day on which the billing was sent in accordance with i
l NRC's regulations set out in $'15.37 of this chapter. Interest is at the rate 1
Prescribed in 31 U.S.C.
3717.
(b) The NRC will;use its' debt collection procedures under Part 15 of this l
l-chapter.for any overdue fees.
l S 9.35 Duplication fees.
(a)(1) Charges for the duplication of-records made available under S 9.21 at the NRC Public Document Room (PDR), 2120 L Street, NW. (Lower Level),
Washington, DC. by the duplicating service contractor are as follows:
(1) Paper to paper reproduction is 50.08 per page standard size (up to and including 11 x 17 inches reduced).. Pages 11 x 17 inches are 50.15 each. Pages
)
1
(
. larger than 11 x 17 inches, including drawings, are $1.50 each. Pages greater
.than legal size, 8 3/2 x 14 inches, and smaller than or equal to 11 x 17 1
1 inches shall be reduced to legal-size and reproduced for 50.08 per page, unless the order specifically requests full size reproduction.
(ii) Microfiche to paper reproduction is $0.08 per page. Aperture card blowbacks are 53.00 each (reduced size) or 55.00 (full size).
(iii) Microfiche or aperture card duplications are 50.75 each.
(iv) Rush processing is offered for standard size paper to paper l~
reproduction and blowbacks, excluding standing order documents and pages i
reproduced _from bound volumes. The charge ic S0.15 per page.
I (v) Facsimile charges'are: $0.30 per page--local calls; S0.50 per l.
page--U.S.'long distance; 'and $1.50 per page--foreign long distance.
(2) Self-aervice' duplicating machines are available at the Public Document i
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t Room for the use of the public. Paper to paper copy is $0.08 per page.
Microfiche to paper is 50.10 per page on the reader printers.
l A requester may submit mail-order requests for contractor duplication (3) of NRC records made by writing to the NRC Public Docuoent 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 contractor. A requester may obtain the name and address and billing policy of
.the contractor from the NRC Public Document Room.
(5) Any change in the costs specified in this section will become effective immediately pending completion of the Commission's rulemaking that amends this 1
l section to reflect the new charges. The Commission shall post the charges that for the interim period in the Public Document Room. The will be in effect Commission shall complete the rulemaking necessary to reflect the new charges within 15 working days from the beginning of the interim period.
(b) The NRC shall assess the following charges for copies of records to be locations other than the NRC Public Document Room duplicated by she NRC at located in Washington, DC or at local Public Document Rooms Sizes up to 8 1/2 x 14 inches made on office copying wacnines-- 50.20 (1) per page of copy; and The charge for duplicating records other than those specified in j
(2) of this section is computed on the basis of NRC's paragraphs (a) and (b) 1 direct costs.
l a requester may In compliance with the Federal Advisory Committee Act, (c) purchase copies of transcripts of testimony in NRC Advisory Committee proceedings, which are transcribed by a reportir,g firm under contract with the l
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NRC directly from.the reporting firm at the cost of reproduction as provided i
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.
(d) Copyrighted material may not be reproduced in violation of the 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.
(a) Charges for the duplication of NRC records located in NRC Local Public Document Rooms are thosa costs that the institutions maintaining the NRC Local Public Documer' Room collections establish.
SS 9.37 Fees for search and review of agency records by NRC personnel.
The NRC shall charge the following hourly rates for search and review of agency records by NRC personnelt (a) Clerica'.; search, review, and. duplication at a salary rate that is equivalent' to a CG-7, Step 7 plus 16 percent fringe benefits; (b) Professional / managerial search, review, and duplication at a salary rate that is equivalent to a GG-13, Step 6 plus 16 percent fringe benefits; and (c) Senior executive or Commissioner search, review, and duplication at a salary rate that is equivalent to an ES-4 plus 16 percent fringe benefits.
S 9.39 Search and duplication provided without charge.
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C' (a) The NRC shall. 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 institution, or.a representative of the news media.
(b)'The NRC shall search'for agency records requested under S 9.23(b) without charges for the first~two hours of search for any request not sought-for commercial use and not covered in paragraph (a) of this section.
-(c).The NRC shall duplicate agency records requested under S 9.23(b)
~ without charge for the first-100 pages of standard paper copies, or the equivc3ent cost of.100 pages of standard paper copies when providing the requieter copies in microfiche or electroni-form each as computer disks, if the requester is not a commercial use requester.
(d) The NRC may 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 constitute a single request, and that the requests involve clearly related matters.
S 9.40 Assessment of fees.
(a) If.the request is expected to require the NRC to assess fees in excess
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of' S25 for search and/or duplication, the NRC shall notify the requester that fees will be assessed unless the requester has indicated in. advance his or her willingness to pay fees as high as estimated.
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F (b) In the notification, the NRC shall include the estimated cost of search 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 j
Possibility of narrowing the scope of the request with the goal of reducing the cost while retaining the requester's original objective.
(d)'If'the fee is determined to be in excess of $250, the NRC shall require an advance payment.
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(e) Unless a requester has agreed to pay the estimated feec or, as provided l
for in paragraph (d) of this section, the requester has paid an estimated fee
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in excess of $250, the NRC may not begir to procecs 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 cn :
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 interest assessed as provided in S 9.34, is made.
(g) Within 10 working days of the receipt.of NRC's notice that fees will be assessed, the requester shall provide advanco payment if required, notify the NRC in writing that the requester agrees to bear the estimated costs, or j
submit a request for a waiver or reduction of fees pursuant to S 9.41.
S'9.41 Requests for waiver or reduction of fees.
(a)(1) The NRC shall collect fees for searching for, reviewing, and duplicating agency records, except as provided in S 9.39, unless a requencter 1
submits a request in writing for a waiver or reduction of fees. To assure that 42
e.
e there will be no delay in the processing of Freedom of Information Act e
requests, the request for a waiver or reduction of fees should be included in
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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 205b5.
(b) A person requesting'thG NRC to waive or reduce search, review, or-duplication' fees shall:
(1) Describe the purpose for which the requester intends to use the requested information; (2) Explain the extent to which the requester will extract and analyze the substantive content of the agency record; (3) Describe the nature or 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 such a way that it will contribute to public understanding; (4) Describe the likely impact on the public's understanding of the subject as compared to the level of understanding of the subject existing prior to disclosures (5) Describe the size and nature of the public to whose understanding a contribution will be made; j
(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.
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e (c) The NRC will waive or reduce fees, without further specific information from the reqaester if,' from information provided with.the request for agency records made under.$ 9.23(b), it can determine that disclosure of the information in the~ agency records is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the Government and is not primarily in the commercial interest of the requester.
(d) In making a determination regarding a request for a waiver or reduction
-of fees,'the NRC shall consider the following factors:
.(1) How the subject of the requested agency records concerns the operations or activities c' the Governme.2t; (2) How the disclosure of the information is likely to contribute to an understanding of Government operations or activities; (3) If disclosure of the requested information is likely to contribute to public understanding; (4) If disclosure is likely to contribute significantly to public understanding cf Government operations or activities; i
(5)'If, and the extent to which, the requester has a commercial interest that would be furthered by the disclosure of the requested agency records; and
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(6).If the magnitude of the identified commercial interest of the requester
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is sufficiently large, in comparison with the public interest in disclosure, i
that disclosure is primarily in the commercial interest of the requester.
(e). If - the written request for a waiver;or reduction of fees does not meet the requirements of this section, the NRC will inform the requester that the request for waiver or reduction of fees is'being denied and set forth the appeal rights under S 9.29 to the requester.
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.5 9.43 Processing requests for a waiver or reduction of fees.
(a)'Within 10 working days'after 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 S 9.41(c),.the NRC shall respond'to the request as provided in S 9.25.
(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 accordance with S 9.41,.the NRC shall either waive or reduce the fees and notify the requester of the NRC's intent to promptly provide the agency recorls or deny the request and provide a statement to the requester explaining why the request does not meet the requirements of S 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 r
covering the preceding fiscal year to the Attorney General of the United States which shall 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; 45 u
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'e (3).A complete list of all statutes'that the NRC relied upon to withhold 552, a description of whether information under subsection (b)(3) of 5 U.S.C.
RC.to withhold information under each
.a court has. upheld the decision of the N and a concise-description of the scope of any information such statute, withheld; (4) The number of. requests for records pending before the NRC as of
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September 30 of the preceding year, and the median number of days that such requests had been pending before the agency as of that date; (5) The number of requests for records received by the NRC and the number of requests which the NRC processed; The median number of days taken to proce9s different types of requests; (6)
The total amount of fees collected by the NRC for processing requests; (7)
(8) the number of full-time staff of the NRC devoted to processtag requests under the FOIA and the total amount expended for processing such requests.
The NRC shall make a copy of each report available to the public on the (b) http\\\\www.nrc. gov. A NRC homepage on the Internet that can be accesced att a'
copy will also be available for public inspection and copying in the NRC Public Document Room.
For the Nuclear Regulatory Commission.
1997.
Dated:at Rockville, Maryland, this day of Anthony J. Galante, Chief Information Officer a
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