ML20217H811
| ML20217H811 | |
| Person / Time | |
|---|---|
| Issue date: | 12/17/1997 |
| From: | Galante A NRC |
| To: | Callan L, Funches J, Halman E NRC OFFICE OF ADMINISTRATION (ADM), NRC OFFICE OF THE CONTROLLER, NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML17300B453 | List: |
| References | |
| FRN-63FR2873, RULE-PR-9 AF78-2-010, NUDOCS 9910220198 | |
| Download: ML20217H811 (63) | |
Text
- A F J T(- 2 ro?>n.0*s%-> UNITED STATES
'F E NUCLEAR REGULATORY COMMISSION WASHINGTON. D.C. 2056.>-0001
%,***-** s/
December 17, 199/
~ 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 General Counsel FROM: A. J. Galante Chief Inf ormation 'Of ficer
SUBJECT:
FINAL RULE AMENDING 10 CFR PART 9, SUBPART A-FREEDOM OF INFORMATION ACT REGULATIONS I
Attached for your concurrence is the notice of a final rule for .
publication in the Federal Reaister. The rule amends NRC l 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 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 December 23, 1997.
I have also attached for your information and reference a copy of l
the proposed rule that was published in the Federal Register on i September 5, 1997. 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: H. Bell, OIG L.B. Scattolini, IMD M.P. Siemien, OGC D.L. Meyer, ADM B . J, . Shelton, IMD E. Yeates, IMD l
I W. Oliu, IMD 991'0220199'991019 -
PDR PR 4
9 63FR2873 PDR wo ,
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4 Deccmber 17, 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 General Counsel FROM: A. J. Galante /S/
Chief Information Officer
SUBJECT:
FINAL RULE AMENDING 10 CFR PART 9, SUBPART A-FREEDOM OF INFORMATION ACT REGULATIONS Attached for your concurrence is the notice of a final rule for publication in the Federal Reaister. The rule amends 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 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 December 23, 1997.
I have also attached for your information and reference a copy of the proposed rule that was published in the Federal Register on !
September 5, 1997. 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: H. Bell, OIG l L.B. Scattolini, IMD M.P. Siemien, OGC D.L. Meyer, ADM B.J. Shelton, IMD E. Yeates, IMD W. Oliu, IMD DOCUMENT NAME: G:\10CFRCON.
OFFICE IMD/FOJ/LPDfj CIO/lMD CIO [Q NAME RAPowell -)' LBScattoliniMM. AJGalantei j' DATE 12//c/97 ~ 12/6/97 12/fV97 12/ /97 OFFICIAL RECORD COPY
l
[7590-01-P]
NUCLEAR REGULATORY COMMISSION 10 CFR Part 9 RIN 3150-AF78 i
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Electronic Freedom of Information Act: Implementation
-AGENCY: Nuclear Regulatory Commission.
. ACTION: Final rule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) is amending its regulations _ to implement the Electronic Freedom of Information Act Amendments of 1996 (EF01A). which are designed'to bring the Freedom of Information Act (FOIA) into the information and electronic age by clarifying that 'F01A applies !
to' records maintained in hardcopy or electronic format. The rule implements l
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 rule implements statutory amendments that !
recognize the difficulty in responding to requests in the 10 working days formerly required and extend that time to 20 working days. It also provides :
procedures for agencies to discuss ways of tailoring requests to improve responsiveness. The rule amends 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.
. 1 EFFECTIVE DATE: (30 days after the date of publication in the Federal Register),
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FOR FURTHER INFORMATION CONTACT: Russei 7 Jowel' Chief. Freedom of I
InformatiorUlocal Public Document Room Brar,ui Office of the Chief Information '
Officer U.S. Nuclear Regulatory Commission dae.ngton. OC 20555-0001.
-telephone: (301) 415 7169. e-mail 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 (EF01A). Public Law 231. 110 Stat. 3048
-(1996). EF01A 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 FOIA requests, and the expedited processing of FOIA requests. In addition, EFOIA changes the time limit for.. responding to a FOIA request from ten to twenty working days. the requirements for reporting FOIA activities to j Congress. and the cases in which an agency may extend the time within which it will respond to a FOIA. request. EFOIA also includes provisions regarding the availability of documents in electronic form, the treatment of electronic 4
records. and the establishment of " electronic reading rooms."
I The Nuclear Regulatory Commission is amending its regulation implementing the FOIA. 10 CFR Part 9. This final rule revises the NRC's FOIA regulations.to comply with EF01A. The NRC published a proposed rule that presented its anticipated regulatory changes in response to EFOIA on September
- 5. 1997 (62 FR 46922). In response to this proposed rule. the NRC received two comments from the public and certain administrative corrections from the NRC staff.
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a-The. Reporters Committee for Freedom of the Pess tomented that the NRC regulations should allow for the' waiver of the cert 11ication reouirement Efor-requests for. expedited processing. The EFOIA allows agerities to require requesters' seeking an expedited review to certify that the reasons provided for expedited processing are true and correct. The requested waiver.would avoid delays in processing a FOIA request that would result from an exchange of correspondence with a requester to obtain this certification. Although the NRC regulations' adhered to the language of the EFOIA amendments, the concern
' expressed is understood. The NRC has revised the wording of that part of the regulation to allow the' waiver of the formal certification as a matter of administrative discretion Commonwealth Edison Company-(Comed) commented on what appeared to be the establishment'of a new title. Freedom of Information Act and Privacy Act Officer (FOIA/PA Officer). . Comed was concerned that the NRC was creating an additional' staff position and that the creation of additional staffing could
.directly affect the cost of administration. The NRC is not establishing a new l position..but only using the title for the person designated to fulfill Freedom of Information Act and Privacy Act responsibilities, who may have a job title that is not- reflective of these responsibilities. The FOIA/PA Officer will be designated by the Chief Information Officer and the designated person will use the FOIA/PA Officer title in actions involving the FOIA and Privacy Act. The. definition of this new title has been modified to more clearly reflect that this is cnly a designated title for the responsible official to use in the performance of his/her responsibilities connected with the FOIA'and Privacy Act.
Comed was also. concerned that the establishment of an electronic reading 3
-room for certain-records created after November 1. 1996. "may prove to be prohibitively expensive." The NRC has a previously established website. Most of the documents that are required to be posted in an electronic reading room were already posted on the~website or available electronically through the NRC Public Document Room's on-line Bibliographic Retrieval System (BRS).
Therefore. the additional cost to add the few remaining documents to the NRC website is minimal and does not have any significant economic impact on the NRC or the public.
The NRC staff submitted recommendations for non-substantive editorial corrections that have been made. The NRC staff proposed a change to the definition of the term " Review time" at 69.13 to remove the phrase "to
. determine if they are in fact responsive" because that is search time, not review time, The NRC staf f also proposed revising the definition of the term
" Search time" in S9.13 by changing the word " reviewing" to "looking for" in the phrase ". . . period devoted to reviewing, manually. ." to avoid confusion i
since the term reviewing has its own definition. The definitions have been revised.
The NRC staff proposed a substantive change to combine the parcgraphs at i
SS9.41(d)(2).(3), and (4) to eliminate their redundancy. SS9.41(d)(2).(3). and (4) have been combined to a single paragraph. S9.41(d)(2). and paragraphs l
l SS9.41(d)(5) and (6) have been designated as SS9.41(d)(3) and (4).
respectively.
New Provisions A. New and revised definitions.
The rule' establishes a new' title. Freedom of Information Act and Privacy Act Of ficer. to be designated by the Chief Information Officer as the 4
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' ciesignated official responsible for administering _ the F0f A and Privacy Act.
This new title.is being used in lieu of using the organizational title of the
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responsible individual .because the organizationai title may not be
, indicative of.the specific responsibilities.under these Acts. A new
.. definition is added to?10 CFR 69.13 to reflect this new title.
The definition of record is amended to add "any'information that would be an agency record subject to the requirements of (5 U.S.C. S552) 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 is revised to r'emove from the definition.
'the period spent " excising. from the records those portions which are to be withheld."
.B. Electronic Records.
Section 3 of EFOIA amends 5 U.S.C. S552(f)(2) to define " agency record" for purposes of FDIA as including "any information that would be an agency record subject to the requirements of (5 U.S.C. 5552) when maintained by an agency in any format. including an electronic format." Section 552(f) thus
~ clarifies' that the term " agency record" includes information stored in any computer readable format as well as traditional paper documents. The rule amends 10 CFR 'S9.13 to specifically include information in an electronic
. format within the definition of the term " agency record." 10 CFR 99.13
-specificall.y includes in the definition of " search" time spent looking for l .
records by automated means as well as manually.
'C. Electronic Reading Room.
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The amendme.nts further provide that section 552(a)(2) records created on or
- after November 1. 1996 must be made available by computer telecommunications within one year after such date. or if computer telecommunications have not been established. by other electronic means. The general index of these records is to be available by computer telecommunications. by December 31.
1999. These new requirements.. as well as the on-line address for NRC's h'omepage..on the Internet. are incorporated in 10 CFR SS9.21(c)(6) and (f).
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 recDed where the deletion occurred. This new requirement is included at 10 CFR 59.19(d).
D. Honoring form or Format af Requests. '
EF01 A. 5.U.S.C. -5552(a)(3) contains three significant new provisions.
First. 5 U.S.C, S552(a)(3)(B) requires agencies. when making records available to the public. to do so "in any fc m or format requested by the person if the record is readily. reproducible by the agency" in the requested manner. This new requirement is included-in 10 CFR 59.15. Sec'ond. 5 U.S.C. SSS2 (a)(3)(C) makes it clear that when an FOIA request is received. an agency should not 6
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- onl'y search for hard copies, but should'also search for the records in their electronic form. .This new requirement is included in 10 CFR 59.15. Finally.
a!" search" under the amendments means to look for agency records manually "or
.by automated means" for the purpose of. locating those records which are
, responsive.to a request. This new requirement is incorporated in 10 CFR S9.13 in the definition of " search time."
i E. Time Limits for Responding to Requests.
In recognition'of the fact that 10 worki_ng days is not a realistic timeframe.,the EFOIA amendments. 5 U.S.C. 5552(a)(6)(A)(i). extend the time to respond to a request from 10 to 20 working days. 10 CFR 59.25 is 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 process requests, many agencies may not be prepared to meet a 20 working-day deadline for some requests'. 'Therefore. to help ensure timely agency-responses to requests. the new . law; 5 U.S.C. S552(a)(6)(D)(1), authorizes agencies to establish separate systems within the agency for handling simple and complex requests. Under these types of systems. called "multitrack processing."
requests are categorized based on the amount of agency effort involved in processing the request. This replaces 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. S552(a)(6)(D)(ii). also requires agencies to give requesters the opportunity 'to limit the scope of their requests to quall.fy for processing under a faster track. This provision i
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an' incentive for requesters to' frame narrower requests for fewer documents.
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These'new p'rovisions ar'e incorporate'd in NRC's three-track-system Jescribed in 10 CFR 59.25(c).
The first track is for simple requests'or-requests of moderate a
complexity that are expected to be completed within 20' working d ys (e.g.
request that does not involve a large volume of documents, retrieval of documents from regional offices, or extensive coordination between NRC offices).
The second track is for requests 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.
.Upon receipt of a request. NRC will notify the requester of the track in which the request has been'placed for processing and the estimated time for-completion of action on the request, Should subsequent information substantially change the estimated time to process the request, the requester will be notified telephonically or in writing. A requester may modify the request to allow it to be processed under a different track for a faster response.
G. Unusua1 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 for an initial request. or the 20 working day response time for an appeal, by an additional 10 working days in " unusual circumstances." Agencies must provide the requester with a written justification for the extension that 8
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j The amendments retain the f contains the date.of the expected agency response.
l l- ' definition of." unusual circumstances" as time needed to search for and collect
.the requested records from~ field facil.ities or other establishments that are separate from the office processing the request: the need to search for.
collect. and appropriately examine a voluminous. amount of material demanded in a-single request'; and the need for consultation with another agency having a substantial interest in.the determination of the request or among two or more These parts of~the agency having substantial interest in the request.
consultation's must be conducted "with all practicable speed." 5 U.S.C.
S552(a)(6)(B)(iii).
H. hceptional Circumstances.
In addition to extensions under unusual circumstances, the EFOIA l
amendments. 5 U.S.C. S552(a)(6)(B)(ii). authorize the agency to negotiate a response time with a requester that may exceed the statutory maximum (20 working days plus a 10 working-day extension) for those FOIA requests that the i The
! agency detennines cannot be processed within the statutory time limits.
L 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.
nolicy.that_FOIA works best when requesters and agencies work together to define and fulfill reasonable requests. This new provision is incorporated in i
i l10.CFR'59.25(c).
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- I. Aggregation of Requests The EF01A amendments. 5 U.S.C. S552(a)(6)(B)(1v). authorize agencies to promulgate regulations that allow for the aggregation.of FOIA requests by the Aggregation may same requester or by a group of requesters acting together.
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Loccur if the agency " reasonably believes" that these multiple requests do indeed' constitute a single request. This new provision is implemented in 10
- CFR 59.39(e):
- 3. Requests for Opedited Processing.
The'EF0IA amendments. 5 U.S.C. S552(a)(6)(E)(i) require agencies to r
. promulgate regulations to provide for " expedited processing" in cases where the' person requesting the records demonstrates a " compelling need" and in other. cases'where the agency determines expedited processing is warranted.
The amendments define " compelling need" in two ways. One is where "a failure
~to obtain requested records on an expedited basis. could reasonably be
' expected ~ to pose an imminent threat to tne 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 House Committee report
-explaining the legislation states that a person "primarily. engaged" in the business of dissemination of information "should 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 cccupation." A requester who is "only incidentally" involved in.1nformation dissemination. in addition to othe'r 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 L "significant recognized interest." The public's right to know, while 10
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l "significant and important." would not stand alone as sufficient to satisfy this staadard. Agencies will have to make both " factual and subjective judgments" about situations cited by requesterscas r'easons for expedited processingandmust$emonstrate."fairnessanddiligence"inexercisingtheir discretion. Requesters must provide _ detailed explanations to support their expedited requests.
The EFOIA amendments. 5 U.S.C. 6552(a)(6)(E)(ii) require that agency l regulations provide that requesters be given notice within 10 calendar days after the date of the request as to the determinaticn whether it qualifies for expedited processing. Once expedited processing is granted, agencies must process it "as soon as practicable" (5 U.S.C. S552 (a)(6)(E)(lii)). Any administrat;ve appeal to a denial of expedited processing must be handled with
" expeditious consideration" (5.U.S.C. S552 (a)(6)(E)(ii)(II)). If an agency denies the request.for expedited processing or fails to act upon the request l
within the prescribed 10 calendar days, petitioner may seek judicial review. l The NRC has implemented the EFOIA requirements for expedited processing at 10
.CFR 9.25(e) and 9 29. l K. Estimates of the volume of materials denied EFOIA. 5 U.S.C. S552(a)(6)(F). requires agencies to make a reasonable effort 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 v.ould harm an interest protected by a FOIA exemption.
This new requirement has been implemented at 10 CFR S9.19(c).
. L. Annual Report to Congress The EFOIA. 5 U.S.C. 5552(e). amended the annual requirements for reporting agency FOIA activities to Congress. On or before February 1 of each 11 l
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! ' year beginning in 1999, agencies must submit to the Attorney General an annual I
report that covers the preceding fiscal year and includes the number of determinations made by the agency not to comply with the requests for records j made to the agency arid the reasons for those determinations: the number of appeals made by persons..the results of those appeals, and the reason for the action upon each appeal that results in.a denial of information: a complete list of all statutes that the agency used to authorize the withholding of I information under Section 552 (b)(3). which exempts information that is l specifically exempted from disclosure by other statutes: a description of whether a court has upheld the decision of the agency to withhold information under each of those statutes cited, and a concise description of the scope of 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 that these 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 requests 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 pr ocessing requests: the average amount of time that the agency estimates as necessary. based on the past experience of the agency. to comply with different 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 l The NRC total amount expended by the agency for processing these requests.
has implemented this ' amended EFOIA reporting requirement in 10 CFR 59.45.
The amendments require each agency to make these annual reports l available to the public through a computer network. or by other electronic L
The NRC has means 'if computer networking is not a possibility for the agency.
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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.
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Environmental Impact -. Categorical Exclusion The NRC has determined thati.this rule'is the type of action
- described intcategorical exclusion'10 CFR S51.22(c)(1). Therefore, neither an environmental' impact: statement nor an environmental assessment has been i prepared.for this rule.
Paperwork Reduction Act Statement This final rule increases the: burden to persons who request expedited
' processing under 10 CFR.59.25(e)(2). The average burden for filing this
- statement certifying the need for expedited processing is estimated to be one hour per request for 20 requests annually. Because the burden for this requirement is insignificant, it will not be sent to the Office of Management and Budget (OMB) for review and approval. Existing requirements were approved by the Office of Manag'ement and Budget. approval number 3150-0043 t
Public Protection Notification If an information collection does not display a currently valid OMB I i
control number, the NRC may not conduct or sponsor. and a person is not required to respond to, the information collection. ,
l Regulatory Analysis This rule implements the EFOIA by. amending 10 CFR Part 9. Subpart A -
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Freedom of Information Act Regulations. This is an administra'tive regulatory action that makes NRC's regulations reflect the new provisi of the EFOIA.
The rule will not have any adverse economic impact on any class of licensee or the NRC: on the contrary, the 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 regulation's to.obtain access to NRC records and information.
This constitutes _the regulatory analysis-for this rule.
Regulatory Flexibility Certification As required by the Regulatory Flexibility Act (5 U.S.C. 6605(b)). the
' Commission certifies that this rule do'es not have a significant economic The amendments to 10 CFR impact on~a substantial number of small entities.
Part 9 are procedural in nature and'are required to implement the Electronic Freedom of Information-Act Amendments of 1996 (EFOIA). 5 U.S.C. 5552.
Backfit Analysis does not The.NRC has determined that the backfit rule 10 CFR 650.109
' ' apply -to. thi~s rule: therefore, a backfit analysis .is not required for this-rule because these amendments do'not involve any provisions that impose
'backfits~ as defined in 10 CFR Chapter I.
Small Business' Regulatory Er.torcement Fairness Act In accordance with the Small' Business Regulatory Enforcement Fairness
.Act of 1996'the NRC has determined.that' this action is not a major rule and
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has verified this determination with the Office of Information and Regulatory
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'S u e-Affairs of,0MB.
Listuof Subjects in 10 CFR Part 9 Criminal penalties, Freedom of'information. Privacy. Reporting and LrecordkeepingLrequirementsiSunshineAct.
> For ther reasons set,out in the preamble:and under the authority of the LAtomic Energy Act'of:1954, as. amended::the Energy Reorganization Act of 1974.
ias amendedi and 5 U.S.C. SS552. 552a. and 553; the NRC is adopting the
' following _ amendment of 101CFR'Part 9. Subpart A-- Freedom of Information Act
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' Regulations.
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' PART 9--PUBLIC RECORD 5 1,'Theau(horitycitationforPart9continuestoreadasfollows:
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Authority: 'Sec. 161. 68 Stat. 948. as amended (42 U.S.C. 52201):
l- 201. 88 Stat. 1242.Las amended (42 U.S.C. S5841).
l Subpart A is also issued under 5 U.S.C. S552: 31 U.S.C. 59701: Pub. L. 99 -
570.
Subpart B is also issued under 5 U.S.C. S552a.
Subpart C also issued under 5 U.S.C.-S552b. I
- 2. In 59.8. paragraph (b) is revised to read as follows:
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59.8 Information collection re,1uirements: OMB approval.
L-l (b) The approved information collection requirements contained in this part i
I appear in'SS9.23. 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 r.evised to read as follows: !
Subpart A--Freedom of.Information Act Regulations ].
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- 1. j l 9.11Scopeof?subpart.
l-9.13 ' Definitions . i 9.15 Availability of records.
9.17 Agency. records exempt.from puDlic disclosure.
9,19 Segregation of exempt anformation and deletion of identifying details.
9.21 Publicly-available records. .
9'.23 Requests for records, 9.25. Initial. disclosure determination.
9.27 Form and content of responses.
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9.29' Appeal from: initial determinatiort 9.31 Extension;of time for response.
9.33 Search, review and.special service fees.
9.-34 Assessment: of cinterest: and debt collection, .
9.35'Duplicatioh: fees.
9.37 Fees for search and r.eview of agency' records by NRC personnel.
9.39 Search and' duplication provided without charge.
9.40 Assessment of fees.
9.411Requestsforwaiverorreductionoffees.
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9.43 Processing requests for a waiver or re : tion of fees.
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9.'45 Annual report to Congress.
'Subpart A- :om of Information Act Regulations S'9.11 Scope of subpart.
This'subpart prescribes procedures for making NRC agency records available ,
to the'public for inspection and copying pursur" e provisions of the
. Freedom of Information Act (5 U.5.;C. 5552) and ;- 3 notice of procedures for.' obtaining NRC records otherwise publicly avalicule. This subpart does not
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m affect the disseminat- , or distribution of NRC-originated. or NRC
. contractor-originated. information to the public under any other NRC public.
L ' technical, or other information program or policy L .
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.29.13 Definitions.
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. Aaency r'ecord means a record in the 00ssession and controF of the NRC' that l'
L is associated with Government business. Agency record does not include.
. records such asa-(1) Publicly-available books; periodicals .or-other publications that'are
' owned oil copyrighted by non-Federal sourcesi (2) Records colely in the possession and control of NRC contractors:
(3) Personal records in possession of NRC. personnel that have not been circulated. were not required to be created or retained by the NRC. and can be 4
-retained or discarded at the author's_ sole discretion, or records of a personal. nature that are not associated with any Government businer- or (4f 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 requester or the' person on whose behalf the-request is made.
Direct costs mean the expenditures that an agency incurs in. searching for and dupDcating agency records.
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For a commercial-use request. direct costs' incluae the expenditures involved in_ reviewing records to respond to the f L
request. -Direct costs include'the salary of'the employee category performing 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.
Doolication means tne process of making a copy..of a record necessary to f respon'd to a' request made unaer 59.23. Copies may take the form of paper l
- l. copy, microform. audioivi.sual materials. disk. magnetic tape. or machine readable documentation among others. ,
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e e l Educational institution means an institution that operate; a program or j 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 j vocational education.
Freedom of Information Act and- Privacy Act Officer means the NRC official- i designated by the Chief..Information Officer to fulfill the responsibilities for implementing and administering the Freedom of Information Act and the Privacy' Act as specifically designated under the. regulations in this part.
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-use 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.
Office. 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 requirements of the Freedom of Information Act when maintained by the NRC in
. anyLformat. 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 l documeritary material regardless of form or characteristics. Record does not l
' include an object or. article such as a structure, furniture. a tangible E
- i. exhibit or.model. a' vehicle. or piece of equipment. l
)
- l. Representative of the news media means any person activel) gathering news i 19 i I
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( for an. entity that is organized and operated to publish or broadcast news to L -the public. The-term news means information that is about current events or 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 can qualify as disseminators of " news") who make their products available for
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' purchase or subscriptions by the general public.
Review-time means the. period. devoted to examining records retrieved in response to a request to determine whether they are exempt from disclosure in whole or.in part. Review time also includes the period devoted.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 looking for agency records, either manually or.by automated means. for the purpose of locating those records that
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are responsive.to a request. This includes a page-by-page 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 fdCilities 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 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 l l-
'of the request or among two or more components of the NRC having substantial
' subject-matter interest therein. .
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159.151 Availability of r'ecords.
The NRC will make available:for public inspection and copying any reasonably described agency record in the possession dod control of the NRC l
- under the: provisions of this subpart and upco request by any person. Records j wilP be made:available ib any; form or fori..at requested by a person if the NRC will m6(e
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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
'electronicJform or format when requested, except when these 'fforts would ,
significant1y' interfere with the operation of any of the NRC's automated linformation systems. Records that the NRC routinely makes publicly available j
.-are described in.69.21. Procedu'res and conditions governing requests for i 1
.. records are set forth in S9.23.
59.17 Agency. records-exempt from public' disclosure, (a) The following~ types of agency records are exempt from public disclosure
.under S9;'15:
'(1.) Records -
(i) That are specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or l-
. foreign policy'. and L .. .
-(ii) That are in fact properly classified pursuant to such Executive order:
(2) Records related solely to the internal personnel rules and practices of
.the" agency:
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(3) Records'specifically exempted lfrom disclosure by statute (other than 5 U.S.C. 5552b), provided that the statute- -
- (i) Requires that the matters be withheld from the' public in a manner that leaves no discretion'on the issue; or 4
ilii) 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 person!that are privileged-or confidential:
"(5) Interagency or intra-agency memorandums or letters that would not be available by' law to a party other than an agency *>n litigation ^with the
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agency:
(6) Personnel and medical files-and -similar files, the disclosure of which
-would constitute a clearly unwarranted invasion of personal privacy:
(7) Records or.information. compiled for 1aw enforcement purposes, but only l to the~ extent that the production of-these law enforcement records or i
information- ,
(i) Could-reasonably be expected to-interfere with enforcement proceedings: l (ii) Would dep_ rive a person of.a right to a fair trial or.an impartial ]
adjudication
- 3 (iii) Could reasonably be expected to constitute an unwarranted. invasion of personal privacy:
(iv) Could. reasonably be expected.to disclose the ide'ntity of a
- confidential source. including a State. local. or foreign agency or authority. !
. or any private institution which-furnished information on a confidential basis. and.11n the case.of a' record or information compiled by a criminal law :
enforcement ' authority in.the course of 'a criminal investigation, or by an
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agency conducting a lawful national security intelligence anvestigation.
'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 the disclosure could reasonably be expected to risk circumventior, of the law: or (vi) Could reasonably be expected to endanger 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.
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 that involves access to agency records described in paragraph (a)(7) of this section the NRC may. during only the ,
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 criminal law: and (2) There is reason to believe that--
(i) The subject of the investigation or proceeding is not aware of its pendency:. and s 23
(ii)' Disclosure of the existence- of the records could reasonably be
[ expected tocinterfere with enforcement' proceedings.
S9.19 Segregation of exempt information and deletion of identifying details.
.(a) For records required to be made available-under 5 U.S.C. 6552(a)(2).
the NRC shall delete information that is exempt' under one or more of the exemptions cited in 69.17. The amount of information deleted will be 1
indicated on the released portion of the record. unless providing this l indication would harm an interest protected by the exemption (s) under which L Lthematterhasbeenwithheld. ]
(b)'In responding to a request for information submitted under~ 59.23 in which it has been determined-to withhold exempt information, the NRC shall segregate'--
- (1) Information that is exempt from public disclosure under 59.17(a) from nonexempt-information
- and-
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! 1(2): Factual information from advice. opinions. and recommendations in 1 -predecisional records unless the'information is inextricably intertwined, or I
l is c'ontained 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 reasonable effort to estimate the volume of any information requested that is
-denied and provide the estimate to the person making the recuest. unless cprov'iding'the estimate would harm an intJrest protected by the exemption (s) undar- which the information has been denied.
(d) When entire records or portions thereof are denied and deletions are 24- ,
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made from parts of the' record by computer, the amount of information deleted I will be indicated on the released portion.of the record.' unless providing this Lindication would harm an interest protected by the exemption (s) under which the matter has been denied, i
l 69.21 Publicly-available records.
i (a) Publicly-available records of NRC ac'ivities t 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. \/A 22161. Single copies of NRC publications in the NUREG series. NRC Regulatory Guides. and Standard Review I
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 1s located at 2120 L Street. NW. Washington. DC. and is -open between 7:45 a.m. and 4:15 p.m. on Monday through Friday, except Federal holidays.
l' (c) The following records of NRC activities are publicly available at the i -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:
(2) Statements of. policy and interpretations that have been adopted by the 25 9
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NRC and.have not been published in the Federal Register; l (3) Nuclear Regulatory Commission rules and regulations: <
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'(4) Nuclear Regulatory Commission Manuals and instructions to.NRC personnel that affect.any member.of the public:
(5) Copies of records that have been released to a_ person under the Freedom ,
o of Information Act that; because of the nature of their subject matter, the -
NRC determines- have become or are likely to become.the subject'of subsequent l request.s 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 L in NUREG-0540 " Title of List of Documents Made Publicly Available." which is published monthly. The records required to be made available under 5 U.S.C.
S552(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 I
Information Service.-
. (f_) By November 1,1997. NRC will begin making 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 implemented its telecommunications capability unless the ,
i records have_been promptly published and copies offered for sale.
Telecommunications access can be obtained via the Internet by accessing the 1
NRC Home Page onlthe Internet at:http/ Acm.nrc. gov /.
l l 59.23 Requests for records.
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(a)(1);A perso_n may request access to records routinely made available by Lthe NRC under:S9.21 in'herson.or in_ writing at the NRC Public Document Room.
-2120 L: Street.-NW. Washingt'on. DC=20555.
'(i) Each record requested _must be described in sufficient detail to enable the Public Document Room to locate the record.
If the description of the record is not sufficient.to allow the Public Document Room staff to identify
-the record., the Public Document Room will advise the requester to select the record from the. indexes published under S9.21(d).
-(ii) 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
.u'nder 99.21 from the National Technical Information Service. 5285 Port Royal
_. Road.LSpringfield. Virginia. 22161.
-(b) A person may request agency records by submitting a request authorized by 5'U.S.C._S552(a)(3) to the Freedom of Information Act and Privacy Act U.S. Nuclear Regulatory Officer. Office of the Chief Information Officer.
~Commis'sion. Washington. DC 20555. The request must be in writing and clearly State on the envelope and 1n the letter that it is a " Freedom of Information Act request." The NRC does not consider a request as received until it has been received and logged in by the of fice of the Freedom of Information Act 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 l- A request does not cover agency records l
Officer receives the request.
r destroyed or discarded before receipt of a request or which are created after 27
_4-E 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 to identify the requested agency records. Where possible. the requester should provide specific
- information regarding dates, titles._ docket numbers,' file designations.,and other information 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 i Privacy Act.0fficer will 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 will 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 -l regarding ' the processing of. the _ request. 1 (4) ~(i) The NRC shall advise a requester that fees will be assessed if- l (A) A request -involves anticipated costs in excess of the minimum specified L Lin 59.39: and (B) Search and duplication is not_provided without charge under 59.39: or (C) The requester does not specifically state that the cost involved is ;
acceptable-or acceptable up to a specified limit.
(11) The NRC has discretion to discontinue processing a request made under thistparagraph'until--
(A) A: required advance payment has been received:
(B) The requester has agreed to bear the estimated costs:
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I (C) A' determination has been made on a request for waiver or reduction of
. fees: or?
(D)'The requester meets the requirements of 59.39.
(c) If a requested. agency record that has been reasonably described is located 'at a place'other-than the NRC Public Document'P.oom or NRC
- headquarters, the NRC may, at its discretion. make the record available for inspection.and copying at'the other location.
(d) ExceptEas provided in 59.39--
(1) If the Y record requested'under paragraph (b).of this section is a record
-available through the National Technical Information Service, the 'RC shall refer the requester. to the National' Technical Information Service: and (2) If the requested record has been placed in the NRC Public Document Room under 69.21 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, that the record is available on line electronically.
(e): The Freedom of Information Act and Privacy Act Officer will promptly forward a Freedom of Information Act request made under 59.23(b) for an agency recon 1 to the . head of the office (s) pr.imarily concerned with the records requested as appropriate. The responsible office will conduct a search for the agency: records responsive to the request 6nd compile those agency records
.to be. reviewed for initial disclosure determination and/or identify those that i
have already been made publicly available in'the Public Document Room and
' Local Public Document Rooms.
)
S9.25' Initial disclosure determination.
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(a) Time for initial disclosure determination. The NRC wi11 notify a requester' within 20 working. days of its determination. If the NRC cannot act upon .the request' within this period, the' NRC will provide the requester with the reasons for th'e delay and provide.a projected response date.
(b) Extension of time limit in unusual circumstances. In unusua1 circumstances, the NRC may. extend the time limit prescribed in paragraph (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 reasons for delay:
(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 amount ofl 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 th'e~ request or.among two or more components of the NRC having substantial subject-matter iriterest therein.
-(c): Exceptional circumstances. A requester may be notified in certain exceptional circumstances. when it appears that a request cannot be completed within'the. allowable time. and will 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 30
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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 pnwillingness' to agree to reasonable modification of the request or an 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.
(d) Multiple-Track processing. To ensure the most equitable treatment
~ possible of all requesters the NRC will process requests on a_ first-in, fir.st-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.
(i) The first track' is. for requests of simple to moderate complexity that are expected to be completed within 20 working days.
(ii). The'second track is for requests involving 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)
.I (iii) The third track is for requests that. because of their unusual l volume or-other complexity. are expected to take more than 30 working days to ;
complete (e.g.. requests involving several offices regional offices, another agency 5 records. classified records requiring declassification review. l l
I records from businesses that are required to be referred to the submitter for their proprietary. review prior to disclosure, records'in large volumes.which require detailed review because of the sensitive nature of the records such as j j i t
investigative records or. legal opinions and recordings of internal l l
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- deliberations of agency staff).
.(2) Upon receipt of.. requests NRC will notify requesters of the track in which the request has been placed for proces' sing and the estimated time for completion, -Should. subsequent information substantially' change the estimated time to_ process a request the requester will be notified telephonically or in writing. A requester may modify the 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 F0IA office from the supplying-offices.
(e)' hpedited processing.
(1)fNRC may place a person's request at the ' front of the queue for the 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--
(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 i
-(ii) With respect-to' a request made by a person primarily engaged in disseminating information, urgency to. inform the public.concerning actual or alleged. Federal Government activity.
(2) A person requesting exDedited 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. The formality of such certification may be waived as a matter of administrative discretion.
(3) The Freedom of Information Act and Privacy Act Officer will make the 32 ,
L. 1 initial determination whether~to-grant or dent a request for expedited j' processing and will notify a requester within 10 calendar days after the ,
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L request-has 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 59.23(b) to determine whether the agency records are exempt from disclosure under 59.17(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 l
! any person, the head of the office may authorize disclosure of the agency records. If the head of the office authorizes disclosure of the agency records. the head of the ' office will furnish the agency records to the Freedom of Information Act and Privacy Act Officer, who will notify the requester of the determination'in the manner provided in 59.27.
(g) Initial disclosure determination.s on requests for records located in offices under the Decutive Director for Operations, the office of the Chief Financial Officer. and the office of the Chief Information Officer. Except as t i 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 of fice finds that' agency records should be denied in whole or in part. the head of I 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 I be denied in whole or in part. ff the Freedom of Information Act and Privacy Act Officer determines that the agency records sought are exempt from
. disclosure and disclosure of the records is contrary to the public interest and will adversely affect the rights of any person. the Freedom of Information 33 I '
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Act' and Privacy Act Officer will notify the requester of the determination in zthe manner provided in S9.27.
(h) Initia1 ' disclosure determinations on requests for records located in offices'other than offices under the hecutive Director for Operations. For agency recordsLlocated in the office of a.Commi'ssioner or in the Office of the Secretary of the-Commission, the Assistant Secretary of the Commission will make.the initial determination to deny, agency records in whole or in_part under S9.17(a) instead of the Freedom of Information Act and Privacy Act Officer. 'For agency records located in the 0ffice of the General Counsel, the General Counsei will make the initial determination to deny agency records in
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whole or in part instead of the Freedom of Informatiori Act and Privacy Act Officer. For agency records loc'ated in the Office of the Inspector General, the Assistant inspector General for Investigations will make the initial
' determination to deny agency records in whole or in part instead of the )
Freedom of.Information Act:and Privacy Act Officer. If the Assistant Secretary
.of. the Commission, the General Counsel. or the Assistant Inspector General 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 rignts of'any person. the Assistant Secretary of the Comniission, the General Counsel. or the Assistant Inspector General for Investigations will. furnish'that determination to the Freedom of Information l Act.and _ Privacy Act Officer. who will notify the requester of the determination' in the manner provided _in 99.27=
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--(1) Records and'information originated by another Federal agency.. If a ,
requested record.is . located that was or1;"nated or contains information
! originated by another Federal Government agency, or deals with subject mctter 34 1:
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,e' over.which an agency other than the NRC has exclusi.'e or primary responsibility, the'NRC will.promptly refer-the record to that Federal TGovernment agency for. disposition or for guidance regarding disposition.
1(ji If the NRC does not respond to a' request within the 20 working-day period, or,within-the extended periods described in paragraph (b) of this section.. the requester may treat'that delay as a denial of the request and immediately appeal as provided _in 59.29(a) or sue in a district court as noted in 59.29(c).
69,27 Form and content of responses.
L(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 will promptly furnish the agency record or notify the requester where
.and when;the agency record will be available fbr inspection and copying. The NRC will also advise the requester of any applicable fees under 59.35 and
'99:37. The NRC will' routinely place. copies of non-sensitive agency records
~ disclosed in-response to Freedom.of Information Act requests in the NRC Public Document Room and on microficne in Local Public Document Rooms. Records will i
'not be, routinely placed in the NRC Public Document Room and Local Public Document' Rooms that contain information personal to the requester. involve matt s that are not.likely to be of public interest to anyone other.than the j requester or contain privileged or proprietary information that should only be disclosed to the requester.
(b) When the NRC denies access to a requested agency record or denies a request for expedited processing or for a. Waiver or reduction of fees, the 4
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Freedom of Information Act and Privacy Act Officer will notify the requester l s ,
in1 writing. Theidenial will-include'_as appropriate- .
(1) The reason'for the denial: l
-(2) A reference-to the specific exemption-unde the Freedom of Information-E Act, or other appropriateLreason and the Commission 7s regulations authorizing the denial:
(3) The:name and title or position of each person responsible for the s< denial.of the request, including the head of the office recommending denial of-
'the record:
(4) A-statement stating why the request does not meet the requirements of
.S9.41 if the request is' for a waiver or reduction of fees; and (5) A statement that the denial may be appealed within 30 calendar days from the date'of the denial to the Executive m ., for Operations. to the i l
Secretary of the Commirsion. or to the Inspector General. as appropriate.
-(c) The Freedom of Information Act and Privacy Act Officer will maintain a
' copy.of each letter granting or denying. requested agency records, denying a
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request for expedited processing. or denying a request for a waiver or ;
reduction of feesiin acccrdance with the NRC Comprehensive Records Disposition
-Schedule.
,S9.29' Appeal from initial determination.
l- (a) A requester may.appealJa notice of denial of a Freedom of Information L, J4ct request for access to agency records, denial of a request for waiver or
-1 reduction of fees; or denial of a request for expedited processing under this
.subpart~within 30 calendar days of the date of the NRC's denial. For agency
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records' denied 'by an' 0ffice Director reporting to the Executive Director for Operations, 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 Assistant Secretary of the Commission.'or the Advisory
, Committee Management ' Officer and for a denial of a request for a waiver or reduction of fees, or denial of a request for expedited processing, the appeal'
- must be in writing and addressed to the Secretary of the Commission. For agency records denied by the= Assistant Inspector General for Investigations, 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 Iriitial FOIA Decision." The NRC does not consider an appeal that f
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.
(b) The NRC will make a determination on any appeal made under this section ;
I within 20 ' working days after the receipt of the appeal, except an appeal of the denial _ of'a request for expedited processing will be determined within 10 working days after 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, as appropriate. will notify. the requester of the denial .
l explaining the exemptions relled upon and how the exemptions apply to the
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agency records withheld.
i (2) If, on appeal. the denial of a request for expedited processsing or for
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upheld in wholefor.in.part. the Secretary of;the Commissicii will notify the-l:
. person' making.the request of the decision to sustain the denial including a
. statement explaining why the request ooes not meet tne requirements of
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! l 999.25(e)(1) and (2) or 69.41.
(3) The Executivd Director foi Operations. or a Deputy Executive Director.
or the-Secretary of the Commission, or the Inspector. General will 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 tne 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.
-(d) The Executive' Director for' Operations, or a Deputy Executive Director. )
or the Secretary of the Commission, or the Inspector General will furnish copies of all' appeals snd written determinations on appeals to the Freedom of Information Act and. Privacy Act Of ficer.
59.31 Extension-of. time for response.
(a) In unusual circumstances defined in 99.13. the NRC may extend the ame The limits prescribed in.69.25 or 59.29 by not more than 10 working days.
extension may t'e made byiritten notice to the person making the request to Lexplain the reasons for the extension and indicate the date on which a i
determination 1is expected to be dispatched.
(b) An extension of the time liants prescribed in 999.25 and 9.29 m'ay not exceed a comb 1'ned total of'10 working days per request, unless a requester has agree'd to an alternative time frame as described in 59.25 (c).
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-$9.33 Search: 2 review; and special service. fees.
(a) The NRC charges fees for--
+ (1) Search. duplication. and review. when agency records are requested for commercial use:
-(2) Duplication of agency records provided in excess of 100 pages when
! l 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).A: search that exceeds two hours and duplication of agency records of
.more than 100 s for any request not described in paragraphs (a)(1) and (a)(2) of th> section:
.(4) The direct costs.of searching-for agency records. The NRC will assess
> ~ fees ~even when no' agency. records are located 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 includes the cost of operating the Central Processing Unit for the portion of operating time 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 service:
1 -(l)! Certifying that records are true copies:
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(2):. Sending records by special methods. such as exp'ress mail, package delivery' service; courier, and other means other than ordinary mail: or 39 i
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(3) Producing or convertina records to formats specified by a requester I
other than ordinary copying processes.that are readi j available in NRC!. d l
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59.34' Assessment of interest and debt collection.
(a) The NRC will assess interest on the fee aeunt Mlled starting on the 31st day following the' day on which the billing was sent in accordance with NRC's regulations set out in S15.37 of this chapter. The rate of. interest is prescribed in 31.U.S.C. S3717.
(b) The NRC will use its debt collection procedures under Part 15 of this l l
chapter for any overdue fees.
59.35 Duplication fees,
'(a)(1) Charges for the duplication of records made available under 59.21 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 $0.08 per page standard size (up to and including 11 x 17 inches reduced). Pages 11 x 17 inches are 50.15 each. Pages l
. larger than 11 x 17 inches including drawings. are $1.50 each. Pages greater -
than legal size, 8 1/2 x 14 incnes, aid smaller than or equal to 11 x 17 inches will-be reduced to legal size end reproduced for $0.08 per page. unless the' ord'er specifically requests full size reproduction. i
'(11) Microfiche to paper reproduction is $0.08 per page. Aperture card blowbacks are 53.00 each (reduced size) or $5.00 (full size).
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[ (iii) Microfiche or apar ture card duplications are 50.75 each. :
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-(iv) Rush processing is offered for standard size paper to paper reproduction and blowbacks, excluding standing. order documents'and pages j reproduced from bound volumes. The charge is $0.15.per page. l (v) Facsimile charges are: .$0.30 per page--!ocal calls: $0.50 per page--U.S.-long distance: and'$1.50-per page--foreign long distance. l
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(2) Self-service dupl.icating machines are available at the Public Document
- 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. l (3) A requester may submit mail-order requests for contractor duplication of 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. l (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 final rulemaking that amends this The Commission will post the charges that section to reflect the new charges.
will be in effect for the interim period in the Public Document Room. The Commission will publish a final rule in the Federal Register that includes the new charges within 15 working days from the beginning of the interim period.
(b) ~The NRC will assess the following charges for copies of records to be L ' duplicated by the NRC at locations other than the NRC Public Document Room located in Washington. 'DC or at local Public Document Rooms:
(1) Sizes up to 81/2 x 14 inches made on office copyirig machines-- $0.20 per page of copy: and 41
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-(2) The_ charge for duplicating records other than those specified in paragraphs(a) and (b) of this section is computed on the basis of NRC's direct costs.
.(c) In compliance with.the Federal' Advisory Committee Act a~ requester may purchase copies .of. transcripts of testimony in NRC Advisory Committee proceedings, which ~are transcribed by a reporting firm under contract with the NRC.~directly from the reporting firm at the cost of reproduction as provided for in the contract with the reporting firm. A requester may also purchase 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 3/iolation 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.
(e) The cost for duplicating NRC records located in NRC Local Public Document Rooms _are establis.hed by the institutions maintaining the NRC Local Public . Document Room collections.
69.37 Fees'for search and review of agency records by NRC personnel.
b The NRC'will charge the following hourly rates for search and review of LagenCy reCorGs by NRC. personnel:
l
.(a). Clerical. search and review at a salary rate that is equivalent to a l
GG .7/ step-7. plus 16 percent fringe' benefits:
(b) Professional / managerial search and review at a salary rate that is equivalent to a GG 13/ step 6, plus 16 percent fringe benefits: and 42
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- (c):. Senior! executive or Commissioner search and review at a salary rate.
that is' equivalent to an ES-4~. plus 16 percent. fringe benefits.
59.39 Search-and duplication provide'd without charge.
(a) The NRC will search for agency-records requested under 59.23(b).
without charges when agency' records are not sought for commerc ai l use and the ]
. records are requested by an educational or noncommercial scientific institutiorn or a _ representative of the news . media.
(b) The NRC will5search for agency' records -requested under 59.23(b) without charges for .the first two hours of search for any request not sought for i commercial'use and not covered in paragraph-(a) of this section.
(c) The.NRC will dupl1i: ate agency records requested under 59.23(b) without j
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
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not a commercial use requester.
1
.(d) The NRC may not bill any reauester for fees if the cost of collecting the fee'would be equal to or greater than the fee itself. l
-(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 mult1ple requests that actually constitute a single request, and that the requests involve. clearly-related matters.
69.40' Assessment of fees.
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- (a) If the request is expected to require the NRC to assess fees in excess of_ $25 for search 'and/or duplication, the NRC will 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.
. (b) In the notification. the NRC will 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 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 will 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 $250, the NRC may riot 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 calendar days of receipt of the bill on j
- a. previous recuest. the NRC may refuse to accept the new request for l processing until payment is made of the full amount owed on the prior request, plus any applicable interest assessed as provided in 59.34 (g) Within 10 working days of the receipt of NRL's notice that fees will be assessed. the requester will provide advance payment if required, notify the NRC in writing that the requester agrees to bear the estimated costs, or
. submit a request for a v;aiver or_reducticn of fees pursuant to 59.41.
I '
l .59.41 Requests for waiver or reduction of fees.
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l (a)(1) The NRC will collect fees for searching for reviewing, and duplicating agency records except as provided in 59.39, unless a requester submits a request'in writing for a waiver or reduction of fees. To. ensure that 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 l
the initial Freedom of Information Act_ request letter.- J (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 the 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 will--
(1) Describe the purpuse for which the requester iritends to use the requested information; (2) Explain the extent to which the requester will extract and analyze the substantive content of the agency record:
(1) Describe the nature of the specific activity or research in which the agency records will be used and the specific qualifications the requester 0
possesses.to utilize information for the intended use in such a way that it will contribute to public understanding:
(4) Describe the like>y impact on the public's understanding of the subject as compared to the level of public understanding of the subject before disclosure.:
i (5) Describe the size and nature of the public to.whose understanding a contribution will be made; ;
(6) Describe the intended means of dissemination to the general public; >
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't (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.,
..(
The NRC will waive or reduce fees, without further specific information from the requester if; from information provided with the requast for agency records made under 59.23(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 Federal 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 will consider the following factors:
(1) How..the subject of the requested agency records concerns the operations
.or activities of the Federal Government:
(2) How the disclosure of the'information is likely to contribute significantly to public understanding of Federal Government operations or activities:
(3) 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 (4) If the magnitude of the identified commercial interest of the requester
-1s sufficiently large. in comparison with the public interest in disclosure.
that disclostke is' primarily in the commercial Sterest of the requester.
j (e) The Freedom 'of Information Act and Privacy Act Of ficer will make an I
'initia(determination whether a request for a waiver or reduction of fees meets the requirements.of this section. The Freedom of Information Act and 46 1
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Privacy Act Officer will inform requesters whenever their request for a waiver or reduction of fees is denied and will; inform them of their appeal rights l I
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i under 59.29..
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59.43 Processing. requests for a waiver or reduction of fees.
1 (a) Within 20 working days after receipt of'a request-for access to agency records for which the NRC agrees to waive fees under 99.39(a) through (d) or .
S9 41(c), the NRC will respond to the request as provided in 99.25.
(b) In making a. request for-a waiver or reduction of fees', a requester 1
shall provide the information required by S9.41(b). j i
(c) After receipt of a request for the' waiver or reduction of fees made in accordance with 59.41. the NRC will either waive or reduce the fees and notify the requester of the NRC's intent to provide the agency records promptly or deny the request and provide a statement to the requester explaining why the j request does not at the requirements of 59.41(b).
(d).'As providec in 59.29. a requester may appeal a denial of a request to waive or: reduce fees to the Secretary to thr :: mission. The appeal must be i
submitted within 30 calendar days from the date of the notice, i
59 A5 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 Gerieral of the United 1
States which shall include--
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-(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 59.29, the results of the
' appeals, and the reason for the action taken on each appeal that results in a !
i denial of information: - l (3> A complete list of all statutes that the NRC relied upon to withhold information under subsection (b)(3) of 5 U.S.C. 9552, a description of whether a court has upheld the-decision of the NRC to withhold information under each such statute, and a concise description of the scope of any information
- withheld:
(4) The number of requests for records pending before the NRC as of September 30 of the preceding year and the median number of days that such 1requestshadbeenpendingbeforetheagencyasofihatdate:
(5) The number of requests for records received by the NRC and the number of requests that the NRC processed:
(6) The median number of days taken to process different types of requests:
(7) The total amount of fees collected by the NRC for processing requests; (8) The number of full-time staff of the NRC devoted to processing requests !
under the FOIA and the total amount expended for processing these requests.
(b) The NRC will make a copy ot each report available to the public on the NRC homepage on the Internet that can be accessed at: http\\ m .nrc. gov. A 48 ,
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i copy will also be available for public inspection and copying in the NRC Public Document Room.
day of-
. Dated at Rockville, Maryland, this . 1997.
i For the Nuclear Regulatory Commission. !
A. J. Galante, i j
Chief Information Officer.
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Proposed Rules :M, w 172 l
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r rid.ty aptember 5.199 0001, Attention: Rulemakings and designated official responsible for This section of the Fi.DERAL REGISTER administration of the FO!A and Privacy contains notices to the pubhc of the proposed Adjudications Staff.
Act in lieu of using the organizational issuance of rules and regulations. The Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland, title of the responsible individual which purpos e of these notices is to give interested j persons an opportunity to participate in the between 7:30 am and 4:15 pm Federal may not be as indicative of these '
rule making prior to the adoption of the finr8 so,rkdays. specific responsibilities. A new mies. 5or information on submitting definition is proposed to be added to 10 rn: c uments electronically, see the CFR 9.13 to reflect this new title.
discussion under Electronic Access in The definition of record would be NUCLEAR REGULATORY the Supplementary Information section. amended to add ,'any mformation that l COMMISSION Examme comments received at: The would be an ageney record subject to i NRC Public Document Room,2120 L the requirementi of(5 USC 552) when i 10 CFR Part 9 Street, NW, (Lower Level), Washington, maintained by a 1 agency in any format. l DC. including an ele ctronic format" and to RW 3Nm FOR FURTHE;lINFORMATION CONTACTt read " Record aho includes a book, !
Russell A. Powell, Chief, Freedom of * *
- drawing, diagram, * * '" j Electronic Free ('.om of information Act: Information/ Local Public Document The definition of review time would l Implementatloa Room Branch. Office of Chief be revised to remove from the definition 1 AGENCY: Nuc ear Regulatory Information Officer, U.S. Nuclear the period spent " excising from the l Regulatory Commission, Washington, records those portions which are to be !
Cornmission. withheld." J DC 20555-0001, telephone: (301) 415-ACTION: Propt W rule.
7169, e mail: RAPl@nrc gov' R Electronic Records
SUMMARY
- The Nuclear Regulatory Section 3 of EFOIA amends 5 LLS C.
I SUPPLEMENTARY INFORM ATION:
Commission (NRC) is proposing t'o 552(fM2) to define " agency record" for ,
amend its regulations to implement the Background Information On October A 1996, the President purp ws I FOIA as including "any l Electronic Freedom ofInfonnation Act inf rmati n that would be an agency Amendments of 1996 (EFO!Al, which signed into law the Electronic Freedom * * "'
- are designed to bring the Freedom of of Informatine Act Amendments of 1996 LLS C. 552) when mamtained by an ;
l Information Act (FOIA)into the (EFOIAh Public Law 231,110 Stat. 3048 ency 1n any format, including an information and electronic age by (1996) EFOl A includes provisions afectr mc f rmat. Section 552(f) thus e
clarifying that FOIA applies to records authorizing or requiring agencies to plarifies that the term agency record maintained in hardcopy or electronic promulgate regulations implementing includes mformation stored in any format. The proposed rule would certain ofits requirements. including C implement statutory provisions of the the tracking of Freedom of Information mP. uter readable fonnat as well as traditional paper documents. The law that broaden public access to Act (FO!A) requests. the aggregation of PNPosed regulations would amend 10 government information by placing FO!A requests, and the expedited more records on line and expanding the processing of FOIA requests. In "3 I 'P"*"I '"' " "
'"I " " ""
role of the agency public document addition. EFOIA changes the time hmit ithi t Fm lon t nn room. 't he proposed rule would for respondmg to a FOIA request from .. agency record.,,10 CFR 9.13 implement statutory amendments that ten to twentv working days, the " '"
l recognize the difficulty in responding to requiremenis for reporting FOIA ',[fh
- p nt revi - e s requests in the to working days activities to Congress, and the cases in which an agency may extend the time ""'"",ated means as wei; as formerly required and extend that time " " " "
to 20 working days. It also provides withm which it'will respond to a FOIA C. Electroruc Readmg Room
. procedures for agencies to discuss ways request. EF01A also inchides provisions l
of tailonng requests to improve regarding the availability of documents Section 4 of EFOIA amends 5 U.S C.
responsiveness. The proposed rule in electronic form the treatment of 552(a)(21, which previousiv required l would amend NRC's FOIA regulations elativi.ic w>rdc.. .md the agroeirs to make ...it.d,1.if.,r psd,1;u j
to comply with the requirements of the establishment of ~ electronic readinR inspection and copying certain new statute. Certain other changes base rooms? information, such a's agency opmions been made to correct administrative The Nuclear RegulaNr> Commission and policy statements, administrative errors and to update or remove obsolete proposes to amend its relation staff manuals and staffinstructions that t
information. implementing the FOIA,10 C.7 Part 9 affect a member of the public. The new DATES: Submit comments by October 6. The proposed amendments wouto law expands these categories to include 1997. Comments received after this date revise the NRC's FOIA regulations to agency records that have been made will be considered if it is practical to do comply with EFOIA. publicly available and are likely to be so, but the NRC is able to assure the subiect of repetitive pubhc requests, New Provisions as weH as a generalindex of these consideration only for comments received on or before this date. A New and Hensed Defnutmn$ frequently sought documents. Tha The proposed rule would estabhsh a amendments further provide that ACORESSES: Send comments to: section 552(a)(2) records created on or Secretary, U S. Nuclear Regulatory new title. I'rendom ofInformation Act after Nmernher 1,1996. must be made Commission, Washington. DC 2L555- and Praag At t Offk er. tor the
b
? e Feder:1 Regist:r / Vol. 62, No.172 / Friday; September 5,1997 i Proposed Rules 46923 anilable by computer . Therefore. to help ensure timely agency extension that contains the date of the I tilocommunications within one year responses to requests, the new lu. 5 expred agency response The titer such date, or if compater .. U S C. 552(a)(6)(D)(il u.tho- as tehcommunications have not been -
amMments would retain the definition gencies to establist apare systene si a nual circumstances" as time tstiblished, by other electronic means within the sgene, W haneng .8ph $
The general inde4 of these records is to ecded o search for and collect the and comp;cr requem Ur.d u thue quecod records from field facilities or be tvailable by computer types of 9 mms, cal.< d r t.htmcl otne: establishments that are separate t:lecommunications by December 31, proce.mng ' requests would be ;
1999. These new requirements, as well frcm the office processing the request; J categorized tecd m the amount of the need to search for, collect and rs the on-line address for NRC's agency effort involved in processing trw appropriately examine a voluminous homepage on the Internet, would be request. This would replace the current incorporated in to CFR 9.21 (c)(6) and amount of material demanded in a first in, first out approach generally single request: and the need for (f). employed at the NRC. Agencies must Finally, where material has been consultation with another agency still exercise due diligence within each having a substantial interest in the withheld in electronic records made track. The new law,5 U.S.C. determination of the request or among avillable to the public, the extent of the ' 552(a)(6)(D)(ii), also requirer agencies to two or more parts of the agency having del tions must now be indicated on the give requesters the opportunity to limit substantial interest in the request. These portion of the record made available or the scope of their requests to qualify for consultations must be conducted "with published and, where technically processing under a faster track. This all practicable speed." 5 U.S.C.
possible, must be indicated at the place provision is intended to permit more m the record where the deletion 552(a)(6)(B)(iii).
requests to be completed more quickly occurred. This new requirement would - by providing an incentive for requesters H. Exceptional Circumstances be included at 10 CFR 9.19(d). to frame narrower requests for fewer in addition to extensions under D. Honoring Form or Format of Requests documents. These new provisions unusual circumstances, the EFOIA would be incorporated in NRC's amendments,5 U.S.C. 552(a)(6)(B)(ii).
EFOIA,5 U.S.C. 552(a)(3) contains proposed three-track system described authorize the agency to negotiate a three significant new provisions. First,5 in 10 CFR 9 25(c) response time with a requester that may U.S.C. 552(a)(3)(li) requires agencies, The first track is for simple requests when making records available to the exceed the statutory maximum (20 public, to do so "in any forrr or fonuat or requests of moderate complexity that working days plus a 10 working-day are expected to be completed within 20 extension) for those FOIA requests that requested by the peren if the reconi % working days (e g, a request that does the agency determines cannot be rndtly reproducib!e by the agency" in not imolve a large volume of the requested marmer. This new processed within the statutory time requirement would be included in 10 documents, retrieval of documents from limits. The agency must offer the regional offices, or extensive requester an opportunity to limit the CFR 9.15. Seccad,5 U.S.C. 552 (a)(3)(C) coordination between NRC offices), scope of the request so that it may be makes it clear that when an FotA The second track is for requests processed within the prescribed 20 request is received, an agency shouid imolving unusual circumstances that working days. Congress asserted that
. not only search for hard copies, but are expected to take between 21-30 this process for negotiated time limits should also search for the records in working davs to complete. reflects the policy that FOIA works best thIir electronic form. This new The third track is for requests that, when requesters and agencies work requirement would be included in 10 hecause of their unusual volume or together to define and fulfill reasonable CFR 9.15. Finally, a " search" under the complexity, are expected to take more requests. This new provision would be emendments means to review, manually than 30 working days to complete.
' incorporated in to CFR 9.25(c).
"or by automated means," agency Upon receipt of a request, NRC would .
ricords for the purpose oflocating those notify the requester of the track in I. Aggregation of Requests records which are responsive to a which the request has been placed for The EFO!A amendments,5 U.S.C.
request. This new requirement would be processing and the estimated time for 552(a)(6)(f3)(iv), authorize agencies to incorporated in 10 CFR 9.13 in the completion. Should subsequent promulgate regulations that allow for difinition of" search time " information substantially change the the aggregation of FOIA requests by the E Time Limits for Responding to estimated time to process the request, same requester or by a group of Requests the requester would be notified requesters acting together. Aggregation telephonically or in writing. A requester may occur if the agency " reasonably In recognition of the fact that to may modify the request to allow it to be believes" that these multiple requests working days is not a realistic processed under a different track for a timeframe, the EFOIA amendments s do indeed constitute a single request.
f e w rente This new provtsion would be U.S.C. 552(a)(6)(A)(i). extend the time t implemented in 10 CFR 9.39(e).
respond to a request from 10 to 20 G. L'nusuoi Circumstances working days.10 CFR 9.25 would be Even with use of multitrack l Reque'sts for Expedited Processing cmended to reflect the change in the processing, Congress recognized th.. in The EFO'A amendments,5 U.S.C.
time limits for initial disclosure some circumstances the statutory 552(a)(6)(E)(i), require agencies to determination from 10 to 20 working . response time will not be met. The promulgate regulations to provide for drys effective October 2,1997. EF01A retains the provisions for " expedited processing"in cases where F. Afultstmck Pmcessing ofRequests agencies to extend the initial 20 working the person requesting the records day response time for an initial request, demonstrates a " compelling need" and flowever, Congress recognized that or the 20 working day response time for in other cases where the agency even with the increase in time to an appeal, an additmnal 10 working determines expedited processing is process requests, many agencies may de m " unusual rircumstances/ warranted. The amendments define not be prepared to meet a 20 wor king. Agem ies must provide the requester " compelling need" in two ways. One is day deadline for some requests. with a written justification for the where "a failure to obtain requested
I 46924 F:d:r:1 Register / Vol 6L No.172 / Friday, September 5.1997 / Proposed Rules o ._
records on an expedited basis * *
- K Estimates of @ rolume of h :al, newnk.or by other electronic means if could reasonably be expected to pose an Demed mmpcwr networking is not a possib!hty r imminent threat to the life or physical ur ib. apncy. The NRC has posted its EFML5UcC WDC rp e safety of an individual." The other is agenca:s to make a reasausbh -um n cuoW ntort on its website on the inomer shat is accessible through the where a " person primarily engaged in estimate the vohime of any requre disseminating information" to the record matenal diat is d"rtind n w hole " "t9isgealso
?; b cry., at: httpvwww.nre gov.
watlable in the NRL, public has "an urgency to inform the or in part,and to provice the est mate N h' 1'" *""' N *'
public concerning actual or alleged to the requester unless providing srh Federal Government activity." The estimate would harm an interast Eletnmic Access liousc Committee report explaining the protected by a FO!A exempion T! 6 Com.nents may be submitted j legislation states that a person new requirement would bc ,,ledraaically, in either ASCll text or
, primarily engaged m the business of implemented at 10 CFR 919(c) Wmdperfect format (version 5.1 or l dissemination of information 'should L Annua / Report to Congress later) by calling the NRC E;cctrome not include individuals who are Bulletin floard (BBS) on FedWorld or engaged only incidentally m. the The EFO!A,5 U.S C. 552(e). amended connecting to the NRC interactiva dissemination of information, but the annual requirements for reporting rulemaking web site, "Rulemaking requires that "information agency FOIA activities to Congress. On Forum." The bulletin board may be '
dissemination be the main activity of or before February 1 of each year accessed using a personal computer, a the requester, although it need not be beginning in 1999, agencies must modem, and one of the commonly their sole occupation." A requester who submit to the Attorney General an available communications software is "only incidemally" involved in annual report that covers the preceding packages, or directly via Internet.
information dissemination, in addition fiscal year and includes the number of Backgrot nd documents on the to other activities, would not satisfy this determinations made by the agency not rulemaking are also available for requirement. to comply with the requests for records downloading and viewing on the niade to the agency and the reasons for bulletin board.
The report further explains that the term " urgency to mform." one of the those detenninatmns: the number of If using a personal computer and appeals inade by persons. the results of modem, the NRC subsystem on i quabfying elements for expedited FedWorld can be accessed directly by those appeals, and the reason for the processing, must involve a matter of unon upon eat h appeal that results m diahng the toll free number: 1-800-
" current esigen<.y to the Amencan a denial of information, a complete hst Jo3-9w2 Communication software puidic" such that any reasonable person of all statutes that the ag.mc y uwd to parameters should be set as follows:
could conclude that delaying a response authonte the withholding of panty to none, data bits to ti. and stup to a FOIA request would rompromise a bits to t (N.8.1). Using ANSI or VT-100
- I"""d h"" ""d"' h"c n on 5 5 2(b)(1).
"ugnificant recognired interestJ The w hk h cu mpts information that is terminal emulation, the NRC l puF ' right to know, w hile spn ificahy cu mpted from disclosure rulemaking subsystem can then be I
" sit .ticant and important," would not h odu r catutes; a desen ition of accessed by selecting the " Rules Menu', 3 stand a!one as sufficient to satisfy this whedun a < oun has uphe d the decision option from the "NRC Main Menu." l or l standard Agencms will have to rnake of We agem y to withhold infonnation further information about options both " factual and subjective judgments" under ead of diose statutes cued, and asadable for NRC at FedWorld, consult about situations cited by requesters as a t unu3e destnpuon d We st ope of any the melpanformation Center' from the reasons for expedited protessmg and mfunnanon upheM the number of "NRC Main Menu." Users will find the must demonstrate " fairness and requests 6r nx oms penWng Wore Me TedWodd Online User s Guides dihgence" in esercising their dis < retion agenu as of pten er 30 of the parta ularly helpful. Many NRL Requesters must Iiroside detaded prn edmg s ear, and the median number se .vstems and databases also hase a explanations to support their espedited 4 de udt h se regem M been melp/Information Center" option that n quests endme bef ire the agent y as of that a tailored to the particular subsystem.
The EFOIA amendments,5 lLS C date. ihe number of requests for records The NRC subsystem on FedW'orld can 552(a)(6)(E)(ii). require that agency n, mv.d bs the agency and the number also be accessed by a direct dial phone regulations provide that requesters be of requests the agency prot essed; the number for the main FedWorld BBS:
given notion withm to < alendar das s mnhan number of das s taken by the 703-321-3339. Telnet via Internet:
after the date of the request as to the agoney to process ddierent ty pes of fedworld gov (192 239 93.3h Filc .
l determination whether it quahfies for n questt the total amount of fees Transfer Protocol (FTP) via expedited processing. Om e exped:ted < oun i,.d by the agency for processmg Internet ftp fedworld gov processing is granted, agenties must rem..st ,. the n eraue anumnt of time ipu > tu q? ?no and World Wide Weh process it "as soon as practicah!c ' (5 that t he agem y e3tunales as necessai s . usmg http ziwww fedworld gav tthis a U.S C. S$2 (al(61(Elkid) An) based on the past espenence of the the t'mform Resource Locator (URL)).
administratise appeal to a denial of agetu 3. to t ompiv with dif ferent ts pes It using a method other than the toll-expedited pro (essmg must be handled of requests: the n' umber of fuH-tim'e staft free number to contatt FedWorld, access with " expeditious consideration" (5 of the agent) devoted to the pmcessmg the NRC subs 3 stem from the main U S C 552 (a)(6)(E)(ii)(Ill) If an agency of requests for rm ords under this FedWorld menu by selm ting "F-denies the request for expedited sn tion. and the total amount expended Regulatory . Gm ernment Administranon processing or fails to act upon the by the agency for prot essing these and state Systems." then selecting " A-request within the prescribed 10 requests The NRC wouhl implement Regulatory information Mall? At that calendar day s, petitioner may seek this amended I F()!A reportmg pon.t a menu wdl be displayed that has judicial review. The NRC would rnpurement m to CFR 915 an option " A-U S Nuclear Rogulatory implement the El OlA requirements for 'I he amomheents rnpure e.u h agorn s Comnumon" that will take you to the expedited processing at 10 CFR 9 2Mel to make these annual reports as.nlable NRC unkne Mam Menu You can also and929. to the pubh, throuch a i omputer eu dum tiv to the NRC Online area bs
a Federd Regist:r / Vol. 62, No.172 / Friday, Septcmber 5,1997 / Proposed Rules 46925
_. v' i typing "/go nrc" at a FedWorld Public Protection Notification a uthority: Sec 161,68 stat. 948. as command line. If you access NRC from . mnded (42 m 220n se 201,88 Stat The NPC may not conduct or oper FedWorld's Main Menu, then you may and s permn is not requW,- yJ 'yl2 ,o amended (42 U S C. 5841).
return to FedWorld by selecting th" to, a collecm. of irJonnatiu .,atess :t . bpart A also issued under 5 U.S.C. 552:
" Return to FedWorld" option from the displap e ~'rrelv whd OP' r sum! 3
9* ' '#"
i NRC Online Main Menu. However, if bpart B is also issued under 5 U.S.C.
number '52a. j you access NRC at FedWorld by using .
NRC's toll free number, then you will Regul4 tory Analysis Subpart C also issued under 5 U.S.C. 552b.
hrve full access to all NRC systems, but Thu proposed rule eWd implement you will not have access to the main 2. In S 9.8, paragraph (b) is revised to the EFOIA by amending 10 CFR Part 9 read as follows:
FedWorld system. Subpart A-Freedom ofInformation Act if you contact FedWorld using Telnet, Regulations. This is an administrative $ 9.8 information coneccon requirements:
- you will see the NRC area and menus, regulatory action that would make OMB app *ovat including the Rules Menu. Although NRC's regulations reflect the new * * * * *
- you will be able to download provisions of the EFOIA. The proposed (b) The approved information documents and leave messages, you will rule would not have any adverse not be able to write comments or upload economic impact on any class of collection requirements contained in filts (comments). If you contact this part appear in SS 9.23,9.29,9.40, licensee or the NRC; on the contrary, the 9. 41, 9. 53, 9.54, 9.55, 9.65, 9.66, and FedWorld using ITP, all files can be posed rule with its new provisions accessed and downloaded but uploads 9'67' a owing expedited and multitrack ars not allowed; all you will see is a list processing may provide some new and 3. In Part 9. Subpart A is revised to of files without descriptions (normal additi4nal benefit to those who may opt read as foUows
Gopher look). An index file listing all to use Jhese regulations to obtam access Subpart A-Freedom ofinformacon Act files within a subdirectory, with Regulations descriptions, is included. There is a 15- to NRQ records and information.
This constitutes the regulatory 3,c minute time limit for TTP access. analysis for this proposed rule Although FedWorld also can be 9 11 Scope of subpart.
accessed through the World Wide w.e b, Regulatory Flexibility Certification 9 13 Defimtions.
9.is Availabihty of records.
like ITP, that mode only provides As requin;d by the Regulatory 9 17 Agency : , cords exempt from public access for download'ng files and does Fleubility Act (5 U.S C. 605(bil. th" disclo'sure not display the NRC 'ules Menu. Commission certifies that this rule does 9 19 Segregation of esempt information and You may also act not have a sigmficant economic impact he NRC's deletion of identifying details.
interactive rulems web site through on a substantial number of small 9 21 Publicly-avadable records.
the NRC home page , tfp:// entities The amendments to to CFR 9 23 Requests for records.
www.ntc gov). This site provides the Part 9 are praeduralin nature and are 9 25 Initial disclosure determination.
same access as the FedWorld bulletin required to implement the Electronic 9 27 Form and cor tent of responses.
bo2rd, including the facility to upload Freedom ofInformation Act 9 29 Appeal from initial determination.
comments as files (any format), if your Amendments of 1996 (EFO!A),5 U.S C. 9.31 Extension of tirne for response.
web browser supports that function. 552. 9 33 Search, review, and special service For more information on NRC bulletin !!ackfit Analysis boards call Mr. Arthur Davis. Systems 93 sessment of interest and debt Integration and Development Branch, The NRC has determined that the collection.
U.S. Nuclear Regulatory Commission, backfit rule 10 CFR 50.109 does not 9 35 Duplication fees.
Telephone: 301-415-5780; e-mail, apply to this proposed rule; therefore, a
~
9 37 Fees for search and review of agency AXD3@nrc. gov. For mformation about backfit analysis is not required for this records by NRC personnel.
the interective rulemaking site, contact Proposed rule because these 9 39 Search and duplication provided amendments do not involve any without charge Ms. Carol Gallagher Telephone: 301- g 415-.6215; e-maih CAG@nrc gov. P" "s ha w u ose acUits d ,
9 41 Requests for waiver or reduction of En i nmental Impact--Categorical 1.ist of Subjects le to CFR Part 9 9 43 Processmg requests for a waiver or
- The NRC has determined that this 94 na gr a in orn in cv, r i g and d cr d i categ ric I e lusio 10 recordkeeping requirements. Sunshme Subpart A-Freedom ofInformation
- I {
CFR 51.22(c)(1). Therefore. neither an For the reasons set out in the M % Wad e environmentalimpact statement nor an environmental assessment has been pmamble and under the authonty of the 5 9.11 scope of suopart.
prepared for this proposed rule. Atonuc E,nergy Act of 1954, as amended; This subpart prescribes procedures for the Energy Reorgamzation Act of 1974, P:perwork Reduction Act Statement making NRC records available to the as amended; and 5 U S C. 552,552.a. and public fo* inspection and copying This proposed rule does not contant 553, the NRC is roposing to adopt the pursuaat to the provisions of the a new or amended information f Howing ampn ment of 10 CFR Pan 9- Freedom ofInformation Act (5 U.S.C.
collection requirement subject to the Subpan Adn edom of Information Act ,
552) and provides notice of procedures !
Paperwork Reduction Act of 1995 (44
~
R"N"Uh"Mi for obtaining NRC records otherwise U.S C. 3501 et seg ). Existing publicly available. This subpart does requirements were approved by the PART 9-PUBUC RECORDS not affect the dissemination or Office of Management and Hudget. 1. The authonts ritation for Part 9 distribution of NRC-onginated, or NRC approval number 3150-0043 tuntinues to re.nl a follow s contractor-originated, information to the
o w 46926 Feder:1 Regist:r / Vol. 62, No.172 / Friday, September 5,1997 / Proposed Rules j l
public under any other NRC public, Information Act and Privacy Act as (1) The need to search for and collect technical, or other information program specifically designated under this the requested records from field or policy, regulation, facilities or other establishments that are Noncommercial scientific institution separate from the office proces*.ag the
$ 9.13 Definitions. means an institution that is not operated request; i Agency record means a record in the on a commercial basis, as the term (2) The need to search for, collect, and j possession and control of the NRC that " commercial" is referred to in the appropriately examine a voluminous {
is associated with Government business. definition of " commercial-use request " amount of separate and distinct records j Agency record does not include records and is operated solely for the purpose of which are demanded in a single request; such as- ~ conducting scientific research, the or (1) Publicly-available books, results of which are not intended to (3) The need for consultation, which pedodica's, or other publications that promote any particular product or will be conducted with all practicable f cre owned or copyrighted by non- industry. speed, with another agency having a l Federal sources Office, unless otherwise indicated, substantial interest in the determination ;
(2) Records solely in the possession means all offices, boards, panels, and of the request or among two or more i cnd control of NRC contractors; ' advisory committees of the NRC. components of the NRC having (3) Personal records in possession of Record means any information that substantial subject matter interest NRC personnel that have not been would be an agency record subject to therein.
circulated, were not required to be the requirements of the Freedom of created or retained by the NRC, and can Information Act when maintained by $ 9.15 Avaltability of records.
be retained or discarded at the author's the NRC in any format, including an The NRC will make available for sole discretion, or records of a personal electronic format. Record also includes public inspection and copying any niture that are not associated with any a book, paper, map, drawing, diagram, reasonably described agency record in j Government business; or photograph, brochure, punch card, the possession and control of the NRC (
(4) Non-substantive information in magnetic tape, paper tape, sound undor the provisions of this subpart, logs or schedule books of the Chairman recording, pamphlet, slide, motion and upon request by any person.
or Commissioners, uncirculated except picture, or other documentary material Records will be made available in any l for typing or recording purposes, regardless of form or characteristics. form or format requested by a person if )
Commercial-use mquest means a Record does not include an object or the record is readily reproducible by l request made under % 9.23(b) for a use article such as a structure, furniture, a NRC in that form or format. NRC will or purpose that furthers the commercial, tangible exhibit or model, a vehicle, or make reasonable efforts to maintain its tride, or profit interests of the requester piece of equipment. records in forms or formats that are or the person on whose behalf the Representative of the news media reproducible. NRC will make reasonable request is made. means any person actisely gathering efforts to search for records in electronic Dimet costs mean the expeaditures news for an entity that is organized and form or format when requested, except thtt an agency incurs in searching for operated to publish or broadcast news to when these efforts would significantly rad duplicating agency records. For a the public. The term news means interfere with the operation of any of the commercial-use request, direct costs information that is about current events NRC's automated information systems.
Include the expenditures involved in or that would be of current interest to Records that the NRC routinely makes reviewing records to respond to the the public. Examples of news media publicly available are described in request. Direct costs include the salary entities include television or radio 6 9 21, Procedures and conditions of the employee category performing the stations broadcasting to the public at governing requests for records are set work based on that basic rate of pay large, and publishers of periodicals (but forth in S 9.23.
plus 16 percent of that rate to cover only in those instances when they can I fringe benefits and the cost of operating qualify as disseminators of " news") who 5 s.n Agency records exempt from pubile duplicating machinery. make their products available for disclosure.
Duplication means the process of purchase or subscriptions by the general (a) The following types of agency mding a copy of a record necessary to public. records are exempt from public respond to,a request made under S 9 23. Renew time means the period disclosure under 5 915:
Copies may take the form of paper copy, devoted to examining records retrieved (1) Records-microform, audio-visual materials, disk. in response to a request to determine if li) That are specifically authorized mignetic tape, or machine readable they are in fact responsive, and to under criteria established by an documentation, among others. determine whether they are exempt Executive order to be kept secret in the Educationalinstitution means an from disclosure in whole or in part. interest of national defense or foreign mstitution that operates a program or Also, review time mcludes LDe penoa pohey, ami programs of scholarly research. devoted to examining records to (ii) That are in fact properly classified Educational institution refers to a determine which Freedom of pursuant to such Executive order preschool, a public or private Information Act exemptions are (2) Records related solely to the elrmentary or secondary school, an applicable and identifying records or - internal personnel rules and practices of ,
institution of graduate higher education, portions thereof to be disclosed. the agency 1 en institution of undergraduate higher Search time means the period devoted (3) Records specifically exempted education, an institution of professional to reviewing, manually or by automated from disclosure by statute (other than 5 education, or an institution of rneans, agency records for the purpose U.S.C. 552b), provided that the statute--
vocational education. of locating those records which are (1) Requires that the matters be Freedom ofinformotion Act and responsive to a request. This includes a withheld from the public in a manner Privacy Act Officer means the NRC page by page or line-by line that leaves no discretion on the issue, or official designated to fulfill the identification of responsive information (ii) Establishes particular cnteria for responsibilities for implementing and within the ret ords. withholding or refers to particular types administering the Freedom of Unusual cm umstances mean- of matters to be withheld 1
1
4 61127 7 Fed:rri Regist:r / Vol. 62, No.172 / Friday, September 5,1997 / Propose i Rules trert the records as not subject to the micro'iche and may be ordered from the (4) Trade secrets and commercial or National Technical Information Service, finincial information obtained from a requirements of this subpart when-i1) The investigation or proceedirg 5m. isrt Royal Road, Springfield, VA p1rson that are privileged or confidential mvo!ves a pcm 'ble vMeim. Of crirnN ' 7m 1. Sir,de copies of NRC (5) Interagency or intra-agencv law;and nb.uti vs in the NUREG series. NRC (2)Thm is reasm 'u t3enm tnot- Regubry Guides, and Standard mrmorandums or letters that w uld not hw "lans are also available from the be available by law to a party other than (i) The sut wct of the hvestigmin c.i to egency in litigation with the agency proceeding u m aw.n ,f its pea.cy. NaierW rechnicalInformation Service.
(N N the convenience of persons and (6) Personnel and medical files and who may wish to inspect without charge simil-r files, the disclosure of which (ii) Disc losua of the c)innue I the would constitute a cloarly unwarranted records could reasonably be evpocted to a purc hase copies of a record or a interfere with enforcement prereedings. limited category of records for a fee, invasion of personal privacy publich available records of the NRC's (7) Records or information compiled "" " " activities described in paragraph (c) of for law enforcement purposes, but only fn n nbP i this section are also made available at to the extent that the production of (a) For records required to be made the NRC Public Document Room. The thisa law enforcement records or available under 5 U.S.C. 552(a)(2), the NRC Public Document Room is located inic mstion- NRC shall delete information that is at 2120 L Street, NW., Washington, DC, (1) Could reasonably be expected to exempt under one or mare of the and is open between 7:45 a.m. and 4:15 interfrre with enforcement proceedings exemptions cited in 5 9.17. The amount p.m. on Monday through Friday, except (ii) Would deprive a person of a right finf rmation deleted will be indicated Federal holidays. l<
to e fiir trial or an impartial n the released portion of the record- (c) The following records of NRC rdjudication unless pr viding this mdication would activities are publicly available at the (iii) Could reasonably be expected to harm an interest rotected by the NRC iublic Document Room for public constitute an unwarranted invasion of exemPuon(s) un er which the matter personal privacy; has been withheld- insp)ection and copying:luding (1 Final opinions inc (iv) Could reasonably be expected to (b)In responding to a request for . concurring and dissenting opinions as disclose the identity of a confidential . f rmati n submitted under 5 9.23,in in well as orders of the NRC issued as a source, includin8 a State, local, or which it has been determmed to result of adjudication of cases-w thhold exempt information, the NRC (2) Statements of policy and" 8" {8,"{Y['n i . b is![ interpretations that have been adopted information on a confidential basis, and. * ""'[rm"ation (1)In that is exempt from by the NRC and have not been in the case of a record or information public disclosure under 5 9.17(a) from published in the Federal Register; compiled by a criminal law enforcement n nexempt mf rmati n; and (3) Nuclear Regulatory Commission tutbority in the course of a criminal (2) Factual information from advice, rules and regulations; investigation, or by an agency opinions, and recommendations in (4) Nuclear Regulatory Commission conducting a lawful national security predecisional records unless the Manuals and instructions to NRC mtelhgence investigation, mformation nformation is inextricably intertwined, personnel that affect any member of the furmshed by a confidential source or is contained in drafts, legal work public; ,
(v) Would disclose techniques and products, and records covered by the (5) Copies of records that have been procedures for law enforcement lawyer. client privilege, or is otherwise released to a person under the Freedom investigatwns or prosecutions, or would exempt from distlosure. of Information Act that, because of the disclose guidelines for law enforcement (c)In denying a request for records,in nature of their subject matter, the NRC investigations or prosecutions if the whole or in part. NRC will make a determines have become or are likely to disclosure could reasonably oe expected reasonable effort to estimate the volume become the subject of subsequent to nsk circummntion of the law; or of any information requested that is requests for substantially the same (vi) Could reasonably be expected to denied and provide the estimate to the records.
endanger the life or physical safety of person makmg the request, unless (6) A generalindes of the records tny indmdual; providmg the estimate would harm an re! cased under the FOIA.
(8) Matters contained in or related to nterest pmtected by the exemption (s) (d) Current indexes to records that are examination, operating, or condition made publicly available are listed in under which the information has been NUREG-0540," Title of List of reports prepared by, on behalf of, or for denied Documents Made Publicly Available '
the use of any agency responsible for the (d) When entire records or portions which is published monthly. The regulation or supervision of financial thereof are denied and deletions are institutions; or made from parts of the record by records required to be made available uoJn '; Unc. m(al(2) arc included i::
t9; Geological and geophy mi computer, the amount or miormatmn information and data, including maps, deleted will be indicated on the released this listing (e) Records made publicly available concerning wells. portmn of the record, unless providing (b) Nothing in this subpart authordes this indication would harm an interes't under paragraphs (c)(1), and (2) of this section are also available for purchase withholding of information or limitmR pmtected by the exemption (s) under through the National Technical the availability of records to the public which the matter has been denied.
except as specifically provided in this Information Service.
6921 Put>Isety-available records- (f) By November 1,1997. NRC will part, not is this subpart authority to begin making records identified in withhold information from Congrest (al publicly available records of NRC at tmoes destnhed m paragraphs (ci paragraph (c) of this section that were (c) Whenever a request is made that created after November 1,19%.
involves access to agency retotds and (d) of tha section are available through the National Technical available by electronic means. including described in paragraph (a)(7) of this information 5, nit e substriptions to ( omputer tehn ammunic atioas to the section, the NRC may, during only the extent NRC has implemented its timo as that circumstance conti.:ues. thtwe records are available on 4Hs M l l
1 l
J
r i 4
. 46928 Federd Regist:r / Vol. 62, No.172 / Friday, September 5,1997 / Proposed Rules telecommunications capability, unless docket numbers, file designations, and (e) The Freedom of Information Act other information which may help and Pr,vacy Act Officer will promptly the records have been promptly identify the agency records. If a forward a Freedom of Information Act published and copies offered for sale. request made under 5 9.23(b) for an Telecommunications access can be requested agency recorditsis not desumed agency record to the head of the office (s obtained via the Eternet hy accessing in sufficient detail to permit identification, the Freedom of primarily concerned with the records the NRC Home Page on the Internet at:http//www.nregv/. Information Act and Privacy Act Officer requested, as appropriate. The will contact the requester within to responsible office will conduct a search
$ 9.23 Requests for records. working days after receipt of the request for the agency records responsive to the (a)(1) A person may request access to and inform the requester of the request and compile those agency records routinely made available by the additional information or clarification records to be reviewed for initial NRC under $ 9.21 in person or in needed to process the request. disclosure determination and/or writing at the NRC public Document identify those that have already been (3) Upon receipt of a request made Room,2120 L Street, NW., Washington, under paragraph (b) of this section, the made publicly available in the Public DC 20555. NRC will provide written notification to Document Room and Local Public (i) Each record requested must be the requester that indicates the re uest Document Rooms.
described in sufficient detail to enable " d th d g 25 inmamsdoeure mennen.
the Public Document Room to locate the ,h"g',p g"ne' u er'of the C point of record. If the description of the record (a) Time for initial disclosure contact to find out the status of the determination. The NRC will notify a is not sufficient to allow the Public request, and other pertinent matters requester within 20 workmg days of its Document Room staff to identify the . regarding the processing of the request.
record, the Public Document Room will determination. If the NRC cannot act (4)( ) The NRC shall advise a requester uPon the request within this period, the cdvise the requester to select the record that fees will be assessed if . . NRC will provide the re h the from the indexes published under (Ay request involves anticipated reasons for the delay anhuester provide a wit 6 9 21(c)(6). c sts in excess of the minimum projected response date.
(11)In order to obtain copies of records specified in 5 9 39; and (b) Extension of time limit in unusual expeditiously, a person may open an (B) Search and duplication is not eccount at the public Docuinent Room ,
circumstances. In unusual prowded without charge under 5 9.39; circumstances, the NRC may extend the with the private contracting firm that is time limit prescribed in paragraph (a) of responsible for duplicating NRC "' ,l(LThe requester does not specifically this section by not more than 10 records. state that the cost m, volve i is acceptable working days The extension may be (2) A person may also order records or dCcePtable up to a specified hmit, routinely made available by the NRC made by written or telephonic notice to under (9.21 from the Nationaj (ii) The NRC has discretion to the person making the request to Technical information Service,528S discontinue processmg a request mad" explain the reasons for the extension under this paragraph (b) until- and indicate the date on which a Port Royal Road, Springfield. Virginia, (A) A required advance payment has determination is expected to be made.
22161. been received; (b) A person may request agency . Unusual circumstances" is limited to (H1'I he requester has agreed to bear one or more of the following reasons for records by submitting a request the estimated costs; authorized by 5 U.S.C. 552(a)(3) to the Freedom ofInformation Act and Pnvacy (C) A determination has beem made on delahbe (t need to search for and collect Act Officer. Of fice of Chief Information a request for waiver or reduction of fees; the requested records from field Officer, U.S. Nuclear Regulatory or facilities or other establishments that are Cornmission. Washington, DC 20555 (D) The requester meets the separate from the office processing the The request must be in writing and requirements of $ 939 request; (c)If a requested agency record that (2) The need to search for, collect, and clearly state on the envelope and in the has been reasonably described is located appropriately examine a voluminous letter that it is a " Freedom of amount of separate and distinct records Information Act request." The NRC does at a place other than the NRC Public which are demanded in a single request:
not consider a request as received until Ducument Room or NRC headquarters, it has been received and logged in by the NRC rnav. at its discretion, make the or the office of the Freedom of Informa' tion record available for inspection and (3) The need for consultation, which copying at the other location. will be conducted with all practicable Act and Privacy Act Officer id) Eu ept as provided in 9 939- speed. with another agency having a (1) A Freedom ofinformatmn Act request covers only agency reconis that (1)If the record requested under substantial interest in the determination a2e io e i=teow un the dato tl.u Ibdmo parumph (h) of this section is a record c.f the rmquat m ~~.y, two at more ofinformation Act and Privacy Act avadable through the National components of the NRC havmg Officer receives the request. A request Technical Information Service. the NRC substantial subject matter interest does not cover agency records destroyed shall refer the requester to the National therein.
Techmcal Information Service, and (c) Esceptional circumstam es. A or discarded before receipt of a reque'st (2)If the requested record has been requester may be notified in certain or which are created after the date of the exceptional circumstances, when it request. plat ed in the NRC Public Document Room under 4 9 21 the NRC will inform appears that a request cannot be (2) All Freedom ofInformation Act completed within the allowable time,
.equests for copies of agency records the requester that the ret ord is in the Public Document Room and that the and wdl be provided an opportunity to must reasonably describe the agen< y hmit the scope of the request so that it i records sought in sufficient Ail to rerord may be obtained in accordanc e may be pronssed in the time hmit, or l permit the NRC to identd> tn" .equested with the prowdures set forth in to agree to a reasonable alternath e time ;
agency records Where poss.tne. the paragraph (a) of this m tion or. d apphcable is atadabir on hne 'rame for processin( For purposes of !
requester should provide spet ific this parawraph. the term "esceptmnal information regardmg dates. titles. electro m talh I
i i !
l l
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46929 e Fed:ril Regist:r / Vol ti2, No.172 / Friday, September 5,1W / Proposed Rules sought are exe mpt from disclosure and .
circumstances" does not include delays request that clearly demonstrates a disclosure of the records is contrary to that result from the normal predictable compelling need for expedited the public interest and will adversely workload of FOIA requests or a failure processing. For purposes of determining affect the rights of any person, the by the NRC to exercise due diligence in whether to grant expedited processing,Freedom of Information Act and Privacy the term compelling need means- Act Officer will notify the requester of processing the request. A requester's (i) That a failure to obtain requested unwillingness to agree to reasonable records on an expedited basis could the determ: nation in the manner modification of the request or an provided m 5 9.27.
etternative time for processing the reasonably be expected to pose an imminent threat to the life or physical (h) Inmal disclosure determinations request may be considered as factors in on requests for records located in offices determining whether exceptional safety of an individuah or (ii) With respect to a request made by other than offices under the Executive circumstances exist and whether the Director for Operations. For agency a person primarily engaged in rgency exercised due diligence in disseminating information, urgency to records located in the office of a re.panding to the request. inform the public concerning actual or Commissioner or in the Office of the (d) Multipic-Track processing. To Secretary of the Commission, the ensure the most equitable treatment alleged Federal Government activity.
(2) A person requesting expedited Assistant Secretary of the Commission possible of all requesters, the NRC will will make the initial determination to Processing must include a statement process requests on a first in, fhst-out certifying the compelling need given to deny agency records in whole or in part basis, using multiple tracking systems under 5 9.17(a)instead of the Freedom based upon the estimated time it will be true and correct to the best of his or her knowledge and belief. ofInformation Act and Privacy Act trke to process the request, Officer. For agency records located in (1) NRC uses a three-track system. (3) The Freedom of Information Act and Privacy Act Officer will make the the Office of the General Counsel, the (i) The first track is for requests of initial determination whether to grant or General Counsel will nake the initial simple to moderate complexity that are deny a request for expedited processing determination to deny agency records in expected to be completed within 20 and will notify a requester within 10 whole or in part instead of the Freedom working days. calendar days after the request.has been of Information Act and Privacy Act (ii) The second track is for requests Officer For agency records located in received whether expedited processing involving unusual circumstances that the Office of the Inspector General, the are expected to take between 21-30 will he granted.
(f) Disclosure Review. The bead of the Ass stant inspector General for working days to complete (e g. requests Investigations will make the initial involving possible records from two or responsible office shall review agency records located in a scarth under determination to deny agency records in '
three offices and/or various types of whole or in part instead of the Freedom files of moderate volume. of w her b. 5 9.23f b) to determine whether the agency records are exempt from ofInformation Act and Privacy Act some are expected to be exempt) disclosure under 5 9.17(al. If the head of Officer. If the Assistant Secniary of the (iii) The third track is for requests Commission, the General Counsel, or that, because of their unusual volume or the office determines that, although exempt. the disclosure of the agency the Assistant inspector General for other complexity, are expected to taic Investigations determines that the more than 30 working days to complete records will not be contrary to the public interest and will not affect the agency records sought are exempt from (e g. requests involving several cffices, rights of any person, the head of the disclost te and that their disclosure is regional offices, another agency's office .nay authorize disclosure of th" contrar) to the public interest and will records, classified records requiring adversely affect the rights of any person, declassuication review, records from agency records. If the head of the offic e authorizes disclosure of the agency the Assistant Secretary of the businesses that are required to be Commission, the General Counsel, or records, the head of the office will referred to the st.bmitter for their furnish the agency records to the the Assistant inspector General for proprietary review prior to disclosure, Freedom of Information Act and Pnvacy Investigations will furnish that records in large volumes which require Act Officer, who wdl notify the determination to the Freedom of detailed review because of the sensitive requester of the determination in the Information Act and Privacy Act Officer.
nature of the records such as manner provided in 5 9 2 7. who will notify the requester of the ,
investigative records or legal opinions (g) Imtial disclosure determinations determination in the manner provided and recordings of internal dehberations on requests for records located in offices in 5 9.27 under the Executive Director for (i) Records and information originated of ag}ency staff).(2 Upon receipt of requests. NRC will byOperations, the office another Federal agency. If a of the Chief notify requesters of the track in which requested record is located that was the request has been placed for Financial Officer and the office of the Chief Information OfGrer. Except as originated or contains information processing and the estimated time for originated by another Federal provided in paragraph (b) of this completion. Should subsequent u :!m.o d. a a result of the rmi w % rnmant goncv or rieals widi mtormation substannally tinaov die specified in paragraph (f) of this section. subrect matter over which an agency estimated time to process a request. the other than the NRC has exclusive or the head of the responsible office finds requester will be notified telephonically that agency records should be denied in primary responsibility, the NRC will or in writing. A requester may modify whole or in part the head of the office promptly refer the record to that Federal the request to allow it to be processed wdl submit that finding to the Freedom Government agency for disposition or f aster or to reduce the cost of of Information Att and Privacy Act for guidance rtgarding disposition.
processing. Partial responses may be Officer, who will, m consultation with (h if the NRC does not respond to a sent to requesters as documents are the Office of the General Counsel, make request within the 20 working. day obtained by the FOIA office from the penod, or within the extended periods an mdependent determination whether supplying offices. the agency reconis should he denied in described in paragraph (el of this (c) Expedited processing. (1) NRC may section. the requester may treat that whole or m part if the Freedom of placc a person's request at the front of Informatmn Ac t and Privacy Act Offit er delay as a denial of the request and the qu2ue for the appropriate track for deternanrs that the agent y records immediatelv appeal to the Executive that ccquest upon receipt of a wotten m
E t
, e
- 46930 Fed:r:1 Regist:r / Vol. 62. No.172 / Fridt:5. Wpten:tiin y {.; posed Rules
( 9.29 Appeal from mttial detenrnateo . oommisa n, or the Inspector General Director for Operations n provied to fal e requester may appeal r entice af vd mf on the requester that the denial
$ 9.29(a) or sue in a district court at u 9 IN >4ency action and that judicial noted in S 9.29(c). duutsl of fi Nedom of inbrmatmoM me 4 i, available in a district court of 10queMie tccess to agenc3 rcunh ]
j
$ 9.27 Form and content of responens 'leniah if e request fot waivean the Dusd States in the district in reduction ef free se dee.ipi of a rugaoa a hd % requester resides or has a l (a) When the NRC has located a requested agency record and has for mu obte pianus order thie Wuw d place of busiriess,in which determined to disclose the agency sulps within la calendst Ms of de 4: 4cacy records are situated, or in the j am af Columbia.
i l record, the Freedom of Information Act date ofsheNRC's daria! For alieun end Privacy Act Officer will promptly := cords Amed o).m Otb D5 cts idt The Executive Director for furnish the agency record or notify the reportmg tre h Ew um e. Divtu-h Wn. cons, or a Deputy Executive ,
twor, or the Secretary of the l requester where and when the agency Opeaations, the appeal mest be m Commission, or the Inspector General l l record will be available for inspection writmg and addresset to the Eimnive will furnish copies of all appeals and l and copying. The NRC will also advise Director for Operations. U S hudear written determinations on appeals to the Regulatory Commission, Washington.
the requester of any applicable fees Freedom ofInformation Act and Privacy under $ 9.35, The NRC will routinely DC 20555. For agency records denied by an Office Director reporting to the Act Officer.
place copies of non-sensitive agency records disclosed in response to ,
Commission ,the Assistant Secretary of g 9.31 Extension of time for response.
Freedom ofInformation Act requests m the Commission, or the Advisory (a) In unusual circumstances defined the NRC Public Document Room and on Committee Management Officer and for in 5 9.13, the NRC may extend the time microfiche in Local Public Document a denial of a request for a waiver or limits prescribed in S 9.25 or 6 9.29 by Rooms. Records will not be routinely reduction of fees, or denial of a request n t more than to working days. The placed in the NRC Public Document for expedited processing, the appeal extgnsion may be made by written Room and Local Public Document must be in writing and addressed to the n tice to the person making the request Rooms that contain information Secretary of the Commission. For to explam the reasons for the extension l personal to the requester, matters that agency records denied by the Assistant and indicate the date on which a are not likely to be of public interest to inspector General for investigations, the determination is expected to be l l anyone other than the requester; or, that appeal must be in writing and addressed d at contain privileged or propnetary to the inspector General. The appeal tension of the time limits information that should only be should clearly state on the envelope and prescribed in SS 9.25 and 9 29 may not disclosed to the re ester. Appeal from ceed a nombined total of 10 working in the FO!A initial letter Decision.,
that it is ary "Ihe NRC does (b) When the NR denies actess to a days per request, unless a requester has requested agency record or denies a not consider an appeal that is not agreed to an alternative time frame as request for expedited processing or for . marked as mdicated in this paragraph as described in 6 9.25(c).
a waiver or reduction of fees, the receised until it is actually received'by Freedom of Information Act and Privacy the Executive Director for Operations, $ 9.33 Search, review, and special service Act Officer will notify the requester in Secretary of the Commission, or the fees.
writing. The denial will include as inspector General. (a) The NRC charges fees for-Ibl The NRC will make a (1) Search, duplication, and review, ap(propriate--1) The reason for the deniah determination on any appeal made when agency records are requested for (2) A reference to the specific under this section within 20 working commercial use; exemption under the Freedom of days after the receipt of the appeal. (2) Duplication of agency records l Information Act, or other appropriate except an appeal of the denial of a provided in excess of 100 pages when reason, and the Commission's request for expedited processing will be agency records are not sought for determined within 10 working days commercial use and the request is made regulations authorizing the denial; (3) The name and title or position of after receipt of the appeal. hv an educational or noncommercial each person responsible for the denial of (c)(11 If the appeal is denied in whole scientific institution, or a representative or in part. the Executive Director for of the news media; the request, including the head of the (3) Search and duplication of agency office recommending denial of the Operations or a Deputy Director, the Secretary of the Commiss.an, or the records in excess of 100 pages for any record; (4) A statement stating why the Inspector General, as appropriate, will request not described in paragraphs (a) request does not meet the requirements notify the requester of the denial. (1) and (2) of this section:
(4) The direct costs of searching for of 5 9 41 if the request is for a waiser or expir.ining the exemptions relied upon reduction of fees; and and how the exemptions apply to the agency records. The NRC will assess
- e (5) A statement that the denial may be ageno records withheld. fees even when no agency records are appealed within 30 calendar days from (2) If, on appeal, the denial of a located as a result of the search or when request for expedited pmcessing or for agency records that are located as a the date of the denial to the Executive Director for Operations, to the Secretary a waiver or reduction of fees for locating result of the search are not disclosed
of the Commission, or to the Inspector and reproducing agency records is <
upheld in whole or in part, the (5) Computer searches which includes General, as appropriate.
(c)The Freedom ofInformation Act Secretary d * ' r.....mun will notify the cost of operating the Central the person making the request of the Processing Unit for the portion of and Privacy Act Officer will maintain a copy of each letter granting or denying decision to sustain the denial, including operating time that is directly a statement explaining why the request attributable to searching for agency requested agency records, denying a records plus the operator / programmer request for expedited processing, or does not meet the requirements of salaiv apportionable to the search, denying a request for a waiver or O 25(n)(1J and (2) or 8 9.41 (b) The NRC may charge requesters reduction of fees in accordance with the (3) The Executive Director for who request the following services for i NRC Comprehensive Records Operations, or a Deputy Executive Director, or the Secretary of the the direct costs of the service.
l Disposition Schedule. t i
e Federal Regist:r / Vol. 62. No.172 / Friday, September 5, NC Nosed Rules 46931 (1) Certifying that records are true charges for mail-orav Apu dan d ar .4, search. review, and copies; or records are the svm as u ase wt m ; bpte me et a salary rate that is ,
(2) Sending records by special popaph (a)(11 M ; ton, p qu: van ~ s a GG-7/ step 5, plus 16 methods, such as express mail, package m ,. ling or sm pping < > .ses e ant t .. ge benefits; delivery service, courier, and other (4) .i. requester mm spen a e ermt 'ri "+sional/ managerial search, means other than ordinary mail, with the duplic ug ,ervie conL.c tm Mea . .d duplication at a salary rate (3) Producing or converting records to A requeste nay obtain th ' narc ard MS % . .alent to a GG-13/ step 5 formats specified by a requester other address and billing pcf. icy )f the rh4 u- pcent fringe benefits; and than ordinary copying processes that are contractor from the NRC Pub:i: (c) krc ..r executive or Commissioner readily available in NRC. Document Room. eh. miew, and duplication at a (5) Any change in the costs geciDed A, ate that is equivalent to an ES-
$ 9.34 Assessment of Interest and debt L P ! us 16 percent fringe benefits.
c:llection. in this section will become effective immedi tely pending completion of the $ 9.39 Search and duplication provided (a) The NRC will assess interest on the final rulemaking that amends this fee amount billed starting on the 31st without chargte, secti n reflect the new c:iarges. The (a) The NRC will search for agency dry following the day on which the ~
billing was sent in accordance with Commission will post the charges that records requested under S 9.23(b),
will be in effect for the interim period without charges when agency records NRC's regulations set out in S 15.37 of m the Public Document Room. The are not sought for commercial use and this chapter. The rate of interest is prescribed in 31 U.S.C. 3717.
Canmissmn wdI publish a final rule .in
, the records are requested 5y an the Federal Register that includes th educational or noncommercial scientific (b) The NRC will use its debt collection procedures under part 15 of new charges withm 15 working days institution, or a representative of the this chapter for any overdue fees. fr m the beginning of the mtenm news media.
period. (b) The NRC will search for agency 5 9.35 Duplication fees. (b) The NRC will assess the following records requested under % 9 23(b)
(a)(1) Charges for the duplication of charges for copies of records to be without charr s for the first two hours records made available under 5 9.21 at duplit ated by the NRC at locations other of search fc any request not sought for the NRC Public Document Room (PDR), than the NRC Public Document Room commercial use and not covered in 2120 L Street, NW. (l.ower I.evel). hx ated in Washington, DC or at local paranaph (a) of this section ,
Washington, DC., by the duplic atmg Public Document Rooms: (c) The NRC will duplicate agency service contractor are as follows: (1) Sues up to 802 x 14 inc hes mad" records requested under s 9.2][b)
(i) Paper to paper reproduction is on ottke copymg machines- 50 20 per without charge for the first 100 pages of i 50 08 per page standard size (up to and page of copy; and standard paper copies, or the equivalent including 11 x 17 inches reduced) (2) The charge for duplicating records cost of 100 pages of standard paper 1 Pages 11 x 17 inches are 50.15 each. other than those specified in paragraphs copies when providing the requester !
Pages larger than 11 x 17 inches. (a) and (b) of this section is computed copies in microfiche or electronic form j including drawings, are 5150 each. on the basis of NRC's direct costs. such as computer disks,if the requester !
Pages greater than legal size,8% x 14 (c)In compliance with the Federal is not a commercial use requester. )
inches, and smaller than or equal to 11 Ads isory Committee Act, a requester (d) The NRC may not bill any j x 17 inches will be reduced to legal size may purchase copies of transcripts of requester for fees if the cost of collecting l and reproduced for 50.08 per page. testimony in NRC Advisory Committee the fee would be equal to or greater than i unless the order specifically requests proceedings. w hich are transcribed by a the fee itself. l full size reproduction. reportmg firm under contract with the (e) The NRC may aggregate requests in l I
(ii) Microfiche to paper reproduction NRC directly from the reporting firm at determming search and duplication to is 50.08 per page. Aperture card the cost of reproduction as provided for he provided without charge as provided i blowbacks are 5; 00 each (redured size) in the contract with the reporting firm in paragraphs (a) and (b) of this section, j or 55.00 (full size) A requester may also purchase if the NRC finds a requester or group of i (iii) Microfiche or aperture card transt ripts frorn the NRC at the cost of requesters acting in co :ert, have filed duplications are 50.75 each. reproduction as set out in paragraphs (a) multiple requests that actually (iv) Rush processing is offered for and (b) of this section. constitute a single request, and that the standard size paper to paper (d) Copsnghted matenal may not be requests involve clearly related matters. '
reproduction and blowbat ks, excludmg reproduced in vmlation of the copyright standing order documents and pages laws. As such, requesters will be given 6940 Assessment of fees.
reproduced from bound volumes. The the otation to any copyrighted (a)If the request is expected to require c harge is su.n per page do(uments and a copy of the materiol the NRC to assess fees in excess of $25 (v) Facsimile charges are: 50 30 per wdi be placed in the Pubhc Do< ument for search and/or duplication, the NRC page-local calls; $0.50 per page-US Room where it may be viewed by '
will notify the requester that fees will be -
assessed unless the requester has
~
long distance; and 51.50 per page- n questers foreign long distance. 91 The cost for duplicating NRC uidicated in advance his or her (2) Self-service duplicating machmes records located in NRC 1.ncal Public willingness to pay fees as high as are available at the Public Document Document Rooms are established by the estimated y Room for the use of the public. Paper to institutions maintaining the NRC IIx al (b) In the notification, the NRC will a paper copy is 50.08 per page. Microfiche Pubhc Document Room collections. include the estimated cost of search fees to paper is 50.10 per page on the reader and the nature of the searth required ,
printers. 6937 Fees for search and rewew of and estimated cost of duplit ating fees i (3) A requester may submit mail-order agency recoros t)y NRC personnei k ) The NRC will ent ourage .equesters requests for contractor duphtation of Ihe NRC willi harge the following to discuss with the NRC the possibihty NRC records made by wnting to the hourh ratm far sean h and rmiew of of narrowing the scope of the request NRC Public Document Room. The aerni v rm ords bs NRC personnel. w nh the coal of reducing the tost while
I
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2
'46932' Fed;r:1 Regist r / Vol. 62 Nof 172 / Friday, September 5,1997 / Proposed Rules retaining the requester's original (4) Describe the likely impact on the inform them of their appeal rights under
. objective, public's understanding of the subject as S 9.29.
(d)lf the feeis determined to be in compared to the level of public ge eats for a waNer or excess of $250, the NRC will require an understanding of the subject before 3[n n
advance payment. disclosure; (a) Within 20 working days after
. (e) Unless a re . (5) Describe the size and nature of the pay the estimatehuester has agreed public totofees whose or, as provided understanding a mceipt of a request for access to agenc)
"C rds for which the NRC agrees to for in paragraph (d) of this section, the - contribution will be made; waive fees under $ 9.39(a) through (d) or requester has paid an estimated fee in (6) Describe the intended means of 5 9.41(c) the NRC will respond to the excess of $250, the NRC may not begin dissemination to the ge.neral public; to process the request. (7) Indicate if public access to reg ( )est as provided in S 9.25.In making ,
(f)If the NRC receives a new request information will be provided free of and determines that the requester has charge or provided for an access fee or r reduction,of fees, a requester a}
publication fee and provide the information require y .
failed to pay a fee charged within 30 calendar days of receipt of the bill on a (a) Describe any commercial or 4fft r receipt of a request for the
)
previous request, the NRC may refuse to private interest the requester or any wa ver or reduction of fees made in 1 accept the new request for processing other party has in the agency records accordance with 9 41, the NRC will until payment is made of the full sought.
either waive or reduce the fees and
, amount owed on the prior request, plus ,(c) The NRC will waive or reduce fees, notify the requester of the NRC's intent any applicable interest assesse1 as without further specific information to provide the agency records promptly provided in 6 9.34. from the requester if, from information or deny the request and provide a (g) Within to working days of the provided with the request for agency statement to the requester explaining receipt of NRC's notice that fees will be records made under S 9.23(b). it can why the request does not meet the assessed, the requester will provide detennine that disclosure of the
, . . requirements of 5 9.41(b).
advance paymem if required, notify the informattory in the agency records is in (d) As provided in S 9.29. a requester NRC in writing that the requester agrees the pubhc interest because it is likely t app al a denial of a request to to bear the estimated costs, or submit a contribute significantly to public w a ve or reduce fees to the Secretary to l
. request for a waiver or reduction of fees understanding of the operations or the Commission. The appeal must b'e !
pursuant to 5 9.41 activities of the Federal Government submitted within 30 calendar days from I
$ 9.41 Requests for waiver or reduction of the date of the notice.
inte,re,,t of the requeste,r.
(d)in making a determination $ 9.45 Annual report to Congress.
(a)(1) The NRC will collect foes for regarding a request for a waiver or (a) On or before February 1 of mch searching for, reviewing. and reduction of fees, the NRC will consider year, the NRC will submit a report duplicating agency records, except as the following factors: covering the preceding fiscal year to the .
provided in S 9.39, unless a requester (1) How the subject of the requested Attorney General of the United States !
submits a request m wntmg for a waiver agency records concerns the operations which shall include-or reduction of fees. To ensure that there or activities of the Federal Government: (1) The number of determinations will be no delay m the processing of (2) How the disclosure of the made by the NRC to denv requests for Freedom ofInformation Act requests- informatmn is likely to contribute to an records'made to the NRC under this part the request for a waiver or reduction of understanding of rederal Government and the reasons for each determination; fees should be included in the initial operations or as aties: 12) The number of appeals made by Freedom ofInformation Act request (3)If discles.. of the requested persons under 5 9.29, the results of the letter. nformation is melv to contnbute to appeals, and the reason for the action (2) Each request for a waiver or public understandulg: taken on each appeal that results in a reduction of fees must be addressed to talIf disclosure is likely to contnbute denial of information:
the Freedom ofInformation Act and ugmficantiv to pubhc understandmg of (3) A complete list of all statutes that Privacy Act Officer, Office of Chief Federal Gosernment operations or the NRC rehed upon to withhold
' information Officer U S. Nuclear activities; information under subsection (b)(3) of 5 Regulatory Cornmission. Washington. 13) If. and the extent to w hich. the U.S C. 552, a description of whether a DC 20555- requester has a commercial interest that court has upheld the decision of the (b) A person requestmg the NRC to would be furthered bv the disclosure of NRC to withhold information under waive or reduce search, review, or the requested agencv' records; and each such statute, and a concise duplication fees will- g n % g ,n,4,,q,ha W n d*d descripti= cf the : cope cf my ll) Desenbe the purpose for w hich the commercialinterest of the requester is information withheld; requester intends to use the requested suf ficiently large. in comparison with (4) The number of requests for records information; the public interest in disclosure, that pending before the NRC as of September (2) Explain the extent to which the disclosure is pnmanly in the 30 of the preceding year, and the requester will extract and analyze the commercialinterest of the requester median number of days that such
, substantive content of the agency (e) The Freedom of information Act requests had been pending before the record; and Pnvacy Act Officer wdl make an egency as of that date:
-(3) Describe the nature of the specific initial dete'nmnation whether a request (5) The number of requests for records activity or research in which the agency for a waiver or reduction of fees meets receised by the NRC and the number of records will be used and the specific the requi- ents of this section. The requests that the NRC processed:
qualifications the requester possesses to Freedmr ; iformation Act and Privan iti) The median numbm of days taken ut lize information for the intended use Att Officer Mll infonn requesters to prm ess different types of requests:
in such a way that it will contnbute to whenever their request for a waiver or til The total amount of fees collected public understanding, reduction of fres e. demed and will hs the NRC for processing requests-.
t r._
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( '
F:d:rzl Regist:r / Vol. 62. No.172 / Friday, September 5,1997 / Proposed Rules 46933 ,
(8)The number of full time staff of the written comments received in responsa but w. limited to, water supply, power NRC devoted to processing requests to this documen will be avuleh!e fe,r enee m. or sewage treatment.
under the FOIA and the total amount putnic review at the Wrcsus hw ! Inwoding Structure means a dam, expended for processing these requn,ts below during normal t, snem hours WWi'uent, or other structure used to (b) The NRC will make a copy of each Manday through Friday. ce luding amp , A wamt, slurry, or other hqu d report available to the public on the holidays. Each regtester may mcnira ar pro . quid matenal.
NRC homepage on the Internet that can one hee copy of the p oposed :Inp nndment means a water, be accessed at: http\\www.ntc. gov, A arneadment by coutatting OSMy mdc.. ent. slurry, or other hquid or j copy will also be available for public Lexington Field Office. seal Squad holding structure or J
inspection and copying in the NRC William J. Kovacic, Director, Lexington pregsion, either naturally formed or Public Document Room. Field Office, Office of Surface Mining "hf,'i al age means (a) any D1ted at Rockville, Maryland, this 19th day Reclamation and Enforcement,2675 functional impahment of surface lands, of August,1997. Regency Road, Lexington, Kentucky features, structures or facilities: (b) any For the Nuclear Regulatory Commission. 40503, Telephone: (606) 233-2896. physical change that has a significant~
Arnild E. Levin Department of Surface Minin8 adverse impact on the affected land's Arnold E. levm, Acting Chiefinformation Reclamation and Enforcement,2 capability to support any current or Offscer. Iludson llollow Complex, Frankfurt. reasonably foreseeable uses of causes
[FR Doc,97-23612 Filed 9-4-97: 8 A5 aml Kentucky 40601, Telephone: (502) significant loss in production or income; situwa coor 7seo-oi., 564-6940. or (c) any significant change in the FOR FURTHER INFORMATION CONTACT: condition, appearance, or utility of any William J. Kovacic, Director, Lexington structure or facility from its pre-DEPARTMENT OF THE INTERIOR Field Office Telephone:(606) 233- subsidence condition.
2aga, Nancommer.ialBuilding means any Office of Surface Mining Reclamation building, other than an occupied cn3 Enforcement SUPPLEMENTARY INFORM ATION: residential dwelling, that at the time
- 1. Background on the Kentucky subsidence occurs, is used on a regular 30 CFR Part 917 Program or temporary basis as a public building i Of 'ommumty or institutional building.
IKY~215-FOR] On May 18,1982, the Secretary of th" Any buildind used only for commercial. g K ntucky Regulatory Program Interior conditionally approved the agric ultural, mdustrial, retail, or other Kentucky program. Itackground commercial enterprises is excluded AGENCY: Office of Surface Mining information on the Kentucky program. Occupied Residential Dwelling and Reclamation and Enforcement IOSM), inc ludmg the Secretary's findings, the Structures Related Theirto means any Interior, disposition of comments, and the building or other structure, that at the ACTION: Proposed rule; public comment conditions of approtal can be found in time the subsidence occurs,is used period and opportunity for public the May 18,1982 Federal Register (47 either temporarily, occasionally, hearing. FR 21404) Subsequent actions seasonally, or permanently for human concerning the conditions of approval habitation. This term also includes any
SUMMARY
- OSM is announcing receipt of and program amendments can be founct building, structure, or f-cility installed a proposed amendment to the Kentucky at 30 Cyg 91711,917,13,917.15- on, above or below, or a combination regulatory program (heremafter the 917.16, and 917.17. thereof, the land surface if that building.
" Kentucky program") under the Surface structum, or facility is adjunct to or Mining Control and Rnclamation Act of . Descri i ition of the Prop'med
, ment ment used in connection with an occupied 1977 (SMCM). The proposed .
amendment consists of revisirns to the 13y letter dated July 30.1997 Prenously Afinec Arco means land 4 Kentucky regulations pertaining to ( Adnumsttauve Record No KY-14101- that was affected by coal mining subsidence, water replacement, Kentuc ky subnutted a proposed operations conducted prior to August 3 impoundments, definitions, subsidence amendment to its program revising 1977, that has not been reclaimed to ,
control, sedimentation ponds. section 405 of the Kentucky prescribed standards.
hydrology, and permits. The Administrative Regulations (KARI at At section 8.030-Surface Coal amendment is intended to revise th" 8 001,8:030,8 040,16 001,1E0h0, Mining Permits, Kentucky is making the Kentucky program to be consistent with 1&O90,16100.16160,18 001,1H 060. following changes. At subsection 16, the corresponding Federal regulanons. 1H 090,18100. lW160, and la 210. Kentucky is requiring that a permit DATES: Written camment:; mu.t bc Sp afkuu, . K .ukky pny,ono lo appiit anon irienuty and dentibe c ertam received by 4 p.m . lE.D.T }, October 6 make the followmg c hanges. At section alternative water supply information if 1997. If requested. a public hearing on H 001-Definitions (405 KAR Chapter al, the determmation of probable ,
the proposed amendment will be hehl Kentucky is definmg the followig hydrologic consequences results in on September 30,1997. Requests to terms. certain indications. At subsection speak at the hearing must be receised by Commumtv ofin shrutwnal Hm/dmg 32(3)(el. Kentucky is requinng that a 4 p.m., lE.D.T.I. on September 22,1997. means ans struc ture, other than a public determination of probable hydrologic ADDRESSES: Written comments and buildmg or occupied dwelling, which is consequences include a finding on requests to speak at the hearing should used primanly for meetings, gatherings. w hether the proposed surface mming '
bn mailed or hand delivered to Wilham nr functions of local < iuc org.mir.ations act vines may proximately result in
- l. Kovacic, Director, at the address listed or other c ommunny groups; func uans as contammation, diminution, or below. an educ anonal, cultural, histont mterruption of an underground or Copies of the Kentucky program, the rehemus, si mnnfir. c orrm tmnal, mental surface source of water that is used for proposed amendment, a listmg of anv health or phoical hmith care fm ility; or domestic, .u;ric ultural, ind ustrial. or scheduled public hearings, and all is used for publir servn es miluding, other leatimate use within the pernut
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