ML20247C726
| ML20247C726 | |
| Person / Time | |
|---|---|
| Issue date: | 08/08/1989 |
| From: | Norry P NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Huff R, Metcalfe D JUSTICE, DEPT. OF |
| Shared Package | |
| ML20247C716 | List: |
| References | |
| FOIA-89-383 NUDOCS 8909140091 | |
| Download: ML20247C726 (56) | |
Text
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UNITED STATES g.
8 NUCLEAR RESULATORY C0MMISSION j WASHINGTON,0. C. 20556
- p AUG g 1989 l
(,*... f l 1
Mr. Richard L. Huff t Mr. Daniel Metcalfe !
Co-Directors Office of Information and Privacy U.S. Department of Justice Washington, DC 20530
Dear Messrs. Huff and Metcalfe:
This is in response to your memorandum dated May 1,1989, in which you requested a coordinated agency response to your survey regaroing " electronic record" issues. The NRC's responses to your survey questions are provided below.
A. Does the F0IA require agencies to create new computer programs (or modify existing programs) for search purposes, i.e., in order to search for and re'trieve electronic records according to particular specifications of F0IA requesters?
- 1. Regulation or other general statement of policy that addresses the issue, even if only indirectly.
Response A copy of NRC's FOIA regulations published in 10 CFR Pc t 9, as amended, is enclosed. (Enclosure 1) The NRC's definition of " search" found at 10 CFR 9.13 limits search to existing computer programs. The definition states:
"' Search' means all tire spent looking for records, either by manual search or search using existing computer programs, that respond to a request including a page-by-page or line-by-line idenf.ification of responsive infonr.ation within the records."
When the NRC revised its f 31A regulations to implement the provisions of the freedom of Information Reform Act of 1986, the NRC follwed guidn.ce published by the Office of Management and Budget (OMB) which used " existing programing" in its definition of " search", 52 Fed. Reg.
20012-10020, 10017. Prior to publication of ORB 7 s guidance, the NRC also limited search to records obtainable through existing programs, pis-17-38%
G909140091 890908 /
I Messrs. Huff and Metcalfe A14,copy of ishRC's 1989, FOIA manual enclosed. chapter,)NRC-0211 (Enclosure 2 dated Jun Part V, B.2 states:
"For computer searches, fees include the cost of operating the Central Processing Unit for that portion of the operating time that is directly attributable to searching for records and the operator /prograsser salary apportionable to the search." l More detailed informal guidance 1~cr NRC staff is provided in NRC's Freedom NUREG/BR-0124, of Information a copy Act Handbook,(Fnclosure 3) of which is enclosed.
Chapter 2 contains the following guidence:
"The FOIA applies only to records in existence at the time an FOIA request is received by the agency. If the records have already been destroyed, or the record does not yet exist or does not exist in the form requested, there is no obligation to recreate an old record or to create a new record to satisfy an FOIA request. With respect to information contained in a computer system, there is also no obligation under the F01A to write a special program to obtain a printout of the information in a format desired by the requester. On the other hand, there is no prohibition against creating a new record or writing a special program if it can be done more easily than searching for the original records and deleting large amounts of exempt material. For example, the NRC has received requests in the past for records showing the nus6er of persons who have been overexposed at a nuclear facility. While it would be possible to gather the 4dividual reports and delete personal privacy information, such as the person's name and social security account number, it night be easier for the staff to respond by preparing a new record from a computer database summarizing the statistical information."
- 2. Formal determination made in a specific instance that has addressed the issue, directly or indirectly.
Response We have enclosed copies of a broad FOIA request submitted to the NRC, assigned NRC's request tracking number F01A-89-116, that would have involved new programing and NRC's response to the request. (Enclosure 4) In such
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. Messrs.' Huff'and Metcalfe-4 instances, the NRC seeks clarification of the scope of the FOIA request and agreement on a mtually satisfactory -
n response to the request. - With regard to the enclosed request F01A-89-116 NRC staff had a series of telephone conversations with the requester during which she was informed, asong.nther things,: that' the requested lists were not available in hardcopy and could not be created from the subject computer systems, that data on all subjects' referenced'
! in the request are not maintained in the subject computer system, but that. information.is contained in. hardcopy and microfiche records in various locations. . The requester preferred to obtain a." dump".of all available data in the l
subject computer systems, along with a user's guide and data definitions, from which programs to extract data of interest to the requester could be developed.
- 3. The view of the NRC (even if only a preliminary one) as to the most appropriate policy pcsition on the issue.
Response The NRC favors the present limitation restricting search
.to existing programs. The NRC's primary interest regarding any new statutory requirement or policy position on the issue is that any change be based on " reasonableness" considerations. An' appropriate change would be one which' clearly recognizes that the FOIA does not require agencies to exhaust their resources in processing other hinds of records and they should not be required to do so in processing requests for electronic records. Anything less than a reasonableness. standard could make agency FOIA activities unduly burdensome and. unworkable.
- 4. The particular circumstances of the NRC which underlie its view of the issue.
Response The NRC utilizes more than 100 ma.jor electronic records systems and a larger number of smaller systems and databases saintained or accessible by personal computers.
The electronic records systems consist of full text systems, bibliographic and summary systems, scientific or technical systems, statist.ical systems, complex interactive databases, indexing and tracking systems. The software ranges from complex agency-geneiated sof tware to software available on the open market. -The major types used are
. _ _ - . - . _ - - --._w__~ _ . . _ . - _ - - _ - . _ _ -
Messrs. Huff and Metcalfe I IMS agency-developed special application software, database managemer t sof tware for large mainframe computers, scientifie sof tware at the National Institutes of Health, and dBase III, Lotus 1-2-3 and other open market software systems. New statutory requirements for creation of new computer programs or modification of existing programs in order to search for and retrieve electronic records according to particular specifications of FOIA requesters could place tremendous burdens on agencies.
Like other agencies, the NRC has been operating under increasingly severe budgetary constraints. Also, Congress required NRC to obtain 45 percent of NRC's total Fiscal Year 1989 budget through license and inspection fees collected pursuant to 10 CFR Parts 170 and 171 and other provisions of law. The NRC believes that any additional Congressional requirements impacting staff resources should be accompanied by commensurate budgetary increases. While the FOIA program has r.ever been self supporting, deposit to agency funds of fees collected under agency FOIA fee programs rather than to the general treasury would assist agencies in offsetting some FOIA costs and in meeting other Congressional mandates.
- 5. The importance to the NRC that its view of the issue become accepted as a matter of policy and law, including the likely consequences of any contrary outcome.
Response As stated above, the NRC favors the current limitation of restricting search to existing programs. The likely consequences of a contrary outcome are, of course, further decreases in allocations of staff resources to health-and-safety activities related to the agency's mission because of budgetary constraints.
B. Does the FOIA require agencies to create new computer programs (or modify existing programs) for
- processing" purposes, i.e., in order to segregate cisclosable from nondisclosable electronic record portions?
1, Regulation or other general staterent of policy that addresses the issue, even if only indirectly.
$ 4 Messrs. Huff and Metcalfe - Response The NRC's regulations do not address the issue either directly or it.directly. With regard to " processing" records, 1C CFR 9.25 states:
"(a) The head of the responsible office shall review agency records located in a search under 19.23(b) to determine.
whether the agency records are er.empt from disclosure....*
- 2. Formal determination made in a specific instance that has addressed the issue, directly or indirectly.
Response No formal denial determination addressing the issue has been made. Instead, the NRC would seek agreement to respcnd with records available in another format.
- 3. The view of the NRC (even if only a preliminary one) as to the most appropriate policy position on the issue.
Response The NRC prefers that segregation on computerized data be limited to that which could be accomplished easily by existing programs which allow for insertion of selection l criteria.
- 4. The particular circumstances of the NRC which underlie its view of the issue.
Response Of ten an electronic record system can easily print selected fields of information. However, the more complex agency-developed special applications software can require days or months of reprogramming time. Reprogramming to regregate nonexempt portions of electronic records should be considered as outside the scope of " reasonable" segregation req s trements.
- 5. The importance to the NRC that its view of the issue become accepted as a matter of policy and law, including the likely consequences of any contrary outcome.
Response The NRC views minor expenditures which would be billable to the requester and directly reimbursable to the NRC by the requester acceptable. However, major expenditures even when reimbursed could adversely impact staff resources and the agency's ability to conduct its daily program activities.
1
L ,
Messrs. Huff and Me'calfe C. Does the F0IA rGuire agencies to provide requested records in the particular forms (or database formats) specified by requesters?
- 1. Regulation or other general statement of policy that-addresses the issue, even if orly indirectly.
Response The NRC's regulations address the issue indirectly.
Section 9.23sb)(1) of 10 CFR Part 9 states in part:
"A Freedom of Information request covers only agency records that are in existence on the date the Director, Division of Freedom of Information and Publications Services receives the request."
However, informal guidance to NRC staff addreises the issue directly, as noted in the statement from NRC's FOIA Handbook in the response under A.I. above.
- 2. Formal determination made in a specific instance that has addressed the issue, directly or indirectly.
Response When NRC can readily do so, it routirely provides requested records in the particular format specified by requesters. In other instances, the NRC routinely reaches agreements on mutually satisfactory responses to the requests. The NRC. maintains a computerized database system on materials licenses for which NRC receives a large number of FOIA requests for data in different formats. The NRC can readily provide requested data in this system in either electronic or hardcopy formats and accommodates the requesters. Copies of two sample requests one seeking data in an electronic format (F01A-88-612),and one seeking data in hardcopy format (F01A-83-493) are enclosed.
(Enclosure 5)
- 3. The view of the NRC (even if only a preliminary one) as to the most appropriate policy position on the issue.
Response The NRC f avors the current position, noted in your Freedom of Information Case List at page 35.
1 I D89 Messrs. Huff and Metcalfe I
- 4. The particular circumstances of the NRC which underlie its view of the issue.
Response The NRC currently maintains records in a variety of-formats and is pleased to provide records in the requested format when it can readily do so. -!
l S. The importance to the NRC that its view of the issue become accepted as a matter of policy and law, including the likely consequences of any contrary outcome.
Response The NRC supports the current law and policy. A contrary !
statutory provision could impose undue burdens on agencies.
D. Is computer sof tware an " agency record" under the FOIA?
- 1. Regulation or other general statement of policy that addresses the issue, even if only indirectly.
Response The NRC's definitions of " agency record" and " record" found at 10 CFR 9.13 tover computer iustware even though the term " computer software" is not specifically mentioned in the definitions. These definitions at 10 CFR 9.13 state:
"' Agency record' is a record in the possession and control of the NRC that is associated with Government business.
Agency record does not include records such as--
(1) Publicly available books, periodicals, or other publications that are owned or copyrighted by non-Federal sources; (2) Records solely in the possession and control of NRC contractors; (3) Personal records in possession of NRC personnel that have not been circulated, were net required to be created or retained by the NRC, and can be retained or discarded at the author's sole discretion, or records of a personal nature that are not associated with any Goverrmeret business; or
0 7989 Messrs. Huff and Metcalfe (4) Non-substantive information in logs or schedule books of the Chairman or Commissioners, uncirculated except for typing or recording purposes."
"' Record" means any book, paper, map, photograph, brochure, punch card, magnetic tape, paper tape, sound recording, pamphlet slide, motion picture, or other documentary material regardless of form or characteristics. Record does not include an object or article such as a structure, furniture, a tangible exhibit or model, a vehicle, or piece of cquipment."
- 2. Formal determination made in a specific instance that has addressed the issue, directly or indirectly.
Response The NRC has disclosed agency-developed software in response to a F0IA request.
- 3. The view of the NRC (even if only a preliniinary one) as to the most appropriate policy position on the issue.
Respease The iiRC considers computer programs developed by the NRC or its contractors, which are in the agency's possession, as agency records. The NRC views ar, appropriate. policy position as one that would include computer programs developed by the NRC or'its contractors which are in the possession and control of NRC in a definition of agency records but exclude frc:i the definition copyrighted computer'sof tware sold by commercial vendors.
- 4. The particular circumstances of the NRC which underlie its view of the issue.
Response NRC's view that copyrighted computer software should not be considered agency records is due to proprietary considerations. Specifically, the NRC employees utilizing personal computers throughout the NRC have been supplied The with copies of copyrighted commercially sold software.
comercial interests of vendors woula not be served by an l agency providing copies of such software to FOIA requesters for the agency's cost of reproducing the software With and thereby reducing the vendor's potential market.
regard to guidance in FOIA Update, Vol. IV, No. 4, page 4 on copyrighted materials, the NRC has placed copyrighted documents into its Public Document Room in Washington, DC, for inspection.
o , , ,
- Messrs. Iluff and Metcalfe 6 I369
- 5. The importance to the NRC that is. view of the issue becocie accepted as a matter of policy ano law, including the likely consequences of any contrary outcose.
Response The original FOIA and subsequent amendments did not define
" agency records". . The AEC, predecessor of the NRC, successfully defended its position that personal notes are not " agency records" in Porter County Chapter of Isaak Walton League v. AEC, 380 f. Supp. 630 (N.D. Ind.1974).
Also, NRC regulations (See response under D.1) have clarified what records are agency records and what records are specifically excluded from the definition of agency.
records. NRC believes these regulations adequately establish the types of records which are agency d
records".
To inclode copyrighted computer software or broaden the types of programing required to access agency record sof tware would introduce rany complexities into the process of responding to F0IA requests and ir. crease the agency's burden in responding to those requests.
We appreciate the extension of time for these responses granted by Mr. Metcalfe on May 30,1989. If you.have any questions regarding these responses, please telephone Mr. Donnie Grimsley, Director, Division of freedom of Information and Publications Services, at 492-7211.
Sincerely, atricia . Norry, Dir ctor Office of Administration .
Enclosures:
As stated
.kr UNITED STATES CUCLEAR CECULATORY CCMMISSICJ '
i RULES cnd RECULATCN8 mis ie.cNAPTan t. coot or stotRAL neoULATiows-EN aor
- 1 PART "" "' "
- 9 . ao2 proca.,e in m e.ee, er. de.a for records esempt in whole or 18' Productem er Amsteause Sec. s 203 Procedese when sospense to demand I"P'"'
i Scope. is 8*9eimdFristleseestatesinserucessa j 9.1 9.62 Special peocedures. g,, !'
DETERMINATIONS AND APPEALS 8" P'*'*d** # b '4'8 8f an adverse 9.3 Definitions.
uIo* resula*"", 9.65 Access determinations; appeals.
3,,g,,,,rg,,,,,,,,,,,,,,,,,,
No s,er u ,,,,,,,s.
9.66 Determinations authorizing or amended ist U.sc tase ear. m. se Siet i
denying correction of records? st42. n emended let UEC seest Sobrart A-Freedo.a ofInformation Act 8PP'g Subpart A also isseed neder 5 U.S.C i
Regulations 9.67 Statement of disagreement.
i 552. 31 U.S C 9701: Pak L so-57tL 1 5,, 9.68 NRC statements of explanation. Subpart B is also issued ander 5 U S C j s.it Scope of subpert 9.69 Notices of conection or dispute. 552s. Subpart C she isseed under 5 j U.S C 552b.
$ .Moferos.
e tr Agerg =coros riempt from pobt.c DISCLOSURE TO OTHERS OF RECORDS ABOUT INDIVIDUALS I s.t Scope and purpees.
9.80 Disclosun of record to penons (s a ta h a.te .,eg . on of enerrvp' anf***** og p,p) o p detenon of edent6f na dcients. other than abe individual to IM % W UK m o 21 Publicly entleb eards- whom it pertains. concerning the avallebihty to the pubhc
$ ln.t "[dYu5s'ure$;e ermmation 9.81 Notices of subpoenas. of Nuclear Regulatory Commission av Form and content of responses. 9.82 Notices of emergency disclosures. secords for inspection and copying.
us t..put from inmet determmation FEES lb) Sub tert B impleenents the us r.nension of tin. for respoa*** provisions of the Privacy Act of 1974. 5 sas Search.sevien.ord sp*C'at servira g,g$ p**8- U.S C 552a. concerning disclosure and M:FORCEMENT availabihty of certain Nuclear ese Asse
',n,,,ssment of 6eernt and d.tn Regulatory Commissism records e 35 Dupt.unon fees, 9.90 Violetions. anaintained on individuals.
sJ- Fees for search and revie= of
- tan *' EXEW.7TIONS (c) Subpart C impleuseets the e,cneds in h*ltC pesonnel e 3e Semts and duptie.t.on p'n+d 9.95 Specific esemrtnons. h Sunshine provisions Act 5ofU Sthe Gonrasnent C 552b. concernirs in the Subpees C-Covernmesrt in the Sunablae ; annance inuungs w e ao A . n e,f ren. o{n(3,4 e es unts for mener or reituc%on of Act Regulations (d) Subpart D descranes procedures e 43 proceums of segunis for e
- men or 9.100 Scope of subpart gos erning the producties M agency reducten of fees. 9.101 De finitions records. Information. et nestimony in e as Anrint Report to Consens 9.102 Ceneral requirements response to subpwnas et demands of Subpart B-Princy Act Regulations courts or other judicial et quasi. judicial 9.103 Ceners! provisions authorities in State and Tederal 9.50 Scope of subpart. 9.104 Ls . sed meetings proceedings.
9.51 Definitions. 9.105 Coemission procedures PROCEDURES APPLICABLE TO RIQUEST W Penons affected and moths fw reconsideration As used in this part 3Y DdDIYlDUALS FOR INFORMATION.
9.107 Public annouricement of commis. of five members ce a geoeum thereof '
ACCESS OR AMENDMENT OF RttORD$
)RTNTAINED ABOUT THEM 8IO8 ***II"8' sittine es e body. as provided by section f' 9.108 Certification. transcripts. record. 201 oIthe Energy Reogenization Act of PRESENTATION OF REQUESTS ings and minutes 1974 9.52 Types of requests. 9.109 Report to Congress. "Covernment ageng" means any 9.53 Requests; how sad where pre. executive department eifhtary sented, departmert Government corpore tion.
9.54 Verification of identity of individ. Covumn%ntW caporat.wi. or other establishmt na is the evcutive uals maung nqunts. branch of the Goi ernment (incloding the 9.55 Specification of records. Sut9ert 0-Producinom or thee90eors in g,crutive Office of the Presiden4 oc 8*P***** Demandeer 9.56 Accompanying persons.
[ any independent regulatory agency.
'NRC" meens the Meclear Regulatory j NRC FROCEDURES FOR FROCESSING s"a scope orsubpert Commission. established by the Energy REQUESTS e Reorgenlution Act of1974.
9.60 Acknowlet'sment of requests. *
- j,"
4
'd p'C *NRC personne!" means employees.
consultants.and enembers of adsisory Procedures for processing requests eft.cist f- 9.61 hoards. oummittees. and panels of the u um.b., m, au p + [1-3 M
/1 // M 1 L______________-.__ j
t.
y .- .
EI8 M PART 9 e PU8UC RECORDS uested or retained by the NItC. and ces *Represenloflee of the cems toedia*
NRC. members of bwds designated by means any person actively gathering the Commission to pres.de et be retained or discarded at 6e authofe tiem s fer en entity that le o ent:ed and sole discretion. or records of a perwnel
=Jiudicolory proceed ngs. and officere operased to pubtleher at news neture that are not associated with eny or emplo3ees of Coserntnent agencies, so the public. De term " news
- s eene Covernmentbusinees: er includq military pe sonnel autsned to informative that le about current evente diny et she NItC. (4) Non substantive inferssetnen to er that wouldbe ofcuurest interne to logs oc schedule boolts of he Oieletnam
" Working days' mean Mnndd) er Commissioners, ondrculated encept the public.Esemples of news medle theogh Frwiey, earspi'.egel heRidays. for typire or recording purposes, entities include televielse er radio
- Commericolsee requeel" aseene a stations bioedcastlag to he public et g e.S Interpretatiess la and publishese of periodiente(bes request mede sender i9.3alb)far a one et Escept es specincells authorised by P se ht furkre One M in those inonnaea when lhey een the Commiss6on le writins no tre . r profit Interests of he sequester geel#y as .disseminstere af "aiews*) who interpretaties of the treansg of the sn.ke Air penduch evet ble far regulattene in this part by en officer se or h person on whose beheN 6e request is mede- purchne or subcripflees b) stie generd employee ofIlie Comr:!ssion oeer then a writies interpretation by the Cewrel " Direct costs" mean the rependirenre 3 whlic.
that en esency incurs in scorching for -Reviem* c rar.s the preress of Counsel wal be recogr.ised as binding and dupbcating agenc} records.For a o.smining tycords ideof Nd es upon the Commission gnp,,pgy, g , g,,,,gg,g.gg, ,,y,,,,
commercial-use request, d?ect costs g 3.3 Intermetion cet;tetton requ9ements. include the expenditures involved in to deh imine whether they are enempted gg ,pp,,,gg, cords to rupond to lh' from disclosure in whole or in part.
teWem[
regun tinct costs include Sie sala Also. retlew thcludes usmining remrds (e)ne NRC has su$ meted the informaton colle tiiuc requi emente d ** ""NO)" 888'T M'I*' min 8 to deles mine which Freedom of contained in this part to the Omce of work bened on that besic rate of pay Informatica Act esemptions are Managernent and Eudut (OMB) for P"'#"' '"*""***' apphtable. identifying records or approval es required tg the Paperwofk portions the cof to be disclosed and Reduction Act d 19so;44 U.S C 3501 er fn"nj"'e"bmfiu
'8
- i and h mst d opvating ess4 s.r g from the records Ane portons seg ) OstD has apprcn ed the information collecuon req arements
'I"..DbN cs ns[ N Pt m d whis.h are to be withheld.
maung e e py M a secod anenan to Tearch" means all time spent looking
. contained m this part under control sespond to e request mode ender i e 13 for te ords. eiAt by manual seemb or
,p m y Copics may Iak Ib fo m of peper copy. , ,,4 ,g, g (b) ne approved irforir etion
- d'*k g progiams, that responJ to a request R collection requiremer.:s containad in this g ,[','ne ic a h 'r' r le g includir's a pege.by page or line b)ci,ne i g part appear in il 9 29.9 41.9 54 9 55. ; documentelion. among 00iers. n canon m u ncnmahen a ersd taat. e "EducationalinsEtv ice
- encens en *a mit it. the rect,rds.
i Sulpart A-FreedomofIriformation i institution which oper sies e program er ; " Unusual circumstances _ me.n -
- Act Regulations a proseams of echoferty researti (1) De need to search for ud collecs Educatioralinstitutico refers en a she requested res.ords from Geld I'# '# preschool, a public or prnone facihties or other establishroents that h es.bpart presrste prourdures b' elementary or seconda > schoot. en are separate from the ofrece processing mai ing NRC esency records as ai!sbfe to institution of graduate higher edecation t
the request; the pubhc for inspection med copy 4mg on institution of undergraduate higher educetion, an instnution of professional (2) ne need toussch for, coLct, and pursuant to the provis.ons at the appropriately en amine e sofuminous Freedom of information Act [5 U.S C. education, or an institution af war.ational amount of ocparate end. distinct reco de 552) and provides not.ce of procedures education. which ese demanded is a single request for obtaining NRC records otherwise " Noncommercial scienttr.c Institution
- means an institution that is not operated or pubhcly as ailchte. Tha s.t part does not (3)ne needfor coneuttation wh,ch effect the disseminat2cn or d stribution of NRC. originated.or NRC cor.tractos. o..,n a commercial
,,,,,cy,y. is teferted tobesis, in the as the term will be conducted mith all practicable are naled. snf.nsrae: ion to the pubhc de finition of "sommerciel-use request
- speed. with another egeng hesing e and is prated soWy for he purpue d substanueHntunt in the detumineHoa oo in mat on p n o p 1 c1 conductmg ecientific ruearch. the respite of which are ont intended to of the raquest or amo two.or more components of the havtag it.13 Defwtione. Promote any portiediar producs er substantial subjoot metter interees As used in this subpart. industry, therein.
- Ageoc) record"is a re ord in the "Omce", unless otherwise indicated, possession and conw! of the NRCht erwans allomors. boards.peneis and i 4.15 Avanabstraf rocords.
la essociated withCosernment business. advisory comrnit'ees of the NRC. Se NRC wjIl make assilablefoe ,
Agency re:4rd does ret include records " Record" means any book paper. public inspection and copying any such es-. m ep. photograph. brochure, pwnch < a rd. renonably desorbd agency recordin
($ Publicfy avallatJe tr.,c4 s, magnetic tape, paper tape. sound the possuolon andeontrolof the NRC I periodicals, or other pubheafions Ne recording, pamphlet, slide. motion under the provisibntortitio subpet and {
an owned or copyri &Sted by non. upon request:by any peroort Record 6 picture, or other documentary snakrial Federal sourtes: ebet the NRC routinefy makes publiofy regardless of form or diasarieristia (2) Records sok ly in the possession Record does not include en object or avallable are descn~ bed in l 9.21.
and control of NRC contractors procedures and'oonditions neverning (3) persona 1 records in possession of article such as a structure.furnflure. e tangible eshittit or model a Whkle. or requute for recorde are wtTortbin NRC persormei Ntleve not been i 3.73. i circulated.were not stquired to be piece of equipment !
Noveenbar 30, toes 32 l
_ _ _ --_ ___ --.-__- _ l
~ .uw % y - m disclose guidelines for lar.r enforcement infonnafimisincarie:M hrwh i ,
Aeoner reco'de ca**vitedt Piame- ints stig:tions or pt:s2cutions if such
' hgelwnrh
' I t.1 or is contained in cCefra$iarod c> s *"*- disclosure cruld reason 3bly be es'ected piodwets. cad r; cords
!aine F211 wing types of egeng sp risk circumvention of t'ir 1:m or t.,g.pt chent privilege or is cther n ,
( records are esempt from pebalc disclosure under i f ik (1) Records.(ily hkh a*e specifg4!!y (vi) Ceuld reasonably be espes.ted to endanger the life or ph3 sical safst; er any individuah.
escenpt frora disclosure.
I s.21 Putincsy evasatier eect,res. .
(s) Pubildy available records of N authorized under criteria establis.hedby (8) Matters centeined in or rel,te f so activities desen* bed in peregra hs (c ,
en Esecutive order to be Kept seuelin e a amina tion. operating. or condition j end(d) of this section are s!
the interest of nationaldefense er 8ePorts prepared by, on behalf o!. or for g through the Nationa and*(li[wbich are in fact the use of any.agerey responsible fee fc+eign properly dassi policy, fied'gursommt to such the regulation or supervision of- fir:encial , Infor nation Service. Subsc rsecctive onlar: 3'isfitutions; or l= these aniarofiche records are be andanay arailable on ee ordered frocr.
~(2) Fwcords ralsted seh'r to lle 19) Ceo'osra! sad pophpk el Etional Technicallnfan:Risikr-internal purscanel -uM mad srae f ses og "Iorrnation end ds4. hdod."y maps. 5:23 Purt Royal Rond. Springfield the agenc;.: ouncornisy w !)s. 22161. Single copies of NRC public.
(3) Reco'ds spesif.s.P 3 ewiristeg lb) Lthing in thi. sul. pert arc < rians in the N11 REC series.NRC Reputate 8
leom diss.'oeure bs ste .se fer sh4n 5 withhotrr 2 ofinfu:m.: ion or c Mite Cuides. aind Standard Resiew Nns U.S C. 55 'h). proiided that sw.h the aval.hility of records to the p.iblic.
oho 6s ellable from the National statute- escept es specifically provided m this ParL nor is this subpart authority se _Jechnicalleformation Service."'
(i) Ret utres that the metures be withhel>J from ste pub!k in such a $sithhold information hora Congreac.
(b) for the convenience of person, I manner as to tave no dacze:.ur: un the (c) Whuirset a tvquestis mode which who may wish to ir. spec 1 withort ch issue, or invohes aes. css to e=, enc / retords or pur: base copics of a record or a lii) Estebtsbes partkvier i.rlie<:s for described in par,g*eph (a)(2) of t5 is limHed category of records for a fe.. ,
- withholdmg us refers to particclar 4 pes o sestinn. the NRC rr.ny. dring on'y such i publicly available record nf matters to be wish$cid. time as that Orcurns:ance conUnues. v mi tiut.es described in par;, graph (c)
(4)Treds secrets and mr me ru,'or treat the reeds as riot sabject to the Tmancialinfo:metion obreired fum a se'auirements of this subpart when- E this section are aho mode avail pe rson and privileged ur ruse'.dar.svl. g the NRC Public Ducumeni Rriom. Th (3) The investigation or proceed:ng NRC Public Document Room is loca (5) Interagency or intimeen,3 insois es a possible sio'etion of uir9stial at 7120 L Street N%" W.shington.1 meinvandums or letters whh sos.ld *nd 's open between 7.45 a.m. end 4 o not be available by law to a pwi. ether , !=w;and p m on Monday through Trids,v . eu R (2) There is reason to belies e that-
[ than en agenr3i n htigntice m A the 'I li) The su'aject of the investigation ce .I' gal holidays.
- mgency; g procce:dingis nos aware ofits pendener f (ti) Fersonnel and medical f.les.and and ~161The follnwing records of h AC
( a
- similar facs..the disclosure of which *
(ii) Disclosure of:the esistence of th, 881'ut'es are pubisc!) at eilable at il wrruld constitute a dear!y newarranted records cou'd reasonab'y be expected to t<RC Public Ducument Room for riut inusson.of personal pmacy: interfere with enforcement pros.eedmgs. '
(?J Records or infonnance compded inspection and copymgludirig co for law enforcement purposes. but ordy I8 18 5+9498t'0" of **empt infermotioni (1) Fit:al coiriions inc and dissenting opinions as well as to the eatent that the produution of 8"8 8*8'0" of id'nt'f ri"9 de88Hs.
ordsrs of the NRCissued as a resuh suchlaw enforcement records or la) For records required'io be made adjudication of cases-inforrnstion- as ailabio under S U.SC 552(a):2). the 12) St*tements of policy and (i)Could re Sonsbly be capected to NRC shall delete the name with arry ' interpretations which have been intetfere with enforcernent procee&rtgs; identifying details,if the releaseof the *dopted by the NRC and have not te (ei) Would deprive a person of a right name or other identarpng details of. or pubbshed in the rederal Register.
to a f air trial or an imperti.nl relating to. e private party will (3) Nuclear Regu! story Commissir adjudication constitute a clearl) unwarren!*d 'unes and regulations: 3 (iii)Could reasonnbiy b3expected so invasion of personal prh sey. The NRC 14J Nudear Regulatory Commisen L r
constitute an unwarrun ad invasion of shall provide notification that names of Manual and mstructions to NRC personal priveey; parties and certain other identifyiry g personnel that affect en) cr. ember j
[iv)Could rrasonably be expected to details have been removed in order so l disclose theidentity of a cordider tist prevent a clearly unwarranted
- invasion g public:
source. induding a State.1ocal oc of the personst pnvoey of the E ers(5) pection Records made and copying under this- av I
foreign agency or authorney, or stry individuals involved. g ch,pter and the NRC Manual (NRC ,
pris ste institution which famished (b)In respnndirs to a request for Bufletin 320315 describes the NR information on a confidential basis. and. information submitted ur der i 9 23. in pot 4y for Routinely Making NRC l in the case of a record or information which it has been detennined to compile $by a criminaf' law enforcement withhold es empt information..the NRC Reusrds Publicly Avellabl e9thority in the cousse of a criminal shall segre,gste-- as ailable under 5 U.S C 552(s)(2) e. j investigation.or by so agency (1)Information that is esempt frora. that are made publicfy availabic are (
conducting a 1 wful ostiacal' security public disdoscre under i 917;a) from bsted in NUh mile of t.iri l intelligence investigation. informa tion nonesempt infonnatfor.: and Documenta Made PuWcly Avadab!
iumished by a confidentiki source: (2) Tactual inforr$ation from advice, mhich is published monthly.
(v)Would disclosa techniques end opinions. andrecomrnend6tionsis (d) Records snade pubfidy aserle-procedures for law enforcement prededslonel records unless the ender paragrapha (c)(1)(2) and(5) I
)
ins estimations or prosectdions. or m ouls! . this section are siso evadeble for purchase through the Natiorial Tect l
( Inforsnation Service.
November 30. -
9-3
7 v v v_- - - - - -
cdditionallnfirmatiin regarding the responsive 13 the sepsest and coeripue
-gins Ceguests far reeeres. those caency records b be reviewed for
' (5)(1) A pers:n m2y request eccess to ,'equest er meet with appropriate NRCpersonnelin strdir tsender Initial (isclosure determination cl2rify
- the (3)Upoe teceipt ef a requzst m:de il 9.25 and 9.27
/
ljsiNRC eecordsunder l 9 21 in person or In writing the NRC Public Document routinely Room. 21ag made under paragraph avail 2ble (b) of this NRCpbeWyroside written notification section.by the the I '#8 '"" ******"'e setermanen c (a) N h-ad of er responsible africe L'L Street NW Washiristen.DC 2055f to the rey. ester ht indicates b swords located in a request has been received. the name of
""' (i) Each record requested must be the ladividos! arid telephone number to ' hall review eMlb) to determi search under a 923 '
descr4ed in sufficient detall to eneble whethat the agency twistds are exempt contact as find out the atalus of the the Public Document Room to locate the '*988't **d other pertinent matters from disclosure ender 18.tP(a) If the .
record. lf the descripties of the record is h.ead of the omca drtmednes that.
$arding the processing of the request. alth's4 hasempt_ ame da,ms.,,r, o? &
not avificient to allow de Public 14)(ij fhe NRC shall advise a .-
Document Room staffisidentify the mquester_that fees will be assessed if- acenr4 reontds m a natbe niner.r3 to ircoed. the Public Document Room shall IAI A 'equest irav?ves anticipated
~
tre public interent erad mit: not akt th.
costsin carrn of the minimurr. specified echts of an3 p. mar _ the h.ad of the I ,froen the indeses publiebad underedvise the r'equMe~
in i SX and en idelect me; ouitsthe Asr:esurEee of the er m;-hg stoords. If the 5%d of the oke
" g p.rt(e)[s)
IS)Scarch and duplication is not (ii)in or der to obtale copies of records Provided St-ithout ch rge under i 339, o, a.ithorires dN.lanece of the ageocy r"o ds, the trad of the omue sha8 I expeditiously. a person may open an (C)& requester does not specifically account at the Public Document Room fen,sh - the agency pers),s to_the with the private contracting firm that is state that the cost intched is Du et. tor. Divialos of Freedosa d responsible for duplicating NRC records.
acceptalde or aruptable up to a Inforrhation and PubBcations Services (2) A person may also order records specified limit.
- e sh*Il noldy 8he regbester of thg" routinely made avallable by the NRC (ii) N NRC has discretion to als)e mbath.n m the rt.arner prm%.d discontinue pror.cssing for records under i 9 21 from the htional Technical respunaise to a regnest snade under this ! E20 information Service. 5245 port Royal [bj Em pt es prendd :r. p wg..oh Road Sprityfield. Yseginia. 22161, paragraph (b) unti'- r
( A) A required 4 di.mce pa3 ment has (c) of th:s sect.nn.sf.as a nsult o t(e
'esiew specified in pog ,ph f.) of this h (b) A person may request agency e lern rectsed. sesion.4he f.ead eiths responsib'e rdr.orde by submitainst a reques (B)W requester has ag:ced tobear authonied by 5 US C.5'i2p)[31 to the ;= the estimated costs. l be den ed in whole or er. part, the hado Derector. Division of freedom o'y B
[ [C) A determiri.non b s been made E of the mee will egm t that r.. ^rs no information anTPublications ServicesOff.Uf fees:or Aonihtration and Resources ; on a request the C..ector. Division of for meiser Freedom of or tedu E ladormation anJ Publications kryses.
(D) N cequester na ets the rm5 hgn [0 who willen sonsukat'on with "4""'*** 'I I 839- the Ofa.c e of the CeneralCounmehinate The request must be in writing and (c)lf a requested agtncy record that clearly state on the envelope and in the an indepeedert dem smination whe her has leen reasonabl> described is the ager.cy records should be der.!*d in letier ht it is a -Freedom of located at a pl.cc other than the NRC Inform., tion Act request? The NRC does whn.e or in part if the D:redor Dwion Pubhc Docume nt Room or NRC not consider a requesi as received until of Freedom of Indermation and headquarters. the NRC mav et has been received and logged in by Publications Services d<scretion. make the record. atthe itsavailable ford-:e : nines that agency records seaght are eie ::pt the Detertor. Division of Rules and inspection and copying at the other Records. Ofhce of Administration and location, fre.m d sclosure ar4 dnclosu:e of the Resources Manngement. records is contrar) to t'ne public icterest (d)Except as provided in i 9Jgh (t) A Freedom ofinformation reques (1)lf the record requested under end will adverseh affect the rfts of cos ers only opency records 61 are in paragraph (b) of this section is a record "n) Penon. thalDayclor Division.of e Alstenc.c oc. the date the Director, Freedom ofInformation and PuDlle4tions asanable throgh :he National I DiviaOn_pf Freed' o m ofinfonnation and Technicallnform. tion Service. the NRC brdoes sEe'!: not;fy 6 Publications ServicesTreceives .hmil refer the regt. ester to the National requster of the deterrms. tion .n &
the'rehe'si. freguest%es not cover TechnicalInformation Service: and m . net provided as i tr.
E apenew records destroyed or discarded (2)lf the requested record has been (c) Tor agency records h> cnid m h r
befure' receipt o a trquest or which are ofhee of a Commissioner or in the Omre P l aced in the NRC Public Document created after the date of the request. JLoom under i 921. the NRC may inform of the Secretary of h Co ntnission h (2) All Freedum ofInformation Ac, the requester that the record is in the Assistant Secretary of the Con. mission requests for copics of agency records PDR.and that the record may be shall make the inihat dete m:r.arion to '
must ceasonabf3describe the egency deny agency records in whole or in part obtained in siccotd.nce with the records sought in sufficient detail to Procedures set furth in paragraph (a) of under i 9.17(aj instead of the D. rector.
permil the NRC to identify the requested DivisTo. n ol. Yreedom ofInformation and agency records. Where possible. the _,this secteosc I" reqvester should provide specific le)N Director. Division of Freedom ' 8"'I
- N # C' d i
information regarding dates, titles. )f oInforrLiion a~nDutilicTaitins Sqvices the Ceneral Counsel, the Ceneral dociet numbers. file designelions, and sggI promptly gprward a Counsef shall make the initial other information which may help m o in wmadon Act request determination to deny agency recede in identif 3the agency records if a l Fnfema under i 9.23(b) fw an egency whole or in part insseed of the Direcsoc.
record is not 3 rec rd which is o i publicly avariable la Division of Fr edo. of Information and requested described in agencdctent suf detall to permit E the NRC Public Document RoomPubtl. under cations Servkse. E the its identification, the Director D. ivision I 921 to k head cil the omce primar0Y Assistant Secretary of Ibe Commission of Freedom of IUo'rinetiin an'd concerne whh the records requested or the GeneralCoianeel determines that Publications Services, shall Inform the and to k Ceneral Counsel. as the agency records sogbt are esempt app @eMe responsible omce will from dt. closure and that their disclosure j
( requester iv of the deficiency within10 days conduct after for a acerch receipt the agency of the request records is contra to b sc Interest end wiu '
and as t e requesterle submit adversely affect rights of any person, the Assistent Secretary of k g ggg y 3 i
'I PART S O PUBLIC RECCRDS Inf:rmation pnd Publication! kr&f Q (cXt)If the oppeal of the dentalaf he
, sh:ll nit the requester is g :ut for atency records D upheld is l Comminion or the GenerelCxnsel ole or in part the Executive Direcser shall fornish that dete-minelion to the writir.g.ne denial neledes se 5- for Operetions, or a Deputy Execucio Direcsoe. Division of Tree 3um of
( lisforsne_lipa end publications Services E who shaft notify she requester of the 2 determination in the manner provided in appropria te-(1) ne reason for the deniet.
(2) A reference to the specific esemption under the Freedom of E D6r.ctor,or the secret 3 Commisalon shat! notify
&c dealet, specifying--
ofthe requeseer of g og InformetiortAct and the Cornmission's '~~
r detions Qortring 6e Q1olding I (ilne esemptione relied upos.
~
(d)1f a requested record that to located is one of another Goverramentof(3) ha recdid w e ,,,g @@hh I es @ellos 8ppliet 10 the agency ~ re nCF w deals with subject matter otee g, ,ag, ,,g gggg,M,, po,gg,of'k e
eoch person responsible for thie denial 14:and ich on egency other than the N
- of
- wi the request. including the head of the I (W)b nuona for userting he has escleslwa or primary responsibillt office recommending deala! olt recoes *A enemption.
[ the NPC shajjeumptly ncytefe for 6e nce (g).A* statement statingwhy te request h (3)II.ce appeal.the denial of e g to that Cournment, d.6;.nsitaas.or fordoes guinotante meet regarding he requiremeote uset for walvar or reduction oflose of j p 41if the requtetis See a maiver or 8***'i **d *Pf* doc 8ns aseaw I. d'5P585M84(a)De 10 m otsdr's day Pe 80s I8-pocorde le le whole er in past,he re:s;ionse to e reque** af elenCr te ) dsgE reduction of f***; *ad15) A stettment Executive thettwthe for de os.alaansy Opwation e b p.wided in gsarag aphs (aj. (bl a . ed widm 30 dos fra ik receipt D'puty Exoevtive Director sheli nemy of this section me) be exten r e in of the denidlto the taceutise Director the reon making the requut of his unusual cPcumstar ces a s prut - far Operat.ons or to the Secretary of the dec sfon to sustain the dental. incioneg I UI' Corarnission es appropriate, a statement expletning why the
~ (t)The Director. Division of Treedorp of does not meet the requirements of 3.41.
(f) In esteptiorisi cars omster.t es where is does not ap; rat ponib> to Inform'shirie
~~~~ hat! nd'Pubik's tioTs_hrvice's s maintaan a copy of each (3)ne Executive Director for Operetions, or e Deputy Executive e orn;/ete arson on s etyuest wi:h.n the letter granting or denying reques'ed
- ..: veum 20 mo i rg da'i I;m.: a lj Director ortheSecretary of the proQfed en ( 9 31 the D. ettsn.DiiIaIE estrics evcords or deming a redest for g Commission shallinform the requesse w.isel v: seduction of fees in [ that the dentalls a final agency action ofl'acedom of hfonnation and .*urdence w:th the NRC and that judicial review is swallable la a E Publications Scmqu me) 551 an Co.mp cher:sne Reures Despos : son g district court of the United States la Ibe G .pree:nant with :te i. questor fr" .*d. to s.tednle. di8trict h which the te tester residae or specN d est; r.6.cn of tur.c in w h - kn a rincipalplace o sinus,Is est spon the segarst. ne NRC shall - Wc &e agucy records are situated.
confirm the agreernent far an estrnsion or in the District of Columbia.
of time in wrmr.* g a 2s apput tiom an.t v determe.aters I.) A rewester map appeal a notice of [d)he Executive Director for
~
(gll! the NRC dues not sespond to e Operations.or e Deputy Executive request withm the 10 mori mt ds) den elof a T cedum of Info.tra'on Act Director,or the Secretary of the request fe' egenc) iccords or a request Commissi,onJhall furnish copias of as pertoi or wnhir the e xtended penode de>cibed in p. 4 graph (e) of thi6 for w aher or reduct.on of fees cader appeals and written determinatiosi it s subpart s~..m.n 2 days of the date set t.on. tFe reqm ce rr33treat that i of the NRC s denia!. For agenes records apposis to the Director.Ofvision af
[ de's.s as a denis' rey.acet and Freedorn ofinformation and denied b) ar. Ofhee D. rector report 4g to g iramcJ stel3 approl to the Esecuthe Publication Services.
the Eseentwe Directar for Ope-ataas or Di.crfor for Operat.ons es prosi.'ed in -
for e den el of a res.est for a mahee or ~
t 9.09(a) or sue e e detrict rcart as reduction of fees, the appeal nr. :st be in g ,,3, gg,,,,,, ,,g, ,,,,,,,,p ,,,,
_r oted in ! 9M(c) wsitmg and addressed se the Esecube (alin unusual circumstances defned ge ? Form and con *ent ot ra spoases' Daccior for Operutioes.U.5' Nx!ea, in i 913. the NRC rnay estend the eme
!s) When the NRC l.a s located a oE DC Eesclato:y Commwca. Wash eg*oet limits prescribed in i 9 25 or ! 9 29 by req.e>(ed spency record and has 2M TW egency records den ed by ont more than to working days.ne determst d to disclose t'.e egeno I anOffice Director reporeirs to the estension may be made by writtee reiorJ the D:rettor. Division of Freedom a Comrnission. the Arshnt Se:retary of notice to the person maki the regnest the Cor.miss.on.os bi t%e Ads.mc., in nplain me nnons for i e niension of Information and Publications Services $.
~
shIl pnnr,ptly furnish the e Covnittee Managec.tna OL e'. t$e and indicate the date on which a agtery terord er notify the requn ter appeal mest be in wrnog and eGened drierriinetion is expected to be where and when the egene) re:ord will to the Secretary of the Corr. mission ne dhpatched a
be available for inspection and copyinf appeal should clear y gui, on th, (b) An eatension of the time times The NPC will norma!1y place cep.es of ens elope end in the letter theI st is en procribed in iI 9 25 and 929 rney eut Appeal from initial mtA Dec.aiost- eu eed e combined total or10 wndirig Freedam oflofo rr.shon Act requests in ne NRC does not consider an appea; d*18 Per request.
i egenc3 rerords disc.losed in rerporse the NRC Pubhc Document Room and, for agency records rtisting to a spec:fic that is not merled as indicated m this pargraph n received untilit is scrusify rece ved by the Execvus-e Director for
$"' *h* to
i"' * "# 'PI*' **"# #
noticar power facihty. in the loca (a) e N C chargn feniw-Pub:ec Docure.ent Room establ4hed forOperations or Secretary of the that f cihty.ne NRC she!! elso edelse Commist ion. It) Searth duplicatiort. and review.
the requester of arry apphcable fees (b)ne NRC sheD arata drie mansnoe when agency records are requnted for under i 9 35 on any .ppeal made imder this sect on ##**"CI*I"'*
with n 20 workmg days after the receips (b) When the NRC denies acLen to a requested egenc3 record or denic s a og ge oppeag, requnt for a waiver or reductio . of fees, the Director.Drision oTTrc~cEm of
(.
9-5 March 31, tsee 1
v- m _ - _ _ ~ _
(B) Photoge_phic process-$7 a0 per prowedings. thich cre tr:nscribed by e (2) Duplic: tiro of agency rec *rds reporting firm toder contract with the procid:d in e$ cess of 100 pages when agere foot for hrge documents or engineering dawings (tsnd:m sise NRC dir:ct4 fra the reporting firm et cgency records are not sought for che cent of reproduction es pr vided for cornmercial use and the request b m:de cac edira 24 inch s in width rp b a snaximum size of 42 inches in length) fuB in the contract with the reporting hrm. A by an educational or noncommercial requester may also purc.hase transcripts scientific instituttort or a representathe size only.
(ii) Sin cents per pege for microform la fruen the NRC at L4t cost of reproductso.i I of the news media; '
paper copy. escept for engineering as set out in pur graphs (e) and [b] of (3) Search and duplication dagency this sectioh.
records in excess of 100 pages foe any drawings and any other records larger than 17 a 11 inches for which the charge (d) Copyrighted material me not be request not described in paragraphs (a) is $1.25 per square foot or $3 00 for a reproduced in violation of the copyright (1)and(2)of th;s sectioec reduced size print (18 a 24 inches) go.ra.
(4)ne direct costs of searching for (lii) One dollar per mocrofiche to fe) Charges for the duplication of NRC eyency records. The NRC win assess ,
snicrofecho -
records located in NRC Lot.al Pubhc fees even when no egency records an liv) One doller per spe-tua card to Ducument Rooms are those costs that located as a result of tme searmb or when aperture card. the restitutions maintaining the NRC egency records that are located as a (2)Self service. coin-operated. Local Public Document Room collections result of the search are not disclosed. duplicating machines are scailable at establish.
and the PDR for the use of the public. Paper 5 Co uter searches whicl. include to p*Per is sa10 per page. Microforrn to I S 3F F*** 'or search and review et ti sti the Central papel si $310 per page on the reeder
- 9'acF records by 94RC pers%nal.
PNe I g tfn i fo?that portion of
- Re NRC shall charge the foltowing time that is dircedy printersi (3) A requester may tubniit analborder hourly rates for search and reelew of s buta for agency ohretinkte to searching / progammer records plus the operator requests for wntractor duplication of agency records by NRC personnel; NRC records made by writing io the (s) Clerical search, review and sala ' apportionable to the search. ^
e 'duphcation at a s lary rate that is NRC Pubhc Document Room The NRC'end cliurge rec;ucstcr7 charges for mall. order duplic@atio equicalent , of to a C 7. Step 5 plus 16 who reyucst the fullowing scruces fu, percent fringe bene its:
the direct costs of the struce.
rec rdsthe same as those set out in Paragraph (alts ) d dus sect.on. plus ; (b) Profes sional/mana gerial search.
(1) Cert hing that reonrds arr true ,
- ressew.and duplication at a salary rate
- a
- l m.nhng or shipping durges.
E wp,,N,r,n, ding re. cords by spatial ; (4) A requestre rns,s open en au punt ,' that es eqm slent to e GG-tg.SiAp g~
(2) with thr dupluotmg scruce t.onts.. tor . plus 16 pc' cent frmge benefits and methods. surh bs empress anail p,dage a
- A nqucSter may t,hhun the naine and ; is) N ruor es ecutn e or Cor.irnhsioner g" delivrr3 kers sce, etc.
- ddress and bdhng puh%. of the .ach tv sirm. and duphv.t.on at a g 9.34 Anessment of interest and obt i untrertur from the NRC pubhc
- 4.'.s ratt that is e gun alent in an l'8e 3 cotiect on. Durument Room. plus 1s, percent funge honehts (e) ne NRC shall asse ss intere (5; Any changt; m the wats specif.ed : 9 39 Search and dwphcahon prov.ded the fee emount billed startings,on gt on sectuen aillherorne effectisc m this ,as,% ,%,g doy folh., mg the da3 on which the .newdiatch pemimg complet nn of the le) ne NRC shull starr.h for agency bilhng m es sent in accord nce m oth Commissions rulemakm: that .m. nds ed rds req scsted under i 9 23(b).
NRC s regulations $rt out in i 1h 37 of this serhun to reflect the new a h., pes
= 44ut daves when agency tecords this ch.pter Internt is at the rete The Commnsion shall post the e h..rge, that will be in s,ficit for ihr ar.terim .re est suurht for commercial ne and prescribed m 21 U.SC 3717- I e m mds are requested b3 an perned in the Pubhc Docume nt Rsw m du abonal m noncomrnerciel scientific (b) The NRC wdl use its debt The Comrmuion shall completc the wilection procedures under P.rt 15 of uwubon or a representaine of the this chapter for an3 oscrdue Ircs rulemaking neccuar3 to re ficci the nem
" " 8 " ' " "
f )T1 e ikC shall search for egency f 9 35 puphcat.on tres. $n h n .p setntds requested under i 9 :3(b) on Ib) ne NRC shall aus ss the " "' T" " 'b''" "
h rew(a)(1) Ch.rges rds made as ail.ble foret theIdduplaation under i 9.21 dg s for wWs of d records "' # "9 ""' "' '"I "
the NRC Pubhr Durument Room 2120 L to b6 dupbcated by the NRC eI locatsun6 '**#* "*# " "d "*' '#"#d i" E Street. NW W,shmpton. DC 2n155 bs' other than the NRC Pubbr Due ument U the duphrating scre;ce contr ctor are as R om intated in Washington DC or et E*'"$gc) C s all u ca e agency
,fullows. hn d Pubhc Due.ument Rooms- setords requested under i 8 23(b)
(1) S:4es up to 164 514 inches an.d' milhout t.harge for the first 100 pages of (i) Sia u nts per page for p*Per coPF on din.e copying machines-M 20 per sverdard paper copies. or equhalent to paper cup), escept for engineering page of c.opy: and swpes in microfiche, computer, disks.
, dr wings and any other recerds 1.rgcr (2)The charge for duplic ting records eso if the requester is not a commercial.
k than 1? a 11 inches for which the uda.r th.n those specified in paragraphs use requetter.
% chargn s ary as follaa dependmg on (a) und ib)is computed on the basis of (J) ne NRC may not bill any E the reproduction process that is uses! NRC's direct unts sequester for fees if the cost of collecting g ( A) Xerographic piantss-S150 per M N : ornphanu aith ihr l'ederal the fee would f.e equel to or greater than square fut t for large documents or Achisors Cornrrittee Art. a requener the fee uself.
engineering drawings (random sise up to mes purihase upies of transcripts of Ic)ne NRC ma3 aggregate requests 24 mohes in width end with sars.bic tesiimun3 in NRC Adusory Cornmittee in detrrrnin+g searth and dupbcation to length) redus ed or full size.
November 30,1984 96
3)tf disclosure of the requested Le pr:vided withost charge es provided g information o'r.ce of a anjlM. administrationinl.1,maison endllcatjonsisService.
ilheiy a coni,ibut, o in ptragraphs(s)andlb)cf thb section. 5 Resourc s M:nagement.U.S. Nucle:r public understanding if the NRC finds a trquester has filed
- - nultiple requests for only portions of cn E Regul: tory Commisslin. W:shington. (1)If disclosure is liL;ly i3 contnbute E DC205SL sigmficantly to public understanAng of ,
k agency record or sisiiler agency records for the purpose of esoiding charges.
8- Government operations or activities;
- - ($)If. and the eatent to which. the g 3.ao Assessenantsitees. (b) A person requesting the NRC to requester has a commercial interest the (a)If the requestis expected to walve or reduce search. review, or would be furthered by the disclosure of require the NRC to essess fees in excess duplication fees shall: the requested agency records; and >
of $2s for seerch sad /sr duplication,the (1) Describe the purpose for which the (6)If the magnitude of the identified i NRC shall notify &e requester that fees requester intends to use the requested commerciallaterest of the requester is will be assessed saless the requester inforsnatiore sufficiently large. En compa rison with (2) Explain the extent to which the the public interest in disclosure that has indicated in adrance his or her willir,gness to pay fees as high ae requestet will estract and analyte the disclosure is prismar0y in the commerci.
subetantire content of the agency interest of the requester.
estimated. record, (b) ln the notifiestion, the NRC shall h)If h wrh request for i waiser p) Describe the nature of the specific or reduction of fees does not meet the include the estimated cost of search fees octMty or research in which the agency and the nature ofIbe search required requirements ofIbis section the NRC and estimated cost of duplicating fees. receeds wiD be used enj! the specific willinform the requester that the
- (c) The NRC wiB encourage requesters qualifications the requester possesses to request for waiver or reduction of fees I to discuss with the NRC the possibility utilize information for the intended use being denied and act forth the appeal of narrowing the scope of the request in such a way that it will contribute to rights under i 9.29 to the requester, with the goal of reducir!g the cost while pubhc understanding: .
(4) Describe the likely isnpact on the { t.43 Psocessing of sequests for a wake retainirig the. requester's original or reduction of fees.
e public's understanding of the subject as objective. compared to the lesel of understanding (a)Within 10 working day s after (d)lf the fee is determined to be in of the subject existing prior to, receipt of a request for eccess to agenc:
excess of $250.the NRC shall require an disclosure; records for which the NRC agrees to a ds a nce payment.
[s) Descr$e the site and nature of the waive fees undet 19 39(a) through (d) c
[e) Unless a regeester has agreed to o pay the estimated fees or, as provided
- , public to hose understanding a
.
- l 0 41(c). the NRC shall respond to the I for in paragraph (dj of this section, the
- contribution will be made
- . O request as provided in I 9 25.
I requester hgs paid an estimated fee in (6) Describe the intended means of ; {y),!n making a request for a waiver r
} dissemination to the general public:
k k reduction of fees,a requeller rS ?ll
[ isccss of 5'2.iu tric NRC rnay not br gin 2 (7)Indicetc if public access to 2 provide the information requi.ed by
- to process the request. information w dl be prouded free of g g.qyy.
/ (f)If the NRC sewives a new request ond determines that the requester has darge or provided Ior en occess fee or le ! Af ter recup' of a tiquest for the
\ publication fee, and waner or reducteur of fees rnade in feded te pay a fce r. harped within 30 (8) Describe an) comnierciel or ,, e nrdanc e with ! 9 41. the NRC shall days of receipt of the bill on a previous request. the NRC s ay not accept the prim ate interest the requester or an) rither w mise or redace the firs and new request for processing until .itter part) has in the agency records nouty the requever o' the WC3 anun*
payrnent of the fmE amount owed on the sought- en 3 rump:!y proside tiic q. ncs trened.
prior request.plos any appbcable (c) The NRC nill waive or reduce fees. or deny the trquest end prende a interest =>sessed as provided in 5 0M. without further specific information state ment to the re queste, esp 1=ining .
is snede from the requester if. from information wby the request dr.cs not meet the (g) within to marking deys of ee provided with the request for agency requirements of f 9 41[b!
receipt of NkC~s notice that fees w dl be rei.ords enade under i 9 23(b). it can (d) As prosided in ! 9 29. a requester
.ss, ssed. the requester shall provide determine that disclosure of the may appeal a denial of a request to edvante ps>mentif required, notify the information in the agency records is in w aiis e or redoce fees within 30 den in NRC in writing that the requester agrees the public interest because it is lit ety to the Esecutar D rector for Operations to bear the estimated costs or submit a contribute significantly to public i e a5 Aruivat eessort to Cong ess.
(
request for a waiver or reduction of fees understanding of the operations or ectivities of the Cosemment and is not (a)On or before h1 arch 1 of each p6rsuant to i 9 41. a slendar year, the Chairinan of the NR(
primarily in the commercialinterest of g 3.41 Requests lot maner or reduction of wdl submit a report coveritty the ,
'" preceding calendar year to the Speaker (
(d)In making, a determination of the House of Representatives and l (a)(1)The NRC shall collect fees for regarding a requed for a waiver or searching for.re iewing. and du licating Picsident of the Senate for referral to ;
reduction of fees. the NRC shall the *PP'opriate committees cf the agency records.escept as pron cd in consider the following factors: {
l 9 39. unless a requester submits a Confess the repor includes-i
( ) How de subkct of the requested I ra Hor.s (1)The number of determinations re) vest in wn, ting for a w alver orseatenuction ds of n ms he
, g, fees.To assure that theremede by the NRC to den.s' requests for records made to the NRC under this pae wdl be no delay in the processing of Freedom ofInformation Act requests. (2) How the discidsure of the end the reasons for each driermin tion I
. formative is likely to contribute to an
'n (2)The number of appeals m de by I the request for a waiter or reduction of understanding of Gosemment g
, ,,,3,g ,,,, g fees should be included in the initial operations or actisities.- '
Freedom ofInformation Act request A ad ik rem im N min
_ letter.
( } duction re (2) Each request for a waiver or of fees must be addressed to the Director. Dleision of Freedom of b
97 January 31.1989 l
l 1
E____________
v- u_m v - _- - - - - -
itn on cach eppest that t:sults l3 0 sienial ofinformation (3) The names and tities cr positions of each terson responsib!e for the deni:1 of re corts rmucsted under this section.
and the number ofinstences of p rtic_ipation for eock (4) Tr.e results of each proceeding cond<4d pursuant so 5 U.S C.
nzta)[ellflincludirq e report of.the disciplinary action iden against the officer or employee who was primarily hholding
. j responsible for improperly wit g records.er en explanation of *hy
, discipienery action was not taken:
e, 15) A copy of every eule the NRC 2 published effecting this part:
- 14) A copy of the fee schedule and the total ameset of fees cotkcled by the NRC for making records available under this part; and (7) Any other information that indicates efforts to edminister fully the provisions of 5 U.S C 552 (b)The NRC shat: make a copy of coch report submitted to the Congress under paragroph (a!of this section evailable for pubhc.r.s;ection and copying in the NRC Pubhc Document
, Room.
I
'I 1
l l l
. i l gg November 30,1933 t
- - - _ _ . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ l
i 1
Foren NRC 489 -
V" '
. i .:6 U. 5. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRAN5MITTAL NOTICE ~
f, CHAPTER NRC-0211 FREEDOM OF INFORMATION ACT
.h SUPERSEDED: - TRAN5MITTE0: _,
j Number, Date ' Date 7 - (Number 1X TN 0200-52 Chapter NRC-0211 1/21/88 Chapter NRC-0211 6/14/89 YaSt ._
ta8e Appendix NRC-0211 1/21/88 Appendia NRC-0211 6/14/89 REMARKS:
This chapter and appendix are revised to:
- 1. authorize the Chairman to act on requests for documents generated by former Commissioners and their staf fs.
- 2. incorporate modifications to the Commission's Internal Procedures, resulting from clarification of the opera-tional responsibility of the Chairman.
- 3. add to the responsibilities of the Secretary for the Commission in the FOIA request procedure; and designate the Assistant Secretary as the denying official for all documents submitted to the Commission.
- 4. incl *2de definitions of record categories, and a chart of the process for handling POIA requests (Appendix 0211, Part I).
,. 5. correct all organizational references to reflect the recent agency reorganization.
I poiA-l1 36.3 R/i (&
-- r v . vy 3, . ..
z a~
_ J %l 4 ' C m eur s , r 'Niw y h .~
NU.S.N NUCLEAR' REGULATORY COMMISSION '
NRC MANUAL
, s es 3ntaa r4 v> d s d w aaicelemoa edr 4 vuJ9mc ed et '
e Nb A .a Volusard 0000 t General Administration m **3 'N x # 4
- q Part brie 0200a Administrative' a ultProbeduresCarWServices*1mmo3 10 2nemsgsnsM es11 y10tivbAADM CHAPTER 0211 iFREEDOM"_05LINF6RiilATidWA' C f *M M eb,cos, 3srusdw notreimmoD ed to y,dem2 indefraA sd stivDA .c 0211+0te COVERAGES S S s '3 24*' *
- Y o M 1' " * * #*
y-w g e- , 1 ni 5 '
c- 1m This , chapter and appendix define? the objectives, responsibilities' require- ,
ments, and procedures established by the Nuclear Regulatory Commission (NRC) to implement' the provisions ofxthe Freedom ~of information Act (FOlA)
(5 U.S.Cr 552). Chapter NRC-0204 covers provisions of the Privacy Act of 1974. This chapter also does' not cover information requested in the course of Commission adjudicatory proceedings under Subpart G of 10 CFR Part 2, nor does it cover records under the records disposal system.
0211-0240BJECTIVES s' '
-'~
021 To define responsibilities and authorities for the review and
( processing tof FOIA> initial requests and FOIA appeals in .a timely m'anner con-sistent with the requirements of the FOI A and Subpart 4 of 10 CFR Part 9.
022 To inform the NRC staff regarding the types of records which are exempt from disclosure or which can' be released to the public.
0211-03 RESPONSIBILITIES AND AUTHORITIES
- s 031 ,The Chairman:
Advises 'the Assistant" Secretary of the Commission, after consultation with the Office of the General Counsel (OGC), on initial decisions whether to disclose Commission records ** or former NRC Commissioners' records (including members of their personal staff) subject to FOlA requests. Records determined by OGC
, to be legally withholdable require ' Commission approval prior to discretionary release.- ~' '
. 032 The Commission:
- a. Approves substantive changes to NRC rules and regulations, Subpart A of 10 CFR Part 9, established to implement the provisions of the FOIA.
- Special provisions to this manual chapter regarding the Office of Inspector General will be added at a later date.
- The term Commission records (used here and elsewhere) is defined in the
" categories of records" listing which appears in Part i of NRC Appendix 0211.
Approved: June 14,1989
N R C-0211-033 FREEDOM OF INFORMATION ACT V
- b. Advises the Assistant Secretary of the Commission on, initial i decisions whether to' disclose, as a matter of discretion, Commission records poterpned;)y(09Q,$oAejega.lly_withholdable.
J AUHAM MM .- .
- c. ' Advises' the Secretary of tho' Commission whether' to grant, as a ,
matter of discretion, appeals nff1RJJfillM A decieians c off boardsp g' panels, or oYicapyreperyggeMyq tp/iW3esf,omanssionya and .the
. Advisory Committee Management Officer.
~~
. 033 The Ghelrman,and Other C1--2::E116rfrSO $13T9AM
- a. Advise the Assistant Secretary of the Commission whether' records which were generated by their office, or whichharerpossessed f by' their office but not located in the official files of the Secretary
% p. of ,the , Commission,3 should ;be .-disclosed;in, whole or in, part.wt m r-w mav # u>
- a b m u ca " m mo c ^" T*'
r-
- b. Advise the Secretary, of.the. Commission,, after. consultation.with OGC, whetherJto disclose , records, in whole or -in part, on appeals from initial decisions denying documents: described in a. above. : >
i- c 30 a m w.y, -. c, u n. o 034 ._The Executive Director for Operations: - -
- a. In accordance with delegated authority, issues rules and regulath.%
to amend Subpart A of 10 CFR Part 9.
~ v- . .2 .a ;. c . -
- b. Makesh, final determination-onan ppeals from initial decisions of the !
Director,1 Division - of. Freedom of Information and Publication Services ' (DFIPS), Office of Administration (ADM), and by Office Directors reporting to the Executive Director for Operations, to
- withhold records in whole or in part.
- c. Makes final determination on appeal from initial decision of the Director, DFIPS, ADM, to deny a request to waive or reduce fees.
035 The Deputy Executive Director for Material Safety, Safebuards and Operations Support:
- a. Makes final determination. on appeals from initial decisions of the Director, Division of Freedom of Information and Publication Services (DFIPS), Office of Administration .(ADM), and by Office Directors reporting to the Executive Director for Operations, to withhold records in whole or in part.
- b. Makes final determination on appeal from initial ' decision of the Director, DFIPS, ADM, to deny a request to waive or reduce fees.
- c. Ensuresi that a program for the administration of the FOIA is effectively carried out within the NRC.
036 The Director, Office of Administration:
1
- a. Ensures that a program for the. administration of the FOIA is effectively carried out within the NRC.
l' Approved: June 14,1989
i l
l.
FREEDOM OF INFORMATION ACT NRC-0211-037
- b. . Recommends appropriate amendments to Subpart A of 10 CFR Part 9 to implement FOIA within NRC. --
.s w .~ .. '>a -
e r:we x s 037 The Director, Division of Freedom of Information and Publications
. ,6n u S4ervicoseOffice ofsAdministration: imawr%oc. mm murro .c l
.nce e w g;e me,q e u asdsfy ns tih Am st
- a. Administers the FOIA program for the NRC, and is responsible for I
. cdu.n exercising othenflunctionsi delegated,by;4SubpartFA of b10 CFR Part' 9.
EG sweinIE6A lo18iCaeEIIr53 Ell &M b66
~~~~~~
- b. Makes ari 16dependenr~dsti6 sin-~atI6K~ts'~1hitliff9~~ deny access to n$na casNtord8 8faOfficossexceptatheAOfficej ofpGeneralaCounsel}AOffice of the Secretary, and,the: Offices of the4Commissionersos:n ns l
l , c. . Makes determination on initial granting or denial of, a? request to
, waive or reduce fees for search, review, and duplication;: ,,
- d. Advises and counsels requesters on the public availability of agency records and procedures to be followed to obtain an agency decision on the specific records they are seeking.
- e. Receives written requests for records under the FOlA and ensures action assignments are made to those NRC staff and program offices responsible for records subject to the request.
- f. Interprets the scope of FOI A requests and consults, as necessary, with the senior management FOlA officials to clarify or limit the scope of FOI A requests.
- g. Ensures that NRC staff and program offices are trained on the l requirements of the FOIA, applicable court decisions, and NRC policies and procedures.
- h. Assists program and staff offices in the review of records for exempt information pursuant to 10 CFR 9.17.
- i. Responds to all initial requests for records made under the FOIA.
- j. Ensures that copies of all appropriate records which are being made available in response to FOI A requests are transmitted to the NRC Public Document Room (PDR), and applicable Local Public Document Rooms (LPDR).
- k. Consults with other Federal agencies with respect to the referral or disposition of other agency records or information found in NRC files and subject to a FOlA request.
- 1. Ensures the maintenance of appropriate FOIA files and copies of all records denied at the initial request and appeal stage.
- m. Ensures the preparation of an annual report for submission to the Congress on the administration of the FOIA.
i Approved: June 14,1989
NRC-0211-038" FREEDOM OF INFORMATION ACT s
I
- n. Prepares rules ~ and notices for publication in the Federal Register.
r -. ..
- o. Co' ordinates processing of appeals of initial denials.
encenaoM onc nao ..mp,: o m e 'n ro m via 4, ems,iG r i MO p.
~
Consults with comrdrijal ~ fi'rmsida~rdidd2roo6bBsmuested under^- .
the FOIA which are claimed to be proprietary information.
W snanoqeu e s% Jn5. w mo,po,q AiO:i ar13 eis3wumbA J
.C 038 4 Tht Chief, fot A/LPDR. Branch 20DivlelentetLFreeifoerofi1#Wonnation .
and Publications Services, Office of Administration: ,
j of aes s .ynso yann3 .ej noowmneyyp freunaqsbor ne ee4LM .d' To teftiOAcknowledges> receipt of)FOlA2=Meoand;notifiet Peguesters when an extentlemof proceIssins timatisTM&cena'ry9 mc3e1Mc s'11 o- b.- Interprets the scopes of FOIACroquests and' cons 0lts, :as'n'ecessary,.
. with the Office FOIA Coordinator, staff, and requesters to clarify or limit the scopes of FOIA requests.
g c w .~ s asc -
a
- c. Makes FOlA request action assignments to those NRC staff and program offices responsible for records subject to FOIA requests,
- d. Determines fees to be charged and notifies requesters of those fees.
- e. Assists program and staff offices in the review of records for exempt information pursuant to 10 CFR 9.17, and recommends to the Director, DFIPS, records which should be denied.
i
- f. Supervises preparation of responses to requests under the Fol A in accordance with statutes, regulations, and agency policies.
- g. Provides advice, guidance, assistance, and training to NRC staff and program offices on the requirements, of the FOlA, applicable court decisions, and NRC policies and procedures.
- h. Assists in consultation with other Federal agencies with respect to the referral or disposition of other agency , records or information found in NRC files which are subject to FOIA requests.
I. Ensures transmittal to the NRC PDR ano applicable LPDR copies of appropriate records which are being made available in response to FOIA requests.
J. Supervises maintenance of appropriate FOIA files and copies of records denied at the initir8 request and appeal stage.
- k. Supervises the preparation of an annual report for submission to the Congress on the administration of the FOl A, and other required reports.
- l. Recommends and reviews rules and notices for publication in the Federal Register.
- m. Coordinates processing of appeals of initial denials.
Approved: June 14,1989
FREEDOM OF INFORMATION ACT N RC-0211-039 e
y
- n. Advises. and counsels requesterc. on the public availability of agency records and the procedures to be followed to obtain an agency deci'sion on the specific records they are seeking. "+
'"03h blNe6toF6fbffic^5s',' Redidnil'%dministrstoEs, anif CEaIi155[of #
I Boards and Panels: "~
'*W WNNs'dr5"th50all employeeEuhdePkh'elr'Jurisdictl5n' a're al;hri5^tely
~
5 trained and informed of the provisions of the FOlA and Subpart A of uit ,ebrw 10 wCFR.
oi Part 9. z us nio,00 ,
e.n o.ms t us g Is%, e s wax _ $. ,,
- b. Implement FOIA and NRC's response procedures as the[ayply to all FOlA requests for documents originated or controlled , by, their respective offices. 1 -
c.' Ensure that timely search and review are conducted for all records in office files which fall within the , scope of an FOl A request.
- d. Except for records addressed under sections 031-033, determine whether to release or withhold records originated by their office, records for which their office has principal responsibility, and records received within their office from sources outside the NRC.
- e. Except for records addressed under sections 031-033, act as the denying official for the withholding of any records described in d.
.! above.
- f. Consult, as appropriate, with aFIPS and OGC with respect to processing of requests and reviming records exempt from disclosure pursuant to 10 CFR 9.17.
- g. Determine, pursuant to 10 CFR 9.25,' whether disclosure of exempt information is contrary to the public interest or will adversely affect the rights of any person.
- h. Determine whether any records should be withheld from disclosure pursuant to 10 CFR 9.17, and report that finding to the Director, DFIPS.
- i. Appoint an FOlA Office Coordinator to coordinate FOIA matters and to obtain or provide office concurrence in connection with FOI A matters.
0310 The Office of the General Counsel:
In addition to functions specified in other sections:
I
- a. Provides advice and assistance in the development of NRC regulations and procedures established to comply with the FOI A.
- b. Provides advice to agency officials in making initial determinations whether particular records are exempt from disclosure pursuant to 10 CFR 9.17.
Approved: June 14,1989 Lu ____ ___ __ ___ -----
p .. .
- w, .mu--
L N RC-0211-0311 -
'. FREEDOM OF INFORMATION ACT 1
. o .- o n- ,4 o. -
, mi ,n ,
.c; Provides, , assistance and La'dvice in malOng determinations ..tregarding
'"~
appeals of the dEnlais,of y recordsg ;; , ,.yo QQ -
r et s r Su p Et -
1 st o
). -
r
'y, a g ,
gedwgM[Id*8 I,8@A)mjg,4 mmh %IDer proglemprJsing bos bonWu upder TofA Juh N* AIO3 stu.lo;anolehtnq ett1 to bsmidni Coordinates ~ NRC ectihties relating to laduYfilk knder' the f.
~
- l's .d i c3 y1Mtarit es e$,vbesoiq' senogeef e*3EM bns A109 an6melqml dS11 # ThDNSErE22ry3f tlNNElssggmu b 9A et esupro AiO3
.zoilo svaasqm .
_In addition to functions specified,in other sections: , ., y ,
. , .2 c . - . , o . .a w
- a. Diss. .eminates 'FOIA requests to the Chairman .an:d Commissioners, as appropriate, ,and asks these offices to identify records covered by ,
the requests,, ;, , _i. , % ,
. . , , _. ,r,
- b. Se'arclies Ihe Secretary's official files to identify records covered by an FOIA request.
.. n . . -
- c. After consultation with OGC, . obtains the views of the Ch"alEman and the Commissioners, as 'necessary under sections 031-033 of this chapter, on whether records should be disclosed, irIwhole or in '
part, in response to initial requests or appeals,
- d. Magkes final determination on appeals from , initial decisions by the Assistant Secretary of tha Commission, and by ' Office Directors reporting to the Commission pursuant to 10 CFR 9.29. _
- e. Provides supervision for a program in the NRC's . PDR for public inspection and copying of records which are 'being made available in response to FOIA requests. _
0312 Tile Assistant Secretary of the Commission:
- a. Acts as the denying official for initial denial ; of Commission records or, individual Commissioner records. ;,.
- b. Acts as the denying official for the initial ~de'nlat of records originated by the Office of the Secretary pursuant to 10 CFR 9.25(c).
- c. As the Advisory Committee Management Officer, acts as the denying official for the initial denial of records originated by advisory committees established pursuant to 10 CFR Part 7, including the Advisory Committee on Reactor Safeguards and the Advisory Commit-tee on Nuclear Waste.
Approved: June 14,1989
FREEDOM OF fl4 FORMATION'ACT . NRC 0211-0313 0313 The Chief, Public' Document Room Branch, Office of the Secretary:
- a. Maintains a public facility for receiving, processing, organizing, u tw ?tYS ??'h Y D Y ?N'O$EY*eiY b**?'l$W b
- b? Wakes %sildle"for IhithetlofE an"d %p* ing 'foIthe7FOidMuester, and other members of the public, all released documents transmitted to the Public Document Room by DFIPS.gg3.OF%3P NBA8 h0 U R
- c. Creates- and maintains specialized indices of .' publicly available C
documents to facilitate document searches and aldMhie FbYA/LPDR Branch in determining phethetdocuments ,identifiedm in connection
' with' specific ' FOI A' requests? have 1been ' previously': released
' ' " " ' ' '~ ~ to 'the public.
- d. Advises and assists NRC staff in' determining the types of hocumeSts which should be routinely placed in the Public Document Room in accordance with Chapter NRC-3203.
0314 The Director, Division of Security:
- a. Advises and assists authorized classifiers with respect to classification, declassification, and/or downgrading of NRC-originated classified or potentially classifiable information.
- b. Coordinates, through DFIPS,1with other Federal agencies regarding the classification, declassification, and/or downgrading of classi-fied information obtained from such agencies and included in NRC records,
- c. Coordinates with the Department of Energy on the downgrading of Restricted Data.
0315 Directors, Program Management, Policy Development, and Analysis l Staffs in Program Offices, and Deputy Directors in all other Offices:
- a. Serve as office's designated Senior Management FOIA Official for reviewing the scopes of FOIA requests.
- b. Review records proposed by the office staff to be released or withheld in responses to FOIA requests.
- c. Advise their Office Director concerning which records should be denied in responses to FOI A requests.
0316 Office FOI A Coordinators:
- a. Coordinate FOlA matters within the office and obtain or pro-vide office concurrence in connection with FOIA matters.
- b. Coordinate the timely search and review of all records in effice files which fall within the scopes of FOI A requests.
l l
l Approved: June 14,1989
N RC-0211-04 FREEDOM OF INFORMATION ACT.
- c. Consult, as necessary, with DFIPS, and other NRC offices with !
respect to the review of" records and the processing of FOIA r, fe.qyests. , , gg 3 %,%, ,,
- d. RecomndbiYde de$lgrdtM Ml"cENiebkenIMkI b6IANi'cTal l which .
m3ru NhfM.Mnd**Ms*.Co gigh, eld Jng response A ' FOjA-bs33ime w d m u 3ce c u a ls , i,s .sitada enJ 10 twhm %GJo bps 0211-04 BAstC REQUIREMENTS.2WO yd moon 3nstr.uaoO aildu9 orts cf ,
~gj 16gjgg to essibni besifsiasqa eniranism b6s es!sec .o
)K J\ ~ , . . bne eastasse Jnerrmob1 #3nlillod 'o2 Josmuaob
- h2P*We 03 shhf! [be followed by, all' NRC' employees.rokfE@Ii$f,.nlITEkter, g
- b. The provisions of this chapter and appendix apply ', to , all NRC records, as defined in 10 CFR 9.13. , _ f.;
- c. All requests for access to records under the ' FOIA must be in writing. .
, c. .,n . :.. .+ ..
- d. A request which is made by an individual for information pertaining
, to himself or herself and which : specifies either the FOIA or the Privacy Act, but not both acts, will be processed under the appli-cable provisions of 10 CFR Part 9. When the request specifies both acts, the Director, DF will determine, based. on the N " requested .information; ,lPS, ADM, which act the r3 quest will be processed ur. der. Processing under the Privacy Act will 'not, however, result in less access to information by the individual than would have been available if the request had been submitted only under the FOIA.
'042 A5pendix 0211. This appendix defines tke procedures and guidelines used to imp ement the provisions of the FOIA. Regulations established by NRC pursuant to the FOIA are incorporated by reference.
043. Reportis and Pubtle Notices. Requirements for the sub' mission of reports and public notices are listed in 10 CFR Part 9.
044 References.
- a. Freedom of Information Act, as amended, 5 U.S.C. 552.
- b. Privacy Act of 1974, 5 U.S.C. 552a.
- c. 10 CFR Part 9, Public Records.
- d. 10 CFR Part 95, Security Fscility Approval and Safeguarding of National Security Information and Restricted Data.
- e. Chapter NRC-0204, Privacy Act.
- f. Chapter NRC-2101, NRC Security Program. i Approved: June 14,1989
z FREEDOM OF 'INFORMATION ACT NRC-0211-044
- g. OMB Circular A-108 (Rev.), November 12, 1976.
_h.- Uniform Freedom of Information Act Fee Schedule and Gurdelines (52 FR 10012, March 27, 1987).
4 t
l s
Approved: June 14,1989
FREEDOM OF INFORMATION ACT -
NRC Appendix 0211 CONTENTS
.PD.9%
PART I GENERAL................. .................................
. 1 PART II RECORUS EXEMPT FROM DISCLOSURE..'........................... 5 PART III PROCEDURES FOR PROCESSING INITIAL FR5EDOM OF .
4 INFORMATION ACT REQUESTS..........e......... ............ 11
~
PART IV PROCEDURES FOR PROCESSING APPEALS FOR DENIAL 0F RECORDS SUBJECT TO INITIAL FREEDOM OF INFORMATION ACT REQUESTS... 19 PART V CHARGES AND WAIVER OR REDUCTION OF FEES FOR SEARCH, REVIEW AND DUPLICATION OF RECORDS SUBJECT TO FREEDOM OF INFORMATION ACT REQUESTS.............................. 21 Annex A 5 U.S.C. S52, the Freedom of Information Act............... 23 l
l 1 Approved: June 14,1989
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ S
FREEDOM OF INFORMATION ACT . NRC Appondix 0211 1 PARTI
_ GENERAL L. :
l -
A. DEFINITIONS J r------ --*The- 3/diMtions~of" terms set'fo IMS$NRT.3*ihif'9'.'13: bre 1 b *% & $3r .(YY*
- aYbI $303 iClM .b b
- 2 at;gories,4- ds-arehefly as-followst 9 n-l .-
Commission Records *
.n.-! '
a ng yni n37 I y;g y,q All records generated by the Commissiok oh records transmitted to the Commission from any NRC board, panel, office, or advisory committee, or from outside NRC.
-- ' ~ ~ '-
Individual Commissioner's Records All records generated by a Commissioner's office and all records received by a Commissioner's office from outside sources and not distributed to other NRC offices.
?
Commit;sion-Level Office Records 6a }1 All records generated by a board, panel, advisory committee, or office reporting directly to the Commission which are not transmitted to the Commission or to individual Commissioner offices. ,
EDO Records \
All records generated by the Executive Director for Operations (EDO) or his personal staff or received from outside the agency for which his office has primary responsibility.
EDO Staff Records All records generated by an office reporting to the EDO which are not submitted to the Commission or to individual Commissioner offices, or records received from outside the agency for which the office has primary responsibility.
- The term Commission, as used here, refers to the allegial body and not to individual Commissioners.
l 1 Approved: June 14,1989
{
j NRC App:ndix 0211 Part I.
FREEDOM OF INFORMATION ACT B. The NRC's processing of FCIA requests is set out in the following chart:
FOIA PROCESS
- v x ; , u A
--- ------ -e.--r- ----6.--------
- " " 7 RECV'D/'*INIT!AL ,gEyVESTS-]--
DE k," AYlNG.
~ RECYlD/ ' .,
-.e---------APPEALS-J ACTION J C
~pl.u.,.t-iDENYING DISPCHD. ACTION C00ft0. OFFICIAL DISPCHO(.' COORD. OFFICIAL y w ,
% . . ~ r_ r COM FOIA/ SECY OGC Asst. SECY/ q ."SECY,"' , OGC,, ~ Secretary RECORDS FOIA Chrm.* Sec. FOIA Chrur Com . ** Com , * **
e u
=
INDIV. FOIA/ SECY Indy. Asst. SECY/ SECY Indy. Secretary COMR. FOIA Comr. Sec. FOIA -
Comr.
RECORDS Office Office /
OGC COM- FOIA/ Orig. N/A **** SECY/ Orig. OGC Secretary LEVEL FOIA Office Office FOIA Office Comm.***
OFFICE Director RECORDS EDO FOIA/ EDO OGC EDO SECY/ SECY OGC Secretary RECORDS FOIA FOIA Com ***
. = _ .
EDO FOIA/ EDO Orig. Office FOIA/ SECY OGC EDO STAFF FOIA Office Director FOIA RECORDS OGC 1
1 0 Oa initial records which are legally withholdable, the Chairman's approval is required for withholding. On initial records which are not legally withholdable, the Chairman's review is required prior to release.
" On initial records which are legally withholdable, but for which discretionary release has been recomended, full Comission approval is required for releste.
OM On appealed records which are legally withholdable, but for which discretionary release has been recomended, full Comission approval is required for release.
- On initial records which are generated by an advisory cemittee, the denying official is the Advisory Comittee Management Officer. On initial records which are generated by the Office of the Secretary, the denying official is the Assistant Secretary.
Approved: June 14,1989 2
- !;0 dom -0'o l
~ NRC Appendix 0211
" FREEDOM OF INFORMATION ACT Part i
.. 1 C. PRINCIPLES H
+z
- 1. Public Interest Determination Requirement. 10 CFR 9.25 requires that even if a record, or a portion thereof, is exempt from mandatory disclosure, a determination must be made by the head of the respons-ible office, board, or panel as to whether disclosure of the record is contrary to the public interest or will adversely affect the ,
rights of any individual. If such determination is made, the exempt record must not be disclosed. This provision permits the dis-cretionary release of records which are legally exempt ~ from dis-closure under any of the nine FOIA exemptions.
- 2. Requirement that Non-Exempt Portions be Segregated From Exempt Portions. The FOlA provides that any reasonably segregable portion .
of a . record shall be provided to any person requesting such a I record after the deletion of the portbns which are exempt. This provision requires that each exempt record be reviewed in order to segregate exempt words, sentences, paragraphs, etc., from non-exempt words, sentences, paragraphs, etc. The segregation is to be accomplished in accordance with the procedures prescribed in Part lli of this appendix. However, if the exempt material in a record is inextricably intertwined with nonexempt material, the entire record may be withheld. Furthermore, if, after segrega-tion, the remaining non-exempt material would be essentially meaningless, the entire record may be withheld.
- 3. Duty to Retain and Identify Records. All agency records, including draf ts, in existence on the date an FOIA request is received and wtrich are within the scope of the subject matter of the request,must be addressed in response to the request. Employees may not destroy or remove from NRC's possession and control agency records once they have become subject to FOI A requests. Employees who willfully destroy or remove from NRC's possession and control records which are subject to FOIA requests, may be subject to NRC administrative disciplinary sanctions or a finding by a district court of being arbitrary and capricious and thus subject tc investigation and sanc-tions by the Merit Systems Protection Board.
, 4. Retention of Records. Offices reporting to the Commission may, in accordance with procedures established in Part 111, Section 6(a) of this appendix, at their discretion, retain copies of records which
, they deny in whole or in part rather than send the records to DFIPS. For offices reporting to the Executive Director for Opera-tions, DFIPS will retain copies of records which are denied in l whole or part. As provided in System of Records NRC-10, FOIA, and Privacy Act Files, records denied in whole or in part must be retained for five years from the date of denial.
- 5. Publicly Available Documents. A list of the types of documents which routinely should be made publicly available by offices which originate the documents, or for which the office is principally l
3 Approved: June 14,1989
NRC Appendix 0211 Pert 1 FREEDOM OF INFORMATION ACT
'4 responsible, is contained in NRC Appendix 3203,~ Part 111,. A ~ list of' file ,
categories and records placed in the PDR is contained in NUREG-0550, " Title List of Documents Made Publicly Available." --
' 3' .
. _ _ l n _; - ?
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t Approved: June 14,1989 4 l
U-___________-_____-___-_
-) ! ]# s 7 .,
I FREEDOM OF INFORMATION ACT -
NRC Appendix 0211 PART11 . . _
t RECORDS EXEMPT FROM DISCLOSURE. :.
aA.NExempt' ion (1)i m e ec :t.
Records, '.'(a)' pmspecifically' authorized under criteria 2e mrestablished by'
. 9rD d ristihriilCdefe'ns'd{n" Executlye br ' foreign holicy~Jordernq3(be, kept ano b) are in secret.1n fact? properlythe interest of classified pursuant to such Executive order."
a ~' n silitu ed na 9 nitemsx3 3 U r *eu W. #ToNMMFNatIEaio +Sec! t}iym ur nformationafrom i edisclosure under Exemption (1), the information must be (a) classified in accordance J with the criteria set forth in the current classification Executive Order, and (b) classified by an authorized classifier.
- 2. Information may be reclassified or classified after NRC has received a request for it under the FOlA, if such classification meets the requirements of Executive Order 12356, and is accomplished person-ally and on a record-by-record basis by an NRC original Top Secret classification authority.
- 3. All classified records subject to FOIA requests must undergo a declassificat M review to determine if each record is classified in its enti. ety and, if not, to segregate exempt classified information from nonexempt unclassified information.
B. Exemption (2): Records "which relate solely to the internal personnel rules and practices of an agency."
Exemption (2) may be utilized to exempt internal personnel rules and practices which oo not significantly affect the public.
C. Exemption (3): Records "specifically exempted from disclosure by statute (other than the Government in the Sunshine Act, 5 U.S.C. 552(b)), pro-vided that such statute (a) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (b) establishes particular criteria for withholding or refers to particular types of matters to be withheld".
. Exemption (3) is the authority to exempt from disclosure " Restricted Data" as required by Sections 141-145 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2161-2165), and Unclassified Safeguards information as required by Section 147 of the amended Atomic Energy Act (42 U.S.C. 2167). 4 I
D. Exemption (4): Records "containing trade secrets and commercial or I financial information obtained from a person and privileged or confiden-tial," (herein referred to as confidential business (proprietary) information). =
1 l
)
5 Approved: June 14,1989 l 1
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ J
NRC Appendix 0211
!: Prrt il L
FREEDOM OF INFORMATION ACT
- 1. Exemption (4) is utilized to exempt from disclosure information which meets the following two tests: I
(
l a. the information information; andis'9M a trade..
' * "secret
- " geommercial or financial a .
- b. disclosure of the information, must either (1) result :In v .
substantial harm" to" the competitive ~' posit lon of - the. ow to nwni sat to In the
'(2)2 arm the' goverhment'.s t>dianb yh*q:rfuture. ni a id) D'6 Vj ] y g abliit{yg.obtain
[f y n q ,ihfo
- 2. Exemption (4) can be utilized to ex g wnnu earrocords rar%ortionFth'ir'eoff',um gf,rgm disclosure:the fellowing mom ni benicab 0 ' e nu- n : yotn{'3d3 ,t
_ ," v, ,
a.: -information submitted to the NRC. Es' proprietary information pursuant to 10 CFR 2.790 and for which the NRC has accepted as adequate the accompanying affidavit justifying the confi-dential business (proprietary) pature of the information.
- b. Information which identifies a licensee's or applicant's procedures for safeguarding licensed special nuclear material.
- c. Information submitted in confidence to the Commission by a i foreign source. (10 CFR 2.790(d)(2))
- d. Information submitted to the NRC in confidence as proprietary information, other than in response to a request for proposal, for which no affidavit or other written justification that the information is confidential business (proprietary) Information has been received by the NRC. The originators will be required to provide a written justification that the informa-tion is in fact confidential business (proprietary) information as prescribed in Part ll1 of this appendix.
- e. Information in . proposals submitted in response to NRC solicitations which the originator considers confidential busi-ness (proprietary) Information. If the staff disagrees with the originator's proprietary claim, the originator will be required to provide a written justification that the information is in fact confidential business (proprietary) Information as pre-scribed in Part til of this appendix.
C. Exemption (5): Interagency or intraagency memoranda or letters which would not be available by law to a party in litigation with the agency.
- 1. To exempt a record, or portions thereof, from disclosure utilizing Exemption (5), the record normally must be either:
- a. an interagency memorandum or letter (i . e. , memorandum or letter transmitted from one Federal agency to another), or Approved: June 14,1989 6
l NRC Appendix 0211 FREEDOM OF INFORMATION ACT' Part il
~
- 6. an' intraagency . memorandum or letter (i.e., memorandum or letter transmitted -from one; person, in an _ ayency to another
, person In the;same agency).c m,: s e 5, ws.s ,
e o ue r eru onc $Jctsra tiscMs ad? ie noutuisve has
. 2.. Specific 2 types' ofwrwcords which 1can; be taxampted from Misclosure a pursuant.to Exemption (5): :e, e e br s .anbe e
. nuh t an
- a. Legal work! products and records covered by the lawyer-client Jm#mo,ot n3 wprivi)*gteligmoa noifc m ,otrn w tb onen g reifa g ,a Jn3mmdes wsl rbua 'to noijoubc,q 16d2 2nsixs erU ct ylnc sud ,moqua
- b. Drsfts, except where a draft is therlast inia,iseries-dedrafts and no " final" is anticipated to be created. - In such cases the last draft will:be: treated as a " final." -
- c. Advice, opinions, and recommendations given during a deliberative process. ~
- 3. Segregation Requirement: Factual information must be segregated, if possible, from advice, opinions,- and - recommendations in pre-decisional records except for drafts (as noted in 2(b) above) and certain legal work products and records covered by the lawyer-client privilege, or where the array of facts' could reveal a deliberative process.
F. Exemption (6): . Records "which are personnel and medical files and similar files, the disclosure of which would constitute a clearly unwar-ranted invasion of personal privacy."
- 1. To utilize Exemption (6) to exempt a record, or portions thereof, from disclosure, a determination must be made that, in balancing the invasion of personal privacy . that would result from disclosure against the public interest which would be served by such release, it must be clear that disclosure would result in a clearly unwarranted invasion of- personal privacy. NRC has withheld from disclosure to th!rd parties the- following types of information pursuant to Exemp-tion (6): (a) home telephone numbers, (b) home addresses, (c) medical records, (d) individual performance evaluations, (e) social security account numbers, (f) names of living persons exposed to radiation, (g) Information concerning non-Federal employ-
- ment, and (h) Individual executive and management development appraisals.
- 2. The following information about NRC employees is considered public information and is disclosed in response to a request:
- a. employee's name
- b. present and past Federal position titles
- c. present and past Federal grades
- d. present and past Federal salary 7 Approved: June 14,1989
l
- NRC AppGndix 0211 Part 11
- FREEDOM OF INFORMATION ACT
~
- e. present and past Federal duty stations.
- 3. The
- NRC, ^ in response sto an 'FOIA request by" an unselected candidate on a vacancy announcement, will make available the name and evaluation of the selected candidate and the requester, the anames and;nfinal revaluation ! of anyrother: "A" or "best qualified" candidates, and the evaluationshwithout names, for ,all other candidates.
me:b- wywd om yd bm r abncan bas traubma Mon misw .c G. Exemption (7): Records or information compiledGfor law enforcement F
purposes, but only to the extent that production of such law enforcement encrecords ordinformation:a ei ns,b o eneriw sqsexs ,anco .o em me % - n: . den. m e a Lena:auns M "!cn? cr ur+
- 1. could reasonably be expected - to: ~ interfere with enforcement
, proceedings;
- 2. would deprive a person of a right to a fair trial or an impartial adjudication;
- 3. could reasonably be expected to constitute an unwarranted invasion of personal privacy; .
- 4. could reasonably be expected to disclose the identity 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, in the case of a record or information compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security investigation, information furnished by a confidential source;
- 5. would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law; or
- 6. could reasonably be expected to endanger the life or physical safety of any individual.
General Applicability - A record, or portion thereof, to be exempted from disclosure pursuant to Exemption (7) requires:
- 1. that the record or information be compiled for law enforcement purposes which includes records or information compiled for either criminal, civil, or administrative law enforcement actions; and
- 2. that the record meets at least one of the tests set forth in 1 through 6, above, of Exemption (7).
Exclusions - The NRC will neither confirm nor deny the existence of records when it receives a third-party request under the FOIA for records regarding allegations by a named individual or records on named individuals who are the subjects of investigations. The exceptions are:
Approved: June 14,1989 8
NRC App;ndix 0211
. FREEDOM OF INFORMATION ACT Part 11 (1) when the third-party subject of a request has provided the requester with a written, notarized waiver of his or her privacy._ rights, which in turn is' provided to the NRC with regard to the FOIA request; (2) when the NRC is aware of the third-party subject's death; (3) when the NRC is aware of official public confirmation by the Federal government- that the third-party subject was or is the subject of a Federal investigation re-lated to NRC activities; or (4) when the third-party subject has publicly
. disclosed his or her contacts with the NRC. In the absence of any of the above exceptions, the NRC will neither confirm nor deny the existence of such records and Exemptions (7)(C) and (D) are the legal bases for this action. .
H. Statutory Exclusion:
The Freedom of Information Reform Act of 1986 established a new law that permits the NRC under very limited circumstances to not acknowledge the existence of agency records . If they are covered by Exemption 7 of the FOIA. The specific provision is incorporated into NRC regulations from 10 CFR 9.17(c) and is as follows:
Whenever a request is made which involves access to agency records described in paragraph (a)(7) of this section, the NRC may, during only such time as that circumstance continues, treat the records as not subject to the requirements of this subpart when -
- 1. The investigation or proceeding involves a possible violation of criminal law; and ,
- 2. There is reason to believe that -
- a. The subject of the investigation or proceeding is not aware of its pendency, and s
- b. Disclosure of the existence of the records could reasonably be expected to interfere with enforcement proceedings.
- 1. Exemption (8): Records which relate to the regulation or supervision of financial institutions.
The exemption is not applicable to NRC.
J. Exemption (9): Geological sad geophysical information and data, including maps, concerning wells.
Exemption (9) pertains primarily to information relating to oil and gas wells, and has been used on only one occasion by the NRC.
9 Approved: June 14,1989
FREEDOM OF INFORMATION ACT . NRC Appendix 0211 PART lil n
I
. PROCEDURES FOR PROCE_SSING INITI AL .
FREEDOM OF INFORMATICQC,TJEgygTSh RECE .0F FOlA REQUESTS %s<ra . W m asinw i " ' ~ "5 I A,;
m a w.IPT v eo me!!i hn wei m w m uso D '1. " All E.liti'n "Ng0ests'foPSciess*t3" It5ple's of[recofysfunder the
- D' IJ FOf A which"are'recel'Ved'b N mmc Nomism mwm, r WDFIPSM"M" '
y#jnf<d "I 'W 'RC
employ"oit p*usf t{* mme A % w m w ge r m ao es e w .y y 9ps irm b H
- 2. An FOIA request is deemed received by the NRC'wh'en it+1s actually
_ received by DFIPS.
B. ' DISTRIBUTION OF THE FOIA REQUEST TO OFFICES >
- 1. DFIPS, upon receipt of the FOI A request, will date mark each request and assign a sequential FOI A control number.
- 2. DFIPS will review the request to determine if it is reasonably described. Where necessary, DFIPS will consult with the office's senior management official to more precisely define tne scope of a request and, if necessary, contact the requester to clarify ce limit the scope of the request.
- 3. If records are specifically identified, DFIPS will check the NRC Nuclear Document Control System (NUDOCS) to determine if the requested records are already publicly available at the NRC PDR.
- 4. DFIPS will determine which NRC offices might reasonably be expected to have copies of any records subject to the request end will distribute the request by memo to those offices.
C. PROCESSING REQUEST BY NRC OFFICES
- 1. Each office receiving an FOIA request must treat it as a priority I item within the office and immediately undertake to respond to the request in a timely manner as required by the FOIA and these proce-
. dures. The FOIA requires, by law, that an agency respond within 10 working days. In certain situations, this response time can be extended for an additional 10 working days.
- 2. Within five working days after receipt of the request by NRC, each responsible office will notify DFIPS of the following:
- a. whether or not it has records subject to the request;
- b. any significant problems wNch may delay action on the request or other anticipated problems which may be involved; 11 Approved: June 14,10 '
L______-_-____-__-_____-_______
NRC AppOndix 0211 Part til FREEDOM OF INFORMATION ACT c.- any other office not listed which might have records subject to the request; and _
- d. : the estimated time , ~ required to _ search ~ "
, for, and review. for disclosure any records' located.
- 3. Each office undertaking a search for. recordsgshould contact all persons' and review all files which' might' reasi^onablp be ' expected to w %, u havegcopies the records Aequested jniconducting a., search, all
" Ctsmguments ' ';thatAre gesp'onskekW request' mus{ be "identi-fleid, ShethsPo inated b the isenrching ce,odth~e Federal agency, or- private org'anization or ;o@individuaf."QlRC All relevant office, que a < agency records; should, be . located.mb - aw 9 - e
- 4. Where offices locate records originated by other NRC offices, these records should be. identified or provided to DFIPS. Except as;noted below, no disclosure recommendation is necessary.
For records originated by other offices which are contained-in the files of investigative offices, or in project or task force files, the office maintaining the case - having the lead on the. project or task force -will be the office responsible' for providing to DF6PS the records and a ' disclosure recommendation. In such other circum-stances where . a staff independently assembles other office records as part of a file, i.e., enforcement, grievance, or labor relations, the. office maintaining the file should provide to DFIPS the records and a disclosure recommendation. This is to ensure that offices
, utilizing records of other offices have an opportunity to decide upon . the disclosure based on the use of other office records in their deliberative or investigative processes. If disclosure is recommended, DFIPS will submit . that recommendation to the originating office for approval. s
- 5. The offices must conduct a detailed review of the records originated by that office, or for wnich that office has principal responsibility, in order to recommend to DFIPS which records should be made publicly ' available and which should be withheld in whole or in part from public disclosure.
When information that is belloved to be exer 6pt from disclosure has been identified and bracketed, and the necessary consultations com-pleted, the records or portions thereof proposed to be withheld must be reviewed by the head of the responsible office, or his/her desig-nee, for a recommendation, pursuant to 10 CFR 9.25 or 9.43, as to whether or not production or disclosure of the exempt information is contrary to the public interest or will adversely affect the rights of any person.
- 6. Within eight working days after the request has been received by the NRC, each responsible office must provide DFIPS with copies of the records subject to the request that were originated'by that office, records for which that office has principal responsibility, or records received by that office from sources outside the NRC, except as follows:
Approved: June 14,1989 12
NRC App;ndix 0211 Part ill
. FREEDOM OF INFORMATION ACT
- a. Where records being denied by the Office of the Commissioners, OGC, or other offices reporting to the Commission- will not be provided to DFIPS, the denied records should be placed in a sealed envelope, with the FOIA number and name of Commission Office or OGC Division indicated pn the envelop 9, and submitted to the Secretary of the Commission. The Secretary of the Com-
. mission . will maintain the , sealed anvelope in specially desig-Q v m" .. n nated secure coritainep. Theirecords,.will be.. maintained by
.the Secreta.rys of,thes commission l fo(the 'periodJequired by the n ,c . ,
gia. NRCJ Records' Disposjtlori Scheduley The , records w]Il be pro-vided rto s appealed;OGC cir ' 'a s' ltfor u fildd review v.here 16 Tedhril ,the' ch'allenging
" court dsnied documents,have their denial . p , . ,
. , p ,
- b. Where records being denied are law enforcement records being denied under Exemption 7A, the investigative office shall main-tain records in its on going investigative file, maintain a record of records responsive to the request, and certify to DFIPS that the records responsive to the request have been maintained. That certification may be a list of records subject to the request.
- c. For records already in the PDR or a LPDR, the originating office should verify that the records are in fact in the PDR or LPDR and provide DFIPS with the location (NUDOCS accession number, file, etc. ). Records being provided to DFIPS will be segregrated into four categories, by 'date order, oldest record on top, as follows:
(1) Records which can be released in their entirety.
(2) Records which are propos'ed to be withheld in whole or part from public disclosure) The applicable FOI A exemp-tion must be indicated for each record or portion thereof.
The FOl A and NRC's regulations require that any reason-ably segregable portion of a record shall be provided to any person request!ng such records after deletion of the exempt portions. Each document proposed to be withheld in part must be bracketed.
(3) Records transmitted to the Commission. For records transmitted to the Commissioners, the originating ol'fice must provide a recommendation to release or withhold the record in whole or part. If the record is proposed to be '
withheld, the exempt information must be bracketed and l the applicable FOi A exemption indicated.
(4) Records which were originated by or contain information l received from other Federal agencies or submitters of con-fidential business (proprietary) information.
- 7. The responsible office must also provide DFIPS a completed " Report of Staff Resources for Processing FOIA Requests" form showing the amount of time spent by each employee, or contractor employee, who 13 Approved: June 14,1989
NRC App 2ndix 0211 ,
. Part 111 FREEDOM OF INFORMATION ACT was involved 'in the search for and review of the records during the processing of the request when DFIPS indicates that such is required. .
~
c- ,
DF ' RESPONDING'TO THE" REQUESTER %M* s R0
- MO c w ui m c.a e,s o . -am
- 1. . DFIPS .will" prepare "the ~ letter responding 'to the requester, . using
-a asn" listings of " records'provided by* offices, and"obtainin any necessary a
The' head of 'eachro fficefor' ignated official
- 4 u%,% 'conMurrenEn.K
~
den Ing4ny* requested 'recordistil(be! note'd 1 tter as a deny-p m Cing' mmp:v wmofficial."D rm IPS"will"dispatcPthe om m mm e 'signe,d'Ipmseqq'v o
F s
'2. DFIPS will also assure that any. records being r6adeavailable at the'-
PDR or an LPDR are promptly transmitted to the Division of Infor-mation Support Services for entry into the NUDOCS. An advance copy will be provided to the PDR to assure timely availability of the records. Records made available in . response to an FOIA request will normally be placed in the ,PDR and, if appropriate, an LPDR. When the ' request is for records essentially of a personal nature, neither the request nor the records .made available in response to the . request will be placed in the PDR or an LPDR because of privacy considerations.
E. SPECIAL PROCEDURES FOR PROCESSING RECORDS CONTAINING CLASSIFIED INFORMATION, PROPRIETARY INFORMATION, AND SAFEGUARDS INFORMATION
- 1. - Records already classified pursuant to an Executive Order
- a.
- The office which classified the record will conduct, if necessary in consultation with the Division of Security (SEC),
a declassification review in order to segregate ' exempt classi-fled information from nonexempt unclassified information. The
, particular information in the record which is determined to be classif!ed should be indicated by brackets on the text of the record and the record sent to DFIPS.
If the record is - transmitted to SEC for a declassification review, the transmittal memorandum should indicate the FOI A 1 request to which the record is subject.
- b. SEC will advise the office which classified the record, by memorandum, the results of its declassification review, indicating which portions of the record are classified, and provide a copy of its response to DFIPS.
- c. The office which classified the record upon receipt of SEC's memorandum will provide DFIPS a copy of the classified record with exempt portions bracketed and a copy of SEC's response memorandum, unless it is readily apparent that DFIPS has already received SEC's memorandum. DFIPS requires a copy of the classified record in the event the denial of the record is appealed.
~ Approved: June 14,1989 14 t__---_--_-_-----------_--- - - - - - _ .
L
,i .
NRC Appendix 0211 !
F_REEDOM OF INFORMATION ACT -
Part 111 l j
- d. DFIPS will disclose to the requester the unclassified portions 1 of the record unless the record is to be withheld under another i FOI A, exemption. . .The record will be withhel'd from disclosure i 2 .
pursuant
.w 4.,e cto' Exemption (1) of the FOI A. :g
, %":-2; < Records"Containingd Classified Informat'iori N66 Properly Classified Pursuant to E.O. 12356 When an FOIA Request is Received 4
$'ANA$$henMhAYstaff;.'EbNha RJwhichtit d tselieves" map- contain re$Sh[ljssified(anataflal,suth but which has been declassified or whichSas not been~ properly marked as
,~. ,_containing ., classified, informatioth (l.a. ,uis..lnotgatamped "confi-y]'[
y[, . , dential,". " secret," ~etc. ), the 3 record is sto be reviewed by an a'uthorized classifying official nIn;ther office that prepared, or contracted fo'r 'the preparation _of,: the record.
- b. The authorized classifying official . will - immediately determine s
whether the document contains classified information and, if it does, (1) will provide a copy of the record with the classified portions shown _in brackets to an NRC original Top Secret clas-sification authority; or (2) if the record has been declassified and disclosed, will follow the procedures outlined in NRC Appendix 2101.
- c. After the Top Secret classification authority has classified the record, the responsible office will provide DFlPS with a properly marked record with the classified information shown in brackets.
d.* The classifying office, once the record has been properly classified, will treat the record according to the procedures set forth in NRC Appendix 2101.
- 3. Processing Requests Containing Confidential Business (Proprietary)
Information Other Than Contractor Proposals
)
- a. Records Stamped Proprietary !
(1) Records stamped proprietary will be provided to DFlPS. A copy of the affidavit required under 10 CFR 2.790 and the Commission's determination on that affidavit will also be provided to DFIPS.
(2) If significant time has passed since the affidavit was submitted, the company which provided the information will be requested by DFIPS to advise the NRC if the informa-tion is still confidential business (proprietary) information and, if so, to provide all written justification.
(3) DFIPS, OGC, and the cognizant NRC office will review the ,
justification provided by the originating company, and, if 15 Approved: June 14,1989
NRC Appendix 0211
.Prrt 111 FREEDOM OF INFORMATION ACT J. -
accepted, DFIPS~ will provide the requester with the information the originating company no longer deems confidential business (proprietary) information. If the originating ~ company's jus-tification is rejected, DFIPS will - advise .1he . originating company that the NRC does.not consider, the withheld informa-tion to -be~ confidential business '(proprietary) inforraation aq and. thatstheiinformation swithbegeleasedJtojhe;p0bliptafter ,
y'. ~i,15 days.: ;j;4 f .g ; mu : L o 2 a 2 a ar .3
- ~ --
us: m R -.
- b. Records Not Stamped Proprietary but Belle'vid to~ Cont ~ain Confi-neupn A W$ /dential Business (Proprie3aryT Information Other Than rbirtet Jud.i fu contractor Proposaft '.e ,5"" 'r ' ~ " ' '
es beAum yhev y o ., .~ ~ - 4 .a o beihusbw need esc' 9 D
-itnce no s boqmm(1ynWiien thM stafPdiitYri51ni(that an IliteF%fmemorandum or
,,e s ad 'other ' records May;contain : information 1 iiompany considers 9: t' * ' ' confidential. bdsiness (proli rietkry)"'infoFrhation, the docu-ment will' be provided to' DFIPS." ' ' ~ "
(2) ~ The company which ' provided ~ the infor'mation will be requested by DFIPS to advise the NRC if the information is confidential business (proprietary) information and, if so, to provide a written justification.
(3) The NRC will follow procedures set forth in paragraph
-3.a.(3) above.
- 4. Contractor Proposals Containing Confidential Business (Proprietary)
, Information
- a. For a proposNI marked as containing proprietary information, the Division of Contracts and Property Management (DCPM) will
- send the proposal. to DFlPS by memorandum indicating (1) which portions of the proposals are claimed to be proprietary, and (2) the DCPM's position regarding the merit of the submitter's proprietary claim.
- b. For proposals not marked as containing proprietary information, DCPM will contact the submitter of the proposal via telephone within two days of the receipt of the FOIA request, and:
(1) advise the company that the NRC has received an FOIA request for the proposal; (2) determine what parts, if any, the submitter considers l proprietary; (3) have the submitter confirm by letter within 5 days which information it considers proprietary; (4) send a memo immediately to DFIPS indicating which portions the submitter considers proprietary, and DCPM's position regarding the merit of the submitter's proprietary claim, and provide DFIPS with a copy of the requested proposal; and Approved: June 14,1989 16
[
- ' ~
,n 3
- 1r-
^
NRC App:ndix 0211 #
F,REEDOM OF INFORMATION ACT ~- ~ Part 111 (5) send DFIPS a cody of. submitter's confirmation letter as
. soon as it arrives. u _
- c. DFIPS ,and OGC swill review technical .and; cost proposals to rc # t:,sn.S - a deter'rpipefifdinatorial,o 3onfi business (pro- 1 A_
fconsidejed'chq1s
, prietatyh,jriformation - is hatswhl a
,qential customarily considered such.
(1) Where it is determined that the NRC disagrees with submitter's proprietary claim, DFIPS will send a letter to l the submitter advising that NRC questions the proprietary !
status and requests additional information in support of the proprietary claim. ._
(2) Thereafter, the procedures set forth in paragraph 3.a.(3) above will be followed.
- 5. Records Containing Safeguards information Safeguards information identifies a licensee's or applicant's procedures for safeguarding licensed special nuclear material or detailed security measures for the physical protection of a licensed facility or plant in which licerised special nuclear material is possessed or used,
- a. Some safeguards information pertaining to certain licensed materials and activities is classified under a classification Executive Order or the Atomic Energy Act of 1954, as amended.
Records containing classified safeguards information will be processed in accordance with the procedures in E.1. or E.2.
above.
\
- b. For records containing Unclassified Safeguards information pursuant to 10 CFR 73.21 and Section 147 of the amended Atomic Energy Act, the office originating the record will provide DFIPS a copy of the record with the exempt safeguards information bracketed.
Unclassified Safeguards information considered exempt from mandatory public disclosure under Section 147 of the amended Atomic Energy Act will be withheld pursuant to Exemption (3) of the FOlA.
- c. For records containing unclassified safeguards (proprietary)
Information pursuant to 10 CFR 2.790(d), the office originating '
the record will provide DFIPS a copy of the record with or without (if originated by an office other than NMSS) the exempt safeguards information bracketed.
(1) DFIPS will forward the record to NMSS, if necessary, for
! review.
17 Approved: June 14,1989 E _ _ __ __
NRC App;ndix.0211
. Part til ;" ' FREEDOM OF INFORMATION ACT-
' ~ '
(2)' NMSS will, provide DFIPS with a written determir$ation that either agrees"with', changes, or brackets the exempt safe-guards (proprietary) Information. __
-(3) Unclassified." safeguards' (proprietary) Information censid-
.,qs ect r_ d "3hred 2exWM"from :public' disclosdFs 'will? be withheld from
.v . ;c m- disclossre"p0~
r duant to Exemption'(4)'of the FOIA.
d3iw res10ceib DRV en) 1scr Mr :cr af e a ei fi s,%. ,,j of wfat a tma iliw E9190 m46b ynsisi oe,q e',s tfim aa s
s vic6 boo,q sdf encif asup 2 AH :sdf pnieivoc melfimdet a~
b 'hohque ni noi?cmmoini Isor.ifibbs taasuon bne z o'c '
.trla' v :n w ~ ' <>
a
)
I 18 l Approved: June 14,1989 l l
},
FREEDOM OF INFORMATION ACT NRC Appondix 0211 PART IV 3 i
PROCEDURES FOR PROCESSING APPEALS FOR-DENIAL OF RECORDS SUBJECT TO INITIAL FREEDOM OF INFORMATION ACT REQUESTS A. An FOIA appeal received by the' NRC will be provided to DFIPS immediately. DFIPS will date mark the appeal letter and assign it a I sequential control number.
B. Upon receipt of the appeal, DFIPS will provide the office originally denying the records a copy of the appeal letter, a copy of the initial request letter, a copy of the initial request denla! letter with appro-priate appendices, and the records which were denied in response to the initial request when they are in the possession of DFIPS. OGC will be provided a copy of the appeal and the agency's initial response.
C. The office originally denying the records will conduct a review of the denied records, consider any new information presented in the appeal, and make a recommendation as to whether or not the records, in whole
. or part, should continue to be withheld from public disclosure.
D. The office conducting the review of denied records will submit the records with a recommendation to DFIPS. DFIPS will review the recommendation provided by the office to assure its adequacy and to identify any issues OGC should address.
E. Upon resolution vf all identified problems, an FOI A appeal response will be prep,ared. Once recessary concurrences are obtained, the response will be provided to the EDO or Secretary of the Commission, as approprl-ate, for approval and signature. If the response to the requester is adverse, the response will include specific information regarding the basis for the denial and will advise the requester of his/her right to seek judicial review under 5 U.S.C. 522(a)(4)(B) and 10 CFR 9.29.
F. For appeals denied by the Secretary of the Comr. ission, the appeal response will be sent to the requester by the Office of the Secretary and a copy will be transmitted to DFIPS. For appeals denied by the Executive Director for Operations, the response will be sent to the requester by
. DFIPS.
l l 19 Approved: June 14,1989
FREEDOM OF INFORMATION ACT NRC Appendix 0211 1
. PART V' CHARGES AND WAIVER OR REDUCTION OF FEES FOR SEARCH, REVIEW, AND DUPLICATION OF RECOI.DS SUBJECT TO A' FREEDOM OF INFORMATION ACT REQUEST
. ww m smumm
' L " ; ' E" "' '
A. GENERAL POLICY 'N" Any. employeeIwho 'isv aksigned responsibility 'to' sea'rch for or review records subject to any FOIA request'must, when required, topo-t actual
'o time spent searching"for >and/or Feviewisig th~e Fecords'.*'Since this infor-mation will be used _ to bill certain ' requesters, it is essential that
. accurate figures'be]proVided to' DFIPS. ' ~ *' * D-' "
mc: '
B. CHARGING- FOR FEES UNDER THE FOlA
- 1. Fees may be charged for searching for and duplicating records, and -
in the case of commercial use' requesters, for reviewing records when the requested records are not located in the PDR.
- a. Fees' will be charged for the direct costs of searching for records. Fees will be assessed .even though no records are located ' as a result of the search or no records are disclosed which are located'as a result of the search,
- b. The charges for duplication of records ate as provided for in 10 CFR 9.35.
- 2. For computer searches, fees - include the cost of operating the Central Processing Unit for that portion of the operating time that is directly attributable to. searching' for records and the operator /
programmer salary, apportionable to thh search.
- 3. Requesters who request the following services will be charged for the direct costs:
- a. Certifying that' records are true copies.
1 b. Sending records by special methods, such as express mail, package delivery service, etc.
- 4. The agency may aggregate requests for determining search and duplication charges if it finds a requester has filed . multiple requests for only portions of a record or similar records for the purpose of avoiding charges.
- 5. The . NRC will assess interest on the fee amount billed starting on
the 31st day fvilowing the day on which the billing was sent. Inter- ,
est will be at the rate prescribed in 21 U.S.C. 3717. i 21 Approved: June 14,1989
- -- 1
.NRC Appendix 0211 -
Prrt V FREEDOM OF INFORMATION ACT C. REQUESTS FOR WHICH FEES ARE NOT CHARGED ,
- 1. Searches shall be conducted without charge: ._
- a. For the - first .two hours of-search if the requester is not a commercial use reque' ster,
- b. Where the requester is ~a representative of. the news media.
, , cu WJhere th,e requesterds;.an_educgional institut. ion.7 , ga e , + .. .s ,.. .1, we ;< m . .c c: M aue emoon :
m ad knyj,% Where,. the .reqyester ,ls a fnoncommercial . scientific, institution.
s, .n w :a of 3a e au ." i n . . :.
Duplication shall be provided without; charge,for the first;100 pages 2.
of standard paper copies, or equivalent pages on microfiche, computer disks, etc., for all FOI A requesters except for commercial use requesters.
- 3. Review shall be conducted without charge for all requesters other than commercial use requesters.
- 4. Fees which are assessed will not be billed to a requester if the cost of collecting the fee would be equal to or greater than the fee itself.
D. WAIVER OR REDUCTION OF FEES Fees for searching for and duplication of records may be waived only upon request. Waiver requests shall be addressed to the Director, DFIPS. A person requesting the NRC to waive or reduce search or duplic# tion fees shall provide sufficient factual information to permit NRC to make the determination as to whether waiver or reduc-tion of the fee is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of -the government and is not primarily in the commercial interest of the requester.
l Approved: June 14,1989 22 ]
t >
NRC Appendix 0211
- , FREEDOM OF INFORMATION ACT '
Anner A j
, a, e .
. ne rastoa( 4' b a w loi aer s . . j, o'.'s..c. siis -
.~ . w r, e m > ,. .~ .- .- n ,a . a w , a .
al W4 e V u h., % nded y ,g;j f %3 3 p , g ,.
O #5 n a w w t.n >-r
- a m a wt um s ww v. ,e u nyc :.e , u ssia.p; p, F e lte internations g r .! y f ) . .. , et
%s s>
- e... . q e e 4
. ord.4,o tid i reeeres ,7 and ;preseedings ; .4, agency M oe, ,,,, epinione,g . 3 3y ;)
m .. ,.. ._ .-. . . .
' (al' See egency shall make ave"!!able te the publieI"
~
informaties as retteus e (1) Ese agency shall separately state and surrently publish in the Federal begister ter the guldence of the puh11e-(a) descr et its coatssa and f1514 ergestaa' ties ~ i and the estabt places et whle, the emplo the case et a malformed servloe, the acaboro) yees from tend een, in and the methode earef>y, the public may attata infeenettee, make onbelttelo er requeste, or obtain decialems:
(D) statements of the genere1 eserse and mothed dich its functions are channeled and determined, last l the nature and requirements of s11 formal and internal procedares availables j (c) rules of precedure, description et forse avail.
able ser the places at ele torne may be obtained, and instrwettens as to the oespo and r-teste et all papers, reports, or emaaimatlemer (D) embetastive rules et generet applicability eeopted as authorised bt law, and statementa et general solley er inter 1protettees et. general applicability forus1sted and adopted by the egenwys and going.(3) and =ht, revielen, or repeal of the tere-Except to the artest that a porosa has actual and timely moties l of tae terms thereof, a pereen any met la sey manner be regaired to resort te, or be adversely affected by, a matter sogaired to be published in the Federal Register and met se publiehad. per the purpose of thle ask, matter reaseeably evailahte to the c!eee of pereene aff thereby is deemed published is the rederal Register when tesorporated by referesse therois with the approval of the Director et the Federal Register.
(a) Bae agemey, la aseerdanes with yellehed rules, shall make evellable ter pelle taapostian and eeyring-(A) final epimiens, imeloding esmourring and dieseat-ing opinieme, as well as ordare, made la the adjudiastion et esseep s) these statemente et polier and interpretettens ele (have been edepted by the egemer and are met peliehad la the F% hagisters and (c) manialetretive staff manuale and instructions to staff that affect a member et the publier 23 Approved: June 14,1989
'NRC Appendix 0211-
, Annex A -
FREEDOM OF INFORMATION ACT onless the enteriste are promptly published and copies effefed for sale. Te the estent required to prevent a clearly unverranted investen of pereenal privecy, an egency any delete identifying dete11e when it makes eve 11eblo er, publishes an opinion, statement of policy, interpretation, or staff manual'or instrwetion. -
Bewever, in each case the justification for the deletten shall be espleined fully in writing. Each'egency shall else mainteln and aske avellable for publie inopoetion ens ing surrent indeses providing identifying internetten'for the lie as te any matter leesed, adopted, or presungeted after July e,1947, and required by thie peregra to be made eve 11able gr ydliehe$. ,Sech ageney obe11 prompt y publish,"guarterly er sere ~ LIff;and distribute ( oale er otheeviool aseles' : % sts er supplemented rete anless it deters!nes Dg ester.publiehad in the
. Federal Register that the pellesties Wem16 he unasseseary and tapreettaable, in wklah ease the agemey shall menetheless prwide septes of each indem en request at e oest met to eseced the direst eset of dupliestion. A finst order isles, statement of pelley, interpretation, or staff annual er that affecta a maaher of the public may be relied es, used, or etted as processet by an egency against a party other than pa egency only if-(1 it has been indemed and either ande available er publ)ished as provided by this paragreghi er ' l (ii) the party has actual and timair nettee of the teries thereof.
(3) Except with respoet to the resorte ande eveliable under peregraphe request for (1) and (3)ich records wh (A) reasonabir describes seek reseedsof this subsectica, ese agemey, g ans (9) is made in assertanes with puhtlehad rules statlag the ties, pleos, fece (if any), and n::5es to be followed, shall name the rooerde proeptly avatteEle to any parses.
s (4)(A)(1) In order to carry set the. Latees of this meetles, esob sceney shall presulgate ene, purseast to settee and reeslot of puh11e esament, ing the schedule of fees applicable he the preesselag of regneste under this aesties and establishing precedures and goldelines for deterstntag when such fees shoule te velved or reduced. Seat schoem1e shall eenform to the guidelines which shall be tested, parement to mettee and receipt of lie seament, the D! rooter of the Offlee of sanseament and et and wktek 11 provies for a mattera schedule of fees for all agencies.
(ii) Swah agency regulations shall pewide that ==
(1) fees shall be limited to reasonable standard sharges for doouseat osare, dupliestles, and review, eben resorte are requested for esacersial mess
(!![ fees shall be llalted te resspeable standard sharges for document duelleetles eben resorts are est sempt for scenerelet ese and the regnest to ande by an edesetieant er &=vist esteetitle lastitutten, eees le scholarly er eelantific researds er a rept t we of the neve medlar and (III) for any regneet est deserthed in t) er (II),
fees shall be limited to reasonable standard (charges for document search and dupliesties.
(iii) Documente aball be farnished without any &arge er er at a charge reduced belev the fees established mader clause (11) it disclosure of the Laformation to la the publie Approved: June 14,1989 24
. NRC Appandix 0211 e FREEDOM OF INFORMATION ACT ,
- Annex A l
Interest becesse it le likely to contribute significantly to public understanding of the operettene or activittee of the government and le not primer 11v in the seemercial interest of Lb* **4** * \** * - st,y nnst n- s,.m
~
(iv) Fee schedules sh'e11' provide for"'a$e recovery of only the direct oosta of pearehf euglication, or review. movier
. ccate shall taclode'enir 'the' direct coete' incurred during the inittet enseinetten et,a docuseet far,the purpenes et,,
determining whether the 4ecymentefsuet'De singleoed undet*this1 ter.the purposee et' withholding
~~
less , .,
seetles sweest* and free 41eeleser$'under:lthis ~eestida;, meets any
' not Taclude'emy eeots laeurresLim'reeelving . seems 'of he er
~
polley that asy_ be raised'1A the eeutee of presseelag 4, request under tale oestion. Be fee any'be charged by ear j agency under this section -- 1
. l (I) if the oests of restine collection and per-a et the fee are likely to equal er emoeed the seemet of the teor er (II) for any request described in cleuse (ii)(11) er (III) of this subparagraph for tia first two hours of search time er for the flrvt one hundred pages of dep11ontion.
(v) se agency may require advance payment of any fee unless the regeoster has previonely failed te suar fees la a timely fashion, or the egency has determined that the fee will exceed $350. j (vi) soth e..,eole e ing inorthis oubpatro*ft,she11 a ot. tete e ec eagereede fees- idi.g for e.tting the level of fees for partle,ular types et receses.
(v11) te any acties b the wolver of
- fees unneer this sectice, ythe a requester eeurt shellregard sete the setter de seve Itssidad, That the esert's review of the metter shall be limited to the resort befers the egeney.
(3) ce oneplaint, the district osert of the Seited States la the district in which the complainant resides, er
- has his principal pleos of business, er la die the records are eitmeted, or la the Dietract of Columbia, I jurisdicties to enjoie the seescy free withholding egener receres an4 to order the productlen of any agemey receeds improperly withheld free the esopleimant. Ia see a case the oeurt shall detersies tPe matter de seve, and soy erantas the sentests of ese egency .rerte la camers to daeau eather each recorte er any part thereef shall he withheld ender any of the es ione set forth La subsecties (b) of this anseten, and the is se the agency to sustata its acties.
det
. withstanding an,e r shell serve en answer er seio.
se et ie ,
to any esoplaint ende ander this puheestles withtm days efter servies spes the defenennt of the pleading la ese oesplaint is ande, teless the esert otherwise etreets Ser good eases aboem.
(D) (tesert as to cases the eeurt eensidere of pester importance, y.+:::t before the district eeurt, as authorised by this toe, and appeale therefree, take precedence se the decket over all cases and aball be aseSpeed for hearing and trial er for argument et the earliest 25 Approved: June 14,1989
1 NRC Appendix'0211 )
Annex A FREEDOM OF INFORMATION ACT y
. s practicable dote and erpedited in every voy.) Repealed."
pub. L.90-624, Title IV, 403(3), sov. 8,1984, 93 stat.
3, 3 3,3I*
,, 1 -3 3I[ * , e i :h; m ^4. *e -
(t) The court may eestes against the United statee reasonable etterney fees e.,4 other litigation costo ressenably incurred in any case unoer this section la dich the capgiunt,,yfjeguually snu Hed. . %j i u, a ,6 e e,.ner . .(ry, whicivirproper recorde?1= sie iisiciadeie1 withhold thu iMWeVQ:
free Ibe~ eemplainant and inet the Un!
essessee I states ressenable et .fope !
'and *ethhr ti tiem'eeets tad the;esert additlemal
- Reeves a written' find that the cireusetanees surrounding withholding raise geestione' esther agency pereenmot ested arbitrarily or capr$ closely wie respect to the'withholdias, the special Counsel shall prosytty tattlete a proccading to determine dother disciplinary acties le warreat4.d against the offleer er em withholding. ployee me une priantily roepeLaible for the .The Special couneet, after 1meetig consideration of the evidence *f tted, shall submit his findings and receanendetiene te the administrative authority of the agency concerned and shall send espies of the findinge and roccamandations to the offsear er employee er his representative. The shinistrative authority shall take the eerrective setica that the special conneet recommands.
(S) la the event of menoseplianee with the order of the eeurt, the district esert any iah for contempt the responethle employee, and la case of a unife:1med servlee, the reopenethle member.
(9) Bach agency havias sors thee one smeber shall metatain and make eve 11able for pubtle laspecties a reeard of the final votes of see member la every agency proceedtag.
(8)(AJ See egemer, apen any regemet for recorde made under paragraph .(1), (3), er (3) of this eecession, shall=
(1) determlae withis ten days (emeopting Saturdays, fundays, and 1 1 publis he!! ) after the receipt of any eveh rots e ether to . y with seek regoest and shall temodistely motify the peroom making sweh request of such determinettaa and the reasses therefer, and of the right of oosh perses to appeal to the head of the egency any adverse determimettens and (11) make a dotarminatten with roepest to any withis twenty days ( ing getardays, Sundays, legal after ressept of oseh appeal. If as public appeal betidays)l the denia of the request for reseede as la dele er la part upheld, the agener shall motify the pereen taking such roguest of the prwielsee Ser jedletal review of that i determinetten andar paragraph 44) of this enheaetten. 1 (s) ta emmenat sirouestasses as opositted in this subparagraph, the time 11mits premerihet la either eteese (1) er elesse (11) of peparagraph th) any be estended by critten settee to the peroom making see regneet settimp forth the reasons for ese extenstem and the sete en whlen a determinatica is orpocted to be dispeteed. De oesh settee shall specify a date that would reemit la en satenstem for more than ten worttag days. Se meet in this subpar ph,
'anusual otrcumstances' esame, het caly to the reasonably necessary to the prepar preesseing of the partteular request-Approved: June 14,1989 26
NRC Appendix 0211 FREEDOM OF INFORMATION ACT Annex A
. e (1) the need to eserch for and collect the requested records free field recilities or other establishments that are n
esperate.a. free
.> the of fic, e processing
- r the request
{ .,.
4
+'appropriate m'(lii 4he need to'ses& hdi delleetl %Y)7'l
- 1y e:aa tne . a' velue Anove . amount ef eeperat4' *, .,
'v+ and dietthet focorde ohich are desanded ' ~
Le a single' *"
requesti er N '- b ' 2 "'"
- w u te a w an a >w i s t > nsbl1 m' ~o rs e+ s :mt u t w ,
' * " : ( t ii) >
- the ? need ' forn 'eenetsitet1em * 'eleh ' ehe h 'bs % " '
'I4' Feenducted trith't)1' practiembl6* speed 7 with*amet&&r 9""' '
agency having 4'embetant$att latercet'in-the',estorate etten 6f'the toquest or "tr2mprp'esaponents" #-
% r of the agency havtag stabe ~ subject-estter;*"'
% P*4#~
interest thereia.
(c) Any person making a request to ser apener for records under paragraph (1), (3), or (3) of thte steacties shall be deemed to have adenoted ble ht=**stive remedies with . a ta one gx-t if the egemer flatte to esoply with the applicable time limit previstene et this paragraph.
If the Goverreent can show emesptional streametances exist and that the egency le esercising due 4111gemes la reopendLag to the requeet, the eeurt any rotata jurisdicties and allow the egency addittenal time to cosytete its review of the reeerds.
Open any determinetten by an egency to with a roguest for resorte, the recorde aball be made y available te such person making euch roguest. Any meta ties et denial of any request for recorde ander this odeesties shall set forth tbs nanse and tittee or posittens of ese pareen responsible for the dental of each roguest.
(b) This section dose not apply te metters that are--
(1) (A) specifically sotherised under criteria established by an trocutive order te be kept escret in the 1sterest of national defense or foreign policy and (D) are in fact properly claeolfied pursuaart te seek Rosewtive Orders (3) related solely to the 1 sternal pereennel rules and practices of as agancy (3) specifically asserted free diectosure by statete (other than section 953b of this title), previded that see stetsta (A) requires that the matters be withheld free the public in med a manner as te leave es discretiam en the leese, or (8) establiebes partiesler criteria for withhe&d-ing er refers to pattiestar types of matters to to withheldt (4) trees secrete and eenmaretal or timancial laterna-
. ties obtaLand from a pereen and privileged er sentidestials (s) 1 star- or intra memoraseems er letters wktet d met be eve 11 tow to e party other than an egemer in litigaties with the egemers (d) pereennel and mediest files and eimilar fitee the discleomre et elek weald seestitete a clearly amuarrested invasiam of ; u -1 privney#
(7) recorde er informatica orapiled for ice enfermaseet purposes, but emir to the artent that the en of see lov enforcement records er informaties (& d re-kiy be arpocted to interfere with enforcement ge:::: , (D) would we a pernam of a right to a fair trial er an etial adj tien, (c) could reasonably be expected to cemetitute an usuarrauted invasien 27 Approved: June 14,1989
NRC Appendix 0211
, , Annex A -
FREEDOM OF INFORMATION ACT et pereenet priveey, (D) could ressenably be orpected telloclose the identity of a confidential source, including a State, local, or tereign egency or authority or any private institution whle furnished intersetten on a confidential beste, and, in the same of a record .or information eespiled by's.crielnel law enforcement .
authority in the course et,e criminal investigation er by an esency conducting a lovful nettene1 eecurity intelligences investigates, informatten turnished by a confidentist seurse, (t) would disclose techniques and, procedures ter pos entereement.ievoet thene er preseestione;;er,veste idelina I'soek.dioe; 41=les,e eroessat tyr,new e8t invwtiptione,w[sireurvenstem eseevtsene A pt the tw, N ure era:eeste reaeenebar be e te r1 rssee m .
romena 6e esposted to endangerDa,11tp er phreiset prety et any indiv deste # o a f, r me (s) eentained La er rotated te naaminetten, o or eendition reposta prepared DF, en behalf of, or.perating, For the ese et an agency reopensible for the regaletten er supervielen et .
financial instatettener er ,
"(t) geologiset and geephyeleal informatten and date, including maps, eenooraing welae.
Any te a reasonably oogregable porties r. cord of a,reco.rd shall be, a ter eletten e t,revided e ,entens wh1,,n, are,e,een exaeyt re,uestge ander to peoestion (e)(1) Uhenever a repoet to made 21eh involyw access te ,
recorde duerihed in emboecties (t)(?)(A) and - '
(A) the investseetten er proceeding involves a possible vietetten et crialmet leva and s there la reason to believe that (A) the subjoet et !
the in(ve)sti,etten er proceeding is met evare of its pendeery,
- disclosure of the esistense et the recorde samle and (11)ly be empoeted te interfere with entereement peo-reasonab coedings, s the egency may, during only see time as that circumstance ;
eentinues, treet the records as not subjoet to the requirements of '
this esotion.
(3) Whenever intwaset recorde meintained by a criminal les !
omforcement agency under an internant's name er pareenal identifier are requested by a third party asserding to the informant's asse er l
personen identitler, the egency any treet the recorde ao met ;
out$eet to the requirements et this oeotion untees the intermeet's etetse u na interonet has been effloially sentirsed. )
ist Whenever a request le made mie levolves econes tm ;
recorde maintained by the Federal Dareas of Envesti ties, er esunterintell
,leer eertaining to foreige intelli ;
laternettenal terverton, and esistense of the !
may, ao long to the estatense et the reesses remaine(eleselfiedeleasitled Laternetien se psw !
sarermetion of this needies.t;eet the ressete as not subject to the requirements (d) This eastien does act eetherine withholding er information er 11att the eve 11eb111ty et recorde to the If e, ascept se opoef fically eteted la this mootien. This tem is not eetherity te withbold Laformattom frea congress.
Approved: June 14,1989 28
NRC Appendix 0211 FREEDOM OF INFORMATION ACT . Annax A I
l I
(e) On er before March 1 of each calendar year. eed egetu; )
ohell eukalt a report covering the preceding calendar year to the i speaker of the Rowse of Representatives and prealdent of the serate for referral to the appropriate consittees of the forgrees...The
. report shall include-.
, ,. (1) the number ef detereinattone 'mede by such egency _ e not to comply with requeste for recorde modo to owe (gency under subsection (a) and the reasons for'"ese "
seek 'g.
~detSrminettenis- ( > "Ua ' o *'** '"
is w ,t isrw .n' 1C1 *?***1'*^ Y' # # # W' b (,8) a the suuher efiappeale meide DY M 'tedsIr ,,! N' suhedettes.(e)(6), the+ result of such's e, and the reason far the action upon' each '
appeal reenSts As a ,
denial of internetiear: 7., s l
(3) the names and titles er peeltiess of ese persen reopensible for the denial of records regnested under this secties, and the sunber of instances of pesticipetles for 6668 (4) the results of each proceeding emmeneted parenant to subsection (e)(4)(F), including a ropest of the disciplinary who was primarilyaction reopenalble taken against forthe officer ervi*"
Leproperly ey- ' eyes racerse er an explanation of why disciplinary acties eso not M
takaar (s) a copy of every rule made by ese agency regarding this sections
( (4) e espy of the fee schedule and the total ebeest of fees sollected by the agency for uking reeeres available ameer thie sections and
'(7) eue other informatten as indiestos effnets to neministar fully this secties.
The Attermey General shall subsit as annual report en er before marsh 1 et one eatendar year which shall tactude far the prior calendar year a listing of the number of esses aristag unear this secties, the asseytten involved in each ease, the esopenitten of soak ceae, and the seet, fees, and senaltsee assesses ender est-sections (a)(4)(3), (F), and (e). Doch shall also inclede a description of the efforts undertakaa the Department of puoties to oneourage agency esoplianos vi this meselas.
f) yer geposes of this seetles, the term 'agensy* es estime(t la sectiam 551(1) et this title les3eems ang tueestive esportment, n!!sta department, cererieneet - --
, Governoemt
+ coortrolles oorporet en, er other establishment Ette eseestive branch of the tevernment (includtag the gementive ettles of the Prooidesr), er asqt independent regulatory agemey.
eeaeo Secties 1864. Effective Dates (not to be saettlet).
(a) The amendmento made by sectice 2,tes (the meditiestion of troeption 7 and the medities of the new schoaction ge)) eball be effective en the date of enactment of this het (Octaanne 31, 1986),
and aball apply with roepect to any 7:W.= for records, dether er met the r was made prior to one aute, ame shall apply to ney civil act en pending on such este 29 Approved: June 14,1989 l
l 1
NRC App:ndix 0211-Annnx A .
FREEDOM OF INFORMATION ACT
, t.
(b)(1) We thendments sede by.eection 1903 (tt tv fee and
" fee wolver provie!*nel shall be ef fective 180 days e.ser the date of the enactment of tate Act ( April , escept that replettone to implement euch asardments shal25,1981)l be promulgated by suchJtethday.;,3y ,,y... 3-,,, ,, a: ,
{
(3) ghe asIendmentes '~e'd'e'b'y sectied it03 #N1'1 :opply with respect to any ropests for recorte, whether er not the repeat vos l made prior to such este, are shell apply to any civil action pending Dn'euch'Geta,. except that review eherges applicable to records' repeated 'for ceanercist use shall not be applied by an egency to repeats mode before the effective date specified in peregraph (1) of this subseetten er before the egency has finally issued Its replattene.
l Approved: June 14,1989 30
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