Text

FOIA Desk Guide (Revised May 2025)
	ML25099A105
Person / Time
Issue date:	05/01/2025
From:	; NRC/OCIO/DIME/FLICB
To:	;
	Alecia Sillah
References
	Download: ML25099A105 (198)
	v • d • e

FREEDOM OF INFORMATION ACT PROCESSING AT THE U.S. NUCLEAR REGULATORY COMMISSION A DESK GUIDE FOR THE FOIA, LIBRARY & INFORMATION COLLECTIONS BRANCH, OFFICE OF THE CHIEF INFORMATION OFFICER MAY 1, 2025

This desk guide is intended to assist Freedom of Information Act (FOIA) and other staff members at the U.S. Nuclear Regulatory Commission (NRC) in the processing of FOIA requests, by integrating the various authorities (e.g., statute, NRC regulations, NRC Management Directive 3.1, and governmentwide guidance) in one place and identifying and analyzing commonly encountered issues. This desk guide is not intended to create or confer any rights, privileges, or benefits on any person. It is not intended to have the force of law or be a statement of NRC policy.

TABLE OF CONTENTS SECTION I: GENERAL GUIDANCE Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5 Chapter 6 Chapter 7 Chapter 8 SECTION II: SPECIALIZED GUIDANCE Chapter 1 Processing Guidance for Closed Allegation and Investigation Records Chapter 2 Processing Guidance for Office of Inspector General Records Chapter 3 Processing Guidance for Web-based Licensing Records SECTION III: ADMINISTRATIVE MATTERS Chapter 1 Record Management Chapter 2 Program and Regional Office Acronyms Chapter 3 Intake Chapter 4 Close Out Role of FOIA Coordinators Initial Processing Steps Fees & Administrative Closures Need for Clarification or Modification The Search for Responsive Records Referrals and Consultations Processing Records & Preparing Signature Packages Administrative Appeal Procedures

SECTION I: GENERAL GUIDANCE

Section II-Chapter 3 MAY 2025 CHAPTER 1 FOIA COORDINATORS There is at least one FOIA Coordinator assigned to each program or regional office.

The role of the FOIA Coordinator is to handle for their respective office taskings or other assignments during the processing of FOIA requests. The FOIA Coordinator is responsible for providing fee estimates on behalf of their office, directing their offices search for responsive records, maintaining records the subject matter experts (SMEs) believe are personal records (rather than agency records) if they are not sent to the FOIA staff, de-duplicating the records provided by the SMEs in their office, ensuring consistency of the disclosure recommendations made by the SMEs1 for the records, providing the records to the FOIA staff, ensuring the appropriate official has made any discretionary disclosure determinations, and obtaining foreseeable harm statements, where applicable. Due to the importance of the coordinator duties, whenever a coordinator is expected to be away from the office for three or more consecutive business days, an alternate is expected to assume these responsibilities.

A roster of current FOIA Coordinators may be found in the shared drive.

1 The Commissioner offices (OCM), the Secretary to the Commission (SECY), General Counsel (OGC), and Inspector General (OIG), have their own independent authority with respect to making determinations on the applicability of the FOIA to their records.

Section I-Chapter 2 MAY 2025 CHAPTER 2 INITIAL PROCESSING STEPS A. FOIA requesters may use any one of several methods for submitting FOIA requests to the NRC: mail, email to FOIA.Resource@nrc.gov, fax, hand delivery, or completion of the online form linked to the NRC Public Access Link (PAL),

https://foia.nrc-gateway.gov/app/PalLogin.aspx, or through the National FOIA Portal, https://www.foia.gov/.2 B. Under the NRC regulations, 10 CFR 9.23(b), the statutory response period begins when the request is received by the Freedom of Information Act Officer.

C. Once you are assigned a new request in FOIAXpress, you will receive email notification of the new assignment.3 D. You are then responsible for taking the next steps. Choose the User Dashboard; in the My Work Summary, you will see the number of pending matters that are assigned to you. Select the number, which will bring you to a new screen showing each of your assignments. Select the new tracking number, which will bring you to the Request Information screen.

E. At the Request Information screen, ensure that each item of information the administrative staff has entered as part of Intake (e.g., fee category, type of request, received mode) is accurate and complete. Note that the processing track defaults to simple such that the target date that appears will be the date that is 20 working days from the received date.

F. NRCs regulations establish three tracks for its FOIA requests. See Attachment I-2-1. Track A, which is the simple track, uses the standard 20-business day response period. Examples of simple requests are those that only ask for records that are already publicly available, or where there are expected to be no responsive records. Such requests should be answered as promptly as possible.

If you expect that the request will be answered within ten (10) business days, you 2 Requests submitted at the National FOIA Portal will automatically populate in FOIAXpress through the PAL.

3 In your account in FOIAXpress, you may opt to receive notifications of certain types of actions. While several of the actions are ones that you, as the assigned FOIA Team member, will take (and therefore you will already be aware of them), you should ensure that the notification of assignments box is checked.

Section I-Chapter 2 MAY 2025 will not need to prepare an acknowledgement letter (ACK Letter). Track B, which is the complex track, uses the 20-business day plus 10 additional business days, for a total of thirty (30) business days. Track C, which is another complex track, is reserved for extraordinary requests that are expected to involve substantial coordination or a high volume of records (and uses the greater than 30 business day time period). If the request should be placed in the complex track, choose complex from the drop-down menu. Select Save. This will prompt a notification that you have chosen to change the track, which will change the Target Date.

Select Yes. Youll then see a notification that the processing track has been changed (you may need to refresh the page to see the revised Target Date). The Target Date is the statutory due date that you will include in the ACK Letter.

(Note that, if the FOIA Officer grants a request for expedited processing, that determination is noted elsewhere on the Request Information screen. You should still choose the applicable track - simple or complex - depending on the nature of the requested records and the steps that will need to be taken to process the request.)

G. You should confirm that the request is perfected under the NRC regulations, 10 CFR 9.23. A request is perfected when it contains all the information necessary for you to process it.

1. At this preliminary stage, you should ensure that you verify the identity of any individual requesting a record about themselves. Similarly, if a third party makes a request for records that concern another individual (and those records are subject to the Privacy Act), make sure the requester provides authorization from that other individual. Requesters may use the NRC Form 507 to satisfy the identity verification and/or third-party authorization requirements, but other documentation is acceptable if it is either notarized or signed under penalty of perjury (as set forth in 28 U.S.C. 1746(b)) and is accompanied by the other items of information (e.g., photo ID) described in the NRC Form 507. NRC Form 507 may be found at https://www.nrc.gov/reading-rm/doc-collections/forms/nrc507info.html.

2. You should also consider whether the request clearly describes the records the requester is asking for or is ambiguous. In addition, you should consider whether the records being sought are expected to be voluminous. The program and regional offices may also identify such concerns to you once tasked with either the fee estimate or search (see Section I-Chapter 3 and Section I-5), which should result in your seeking clarification or a modification from the requester. However, you should not wait for the program or regional

Section I-Chapter 2 MAY 2025 office to raise such infirmities or other concerns. If you identify any infirmity or concern, contact the requester as soon as you can. We are looking for efficiencies and transparency in our processing so establishing an early line of communication with the requester is a constructive first step and is highly desirable.

3. But even if these requirements are satisfied, the request will not be considered perfected4 until after all fee issues have been resolved.

4. If you identify an infirmity (e.g., need for identity verification and/or third-party authorization; need to obtain a fee commitment; need to receive an advance payment), or any concerns with respect to the description of the records being requested, notify the requester of the infirmity or concern, giving the requester time to rectify the infirmity or address the concern. Once you reach out to the requester, you will need to Stop the Clock in FOIAXpress. To do this, at the Request Information screen, select the Stop the Clock tab. This will open a new window. At the Reason for Stopping the Clock, select the appropriate reason from the drop-down menu. If you choose Other Reasons, use the free-form Notes field to enter the reason. The Stop the Clock effective date will automatically populate to the date you are entering this information in FOIAXpress. If you did not enter the stoppage in FOIAXpress on the date you reached out to the requester, there is a drop-down calendar from which you can select the actual date. Select Stop the Clock. Youll see a notification reminding you to confirm the accuracy of the stoppage date; select OK once confirmed. This will prompt another notification asking whether you want to Stop the Clock. Select OK. Youll see that the Status field for the request will now show On Hold and the reason for the stoppage.

5. Once the infirmity is corrected or concern satisfactorily addressed, you will need to go back into FOIAXpress to Start the Clock. At the Request Information screen for the request, select Start the Clock. This will open a new window. You should now enter the Clock Start Date and include in the free-form Notes section whether the infirmity was corrected or the concern was satisfactorily addressed, or the requester failed to respond in the allotted time, as applicable. (As with the clock stoppage action, if you do not take this action in FOIAXpress on the actual date, you can backdate the action.) Then select Save. Youll see a notification reminding you to confirm the accuracy of 4 You should not place the request on hold until you have contacted the requester to obtain necessary identity verification or third-party authorization, or to clarify the scope of the request, or you have provided the requester with a fee estimate. See Section L.

Section I-Chapter 2 MAY 2025 the start date; select OK once confirmed. This will prompt another notification asking whether you want to Start the Clock. Select OK. Youll see a change in the Status field. Note that, when you restart the clock after receiving clarification or modification of the request, the Received Date for the request will adjust to that date (as now FOIAXpress considers the request to be perfected).

H. Unless you know that you can complete work on the request and issue the Form 464 response within ten (10) business days5, prepare the ACK Letter (Attachments I-2-2A or I-2-2B), which will include an Explanation of Fees (if there are expected to be any billable fees). Today, most requests come to us electronically so you will have the requesters email address to which to send the ACK Letter). For requests for which you do not have the requesters email address, you will prepare the ACK Letter for snail mail. The steps to follow for creating the ACK Letter differ depending on whether it will be delivered via email or snail mail, so be sure you know before you start which delivery method youll be using.

1. To prepare the ACK Letter that you intend to email the requester directly in FOIAXpress, select the request. At the Request Information screen, select the Correspondence tab. This will open the Send Correspondence screen. Youll first prepare the transmittal email. Note that any correspondence you send from FOIAXpress will show that it is from noreply@ains.com. Choose the Transmittal Email Language of ACK Letter template. Since you are sending the ACK Letter to the requester, you can select the Requester option, which will automatically populate the requesters email address. Be sure to include your own email address on the cc: line, so youll receive a copy at the same time the requester does. Make changes to the body of the email, if appropriate.

(Note that the delivery receipt/read receipt options in FOIAXpress do not work within the NRC.)

2. Next you will need to compose the ACK Letter itself. At the top of the Send Correspondence screen, at the Add From prompt, select the Letter Template. This will open a new window. Choose the Letter Template that is appropriate for you; contractors should select 5 The FOIA does not require the issuance of an acknowledgment letter if the agencys response is issued within ten (10) business days of receipt. 5 U.S.C. 552(a)(7)(A).

Section I-Chapter 2 MAY 2025 Customize for Pending; Feds should select Customize. The ACK Letter template will then open.

3. Tailor the ACK Letter, as appropriate. Certain fields will automatically populate (e.g., description of records, processing track, fee category).

Make sure that they are correct. Keep in mind that the template includes paragraphs that address matters that may or may not be applicable to the request (e.g., the need for identity verification or third-party authorization documentation; whether the requester asked for a fee waiver or expedited processing; which attachments should be included, etc.). Once you have made the appropriate adjustments to the letter, Federal staff should select Add to List, which will add the ACK Letter to the transmittal email. Contractors should select Save for Pending and notify the Team Lead that the ACK Letter is ready for review before it is to be sent.

4. If you are sending the ACK Letter through the mail, you will need to prepare the ACK Letter in Word, using the appropriate ACK Letter template that is in the shared drive. You should tailor the letter as circumstances warrant.

a. Save the letter (either in Word or as an Adobe PDF) and print the copy that is to be mailed to the requester.

b. To place the letter in FOIAXpress, you will upload the ACK Letter by selecting the Receive Correspondence tab. You are required to select a Letter Template (choose Other) and enter a Subject ACK Letter. It is not necessary to make any selection for Received Mode. Upload a copy of the ACK Letter to the drag-and-drop zone, then select Save. The ACK Letter will now appear in the Correspondence Log. Alternatively, you can create the ACK Letter as you would if you were emailing it to the requester, changing the default dispatch mode - EMAIL - to PRINT. Doing it in this way allows it to populate the Correspondence Log automatically.

I. Your next step is to decide to which program or regional office youll send an email that tasks the office(s) to either provide you with a fee estimate (Attachments I-2-3A or I-2-3B) or, if no fees are anticipated6 or a fee waiver is 6 Given NRCs practice of not charging duplication fees when the agencys response (including any released records) is furnished electronically, it will often be the case that there will be no billable fees

Section I-Chapter 2 MAY 2025 granted (see Section 1-Chapter 3), for a record search (Attachment I-2-4). To assist you in figuring out which offices may have responsive records, you can refer to a table of commonly requested records (Attachment I-2-5) or consult the NRCs intranet site. To minimize the customization required, you should choose the template designed for your request (e.g., the fee estimate for a commercial use requester template will ask that the offices break out review time, search time, and duplication costs).

J. Program and regional offices are given four (4) business days in which to provide a fee estimate; they are given ten (10) business days in which to search for, and provide disclosure recommendations about, any responsive records. Day 1 is the next business day after you send out the tasking email. See Section I-Chapter 3, Fee Categories, Fee Estimates and Administrative Closures, and Section I-Chapter 5, The Search for Responsive Records, for the fee estimate and search tasking steps to be taken, respectively.

K. If the request is from a requester who is categorized as a representative of the news media, remember to send an email to the OPA Director and OPA Senior Level Advisor, with a copy to OPAs FOIA Coordinator, notifying OPA of the request. This notification is required in all cases where a representative of the news media submits a FOIA request, regardless of whether OPA is reasonably expected to have responsive records. There is an email template for this notification (Attachment I-2-6) so that OPA is aware of the news media representatives interest. If OPA wishes to be advised of further developments on such a request, OPA will let you know.

L. On occasion, a requester will decide to withdraw their request (this may be prompted by a fee estimate that is higher than the requester is prepared to pay, or the requesters needs for the records has changed, for example). If a requester has communicated this withdrawal to you via letter or email, you should upload that communication to the Correspondence Log in FOIAXpress and then close out the request. If the requester has communicated their withdrawal to you orally (e.g., by telephone or during a TEAMS meeting), then you should confirm that withdrawal in writing. There is a letter template in FOIAXpress that may be used for this purpose (Attachment I-2-7).

(e.g., favored fee requesters arent liable for review or search fees; non-excepted requesters whose requests ask for a narrow universe of records arent liable for the first two (2) hours of search). In such cases, you should skip over the fee estimate stage, and move immediately to the search stage.

Multi-Track Processing Simple Request - any request that is not a Complex Request.

Complex Request - any request where there is a need to:

1. Search for, collect, and review (including any de-duplication) of a voluminous amount of records

a. OI Reports of Investigation, including exhibits

b. Records relating to matters that crossed multiple program offices and/or regional offices that are likely to entail multiple referrals;

2. Search for records at three or more program1 or regional offices having a substantial interest in the requested records;

3. Consult with another agency, or agencies, having a substantial interest in one or more of the responsive records;

4. Refer records to a licensee, or other business submitter;

5. Undertake a declassification review of classified records; or

6. Retrieve records from Federal Records Centers or other off-site facilities that store older records.

1 Requests directed to SECY, which generally involve OGC as well as each Commissioners office, and perhaps one or more program or regional offices (depending on the records requested), would be considered complex.

ATTACHMENT I-2-1

ATTACHMENT I-2-2A UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001

[TODAYDATE]

[REQUESTNUMBER]

{if we have an email address, add}: sent via email to [RQREMAIL]

[RFNAME] [FLNAME]

[COMPANY]

[STREET1]

[STREET2]

[CITY], [STATESHORT] [ZIPCODE]

Dear [RFNAME] [RLNAME]:

The U.S. Nuclear Regulatory Commission (NRC) received your Freedom of Information Act (FOIA) request on [RECEIVEDDATE].

Your request seeks access to [REQUESTDESCRIPTION]. It has been assigned the following reference number that you should use in any future communications with us about your request:

[REQUESTNUMBER].

To ensure the most equitable treatment possible of all requesters, the NRC processes requests on a first-in, first-out basis, using a multiple track system based upon the estimated time it will take to process a request. Based on your description of records, we have placed your request in the {simple} {complex} track. The statutory due date for our response is {insert date that is 20 or 30 working days from the received date, depending on track selected]} {If the request is in the complex track, then add the following:} Please note that we placed your request in the complex track, estimating that completion will take more than 20 working days, because we expect to:

search for, collect, and appropriately examine a voluminous amount of records consult with multiple program and/or regional offices within the NRC consult with other Federal agencies having equities in the records refer records to a licensee or other business submitter undertake a declassification review of classified records; or retrieve records from Federal Records Centers or other off-site facilities.

We will try our best to complete work on your request by the statutory due date; however, the actual date of completion might be before or after the statutory due date based on the complexity of all the requests in the {simple} {complex} track. To process your request promptly, you may wish to narrow the scope of your request to limit the number of responsive records. {If the request is in the complex track, then add the following:} You have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison

[RLNAME], [RFNAME]

or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

For purposes of assessing fees in accordance with our regulations (10 CFR 9.33), we have placed your request in the following category: {Requester Category}. If applicable, you will be charged appropriate fees for: {search}, {review}, and {duplication}. Unless you state otherwise, we expect to provide our response, including any released records, electronically. You will not incur duplication charges if we respond to you electronically.

A sheet has been enclosed that explains in detail the fee charges that may be applicable.

Please do not submit any payment unless we notify you to do so.

You have requested that fees be waived for your request and I have determined that your justification is adequate; fees will be waived for your request.

I have determined that your request for a waiver of fees does not meet the criteria required under 10 CFR 9.41 (copy enclosed) for the reasons indicated here: {briefly state the reasons for the denial}. You may appeal this determination. Any such appeal must be made in writing within 90 calendar days by addressing the appeal to the Executive Director for Operations. You may submit your appeal directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. You also have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

You have not provided us with the information we need to make a fee waiver determination. The NRC requires that a person submitting such a request address each of the factors in 10 CFR 9.41(b)(1)-(8) (copy enclosed). If you still wish to pursue a fee waiver request, please submit supplemental information addressing each of the fee waiver factors, which we must receive on or before {insert date that is five working days from the date of this letter}, and I will then make a determination on your request. Please note that, because I have not yet made a determination on your fee waiver request, this is not an appealable decision.

To protect the privacy of individuals about whom we maintain records, our regulations (10 CFR 9.54) require that individuals seeking records about themselves provide verification of their identity by a signature, address, date of birth, employee identification number (if any), and one other item of identification such as a copy of a drivers license. Individuals may also provide either a notarized statement, or a statement made under penalty of perjury in accordance with 28 U.S.C. 1746, swearing to, or affirming, their identity and to the fact that they understand that

[RLNAME], [RFNAME]

penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Form 507 is enclosed for your use; please complete sections 4, 5 and 7.

The proper identification, or a statement that you want this request processed as if it was received from any other member of the public, must be received no later than {insert date that is 15 calendar days of the date of this letter}. You may submit this documentation directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. If we do not hear from you regarding this matter by {insert date that is 15 calendar days of the date of this letter}, we will administratively close our file on this request.

Persons requesting records pertaining to another individual, in addition to furnishing verification of that individuals identity, must have the individuals written consent for the records to be disclosed to them. A valid consent may be in the form of either a notarized statement, or a statement made under penalty of perjury in accordance with 28 U.S.C. 1746. In the consent, individuals swear or affirm their identity and to the fact that they understand that penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Form 507 is enclosed for your use; please complete sections 4 (about the individual whose records you are requesting), 6 and 7. If you do not provide the individuals identity verification and written consent, information will be disclosed to you only if it is deemed that disclosure will not constitute an invasion of the privacy of the individual about whom your request pertains. In some instances, depending on the sensitivity of the type of records in which the kind of information you are seeking would be found, we will neither confirm nor deny the existence of records pertaining to the person because to even publicly acknowledge the fact that there is that type of record about the person could be considered an invasion of the persons privacy. The proper identity verification and consent, or a statement that you want this request processed as if it was received from any other member of the public, must be received no later than {insert date that is 15 calendar days of the date of this letter}. You may submit this documentation directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. If we do not hear from you regarding this matter by {insert date that is 15 calendar days of the date of this letter}, we will administratively close our file on this request.

Requesters who demonstrate a compelling need may be eligible for expedited processing.

Under 10 CFR 9.25(e), a request for expedited processing may be granted only when the requester shows a compelling need based on meeting either of two criteria: when failure to obtain the records quickly could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or, if the requester is a person primarily engaged in disseminating information, by demonstrating that an urgency to inform the public about the actual or alleged Federal Government activity exists. I have carefully reviewed your request for expedited processing and determined that:

Your request for expedited processing is granted and your request will be moved to the front of the processing queue.

Your stated reason for requesting expedited processing does not show sufficient compelling need because it appears that there is no imminent threat to the life or physical safety of an individual; accordingly, your request is denied.

[RLNAME], [RFNAME]

Although you are a person primarily engaged in disseminating information, the subject of your request, {briefly describe the records}, does not appear to meet the threshold regarding urgency to inform the public about an actual or alleged Federal Government activity; accordingly, your request is denied.

You have not included a statement certifying that the compelling need you have given is true and correct to the best of your knowledge and belief, nor have you put forward sufficient cause for this requirement to be waived as a matter of the NRCs discretion.

You have not provided us with the information I need to make a determination on your request for expedited processing.

{If the 4rd or 5th box is checked:} If you still wish to pursue a request for expedited processing, please submit the required self-certification and/or supplemental information addressing whichever criterion you believe applicable, which we must receive on or before {insert date that is five working days from the date of this letter}, and I will then make a determination on your expedited processing request. Please note that, because I have not yet made a determination on your expedited processing request, this is not an appealable decision.

{If the 2nd or 3rd box is checked:} You may appeal this determination. Any such appeal must be made in writing within 90 calendar days by addressing the appeal to the Executive Director for Operations. You may submit your appeal directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. You also have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

{PRIMARYUSERNAME}, Government Information Specialist, the person assigned responsibility for your request, may be reached by telephone at {PRIMARYUSERPHONE} or via email to

{PRIMARYUSEREMAIL}. Should you wish to check on the status of your request at any time, please refer to https://foia.nrc-gateway.gov/app/Home.aspx.

[RLNAME], [RLNAME]

If you have questions on any matters concerning your FOIA request, please feel free to contact

[PRIMARYUSERNAME] or me at (301) 415-7169.

Sincerely,

/s/ Signature of FOIA Officer Name of FOIA Officer FOIA Officer Office of the Chief Information Officer Enclosure{s}:

Explanation of Fees Fee Waiver Justification Requirements Form 507

EXPLANATION OF FEES Requester Fee Categories Commercial: Fees are charged for search, duplication, and review when records are requested for commercial purposes. Fees (above the minimum fee charge) cannot be waived for this category of requester.

Educational or Non-Commercial Scientific Institution, Representative of the News Media, and Privacy Act: Fees may be charged only for document duplication when records are not sought for commercial use and the request is made by an Educational or Non-Commercial Scientific Institution, whose purpose is scholarly or scientific research; or a Representative of the News Media; or a person requesting his/her own records that are maintained in a Privacy Act system of records. No fee is charged for the first 100 pages of duplication for this category of requester.

Non-Excepted: For any request not described above, fees may be charged for document search and duplication. No fee is charged for the first two hours of search time or for the first 100 pages of duplication for this category of requester.

Fee Schedules Search and Review Charges: Fee schedules provide only for the recovery of the direct costs of search, duplication, or review. Review costs include only the costs for initial examination of a document to determine whether it must be disclosed and to determine whether to withhold portions that are exempt from disclosure.

The fee schedule is as follows:

For Search & Review Hourly Conducted By______

Rate__

SES/COMMISSIONER

$ 105.56/hour (ES-maximum)

PROFESSIONAL

$ 88.29/hour (GG-14, Step 7)

CLERICAL

$ 43.33/hour (GG-9, Step 7)

Duplication Charge: $0.20/page Other Charges: Fees for non-standard search or duplication will be charged at the actual cost (e.g.

providing copying of audio tapes or conducting computer searches).

Minimum Fee: No fee will be charged unless the fee is greater than $25.00.

When to Pay Fees If we estimate that fees will not exceed $25.00 or you have stated in your request a higher amount that you are willing to pay, we assume your willingness to pay up to $25.00 or the amount specified, and you will be billed after we have completed your request.

If we estimate that fees will exceed $25.00 or any amount that has been stated by you in your request, we will not proceed with your request until we have notified you and obtained your agreement to pay the estimated fees.

If we estimate fees will exceed $250.00, you will be required to pay the estimated fees in advance before we proceed further with your request. If the actual fees to process your request are less than any advance payment you have made, you will be refunded the overpayment amount.

Fee Waivers A waiver or reduction of fees may be granted for furnishing documents if a requester, by fully addressing the eight factors in 10 CFR 9.41, clearly demonstrates that disclosure of the information 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.

SECTION 9.41 - REQUESTS FOR WAIVER OR REDUCTION OF FEES (a)(1) The NRC will collect fees for searching for, reviewing, and duplicating agency records, except as provided in § 9.39, unless a requester submits a request in writing for a waiver or reduction of fees. To ensure that there will be no delay in the processing of Freedom of Information Act requests, the request for a waiver or reduction of fees should be included in the initial Freedom of Information Act request letter.

(2) Each request for a waiver or reduction of fees should be addressed to the Office of the Chief Information Officer, and sent using an appropriate method listed in § 9.6.

(b) A person requesting the NRC to waive or reduce search, review, or duplication fees will -

(1) Describe the purpose for which the requester intends to use the requested information; (2) Explain the extent to which the requester will extract and analyze the substantive content of the agency record; (3) Describe the nature of the specific activity or research in which the agency records will be used and the specific qualifications the requester possesses to utilize information for the intended use in such a way that it will contribute to public understanding; (4) Describe the likely impact on the public's understanding of the subject as compared to the level of understanding of the subject existing before disclosure; (5) Describe the size and nature of the public to whose understanding a contribution will be made; (6) Describe the intended means of dissemination to the general public; (7) Indicate if public access to information will be provided free of charge or provided for an access fee or publication fee; and (8) Describe any commercial or private interest the requester or any other party has in the agency records sought (c) The NRC will waive or reduce fees, without further specific information from the requester if, from information provided with the request for agency records under § 9.23(b), it can determine that disclosure of the information in the agency records is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the Federal Government and is not primarily in the commercial interest of the requester.

(d) In making a determination regarding a request for a waiver or reduction of fees, the NRC will consider the following factors:

(1) How the subject of the requested agency records concerns the operations or activities of the Federal Government; (2) How the disclosure of the information is likely to contribute significantly to public understanding of Federal Government operations or activities; (3) The extent to which the requester has a commercial interest that would be furthered by the disclosure of the requested agency records; and whether that commercial interest exceeds the public interest in disclosure.

(e) The Freedom of Information Act and Privacy Act Officer will make an initial determination whether a request for a waiver or reduction of fees meets the requirements of this section. The Freedom of Information Act and Privacy Act Officer will inform requesters whenever their request for a waiver or reduction of fees is denied and will inform them of their appeal rights under

§ 9.29.

ATTACHMENT I-2-2B UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001

[TODAY DATE]

[REQUESTNUMBER]

{if we have an email address, add}: sent via email to [RQEMAIL]

[RFNAME] [RLNAME]

[COMPANY]

[STREET1]

[STREET2]

[CITY], [STATE] [ZIPCODE]

Dear [RFNAME] [RLNAME]:

The U.S. Nuclear Regulatory Commission (NRC) received your Freedom of Information Act (FOIA) request on [RECEIVEDDATE].

Your request seeks access to [REQUESTDESCRIPTION]. It has been assigned the following reference number that you should use in any future communications with us about your request:

[REQUESTNUMBER].

To ensure the most equitable treatment possible of all requesters, the NRC processes requests on a first-in, first-out basis, using a multiple track system based upon the estimated time it will take to process a request. Based on your description of records, we have placed your request in the {simple} {complex} track. The statutory due date for our response is {insert date that is 20 or 30 working days from the received date, depending on track selected}. {If the request is in the complex track, then add the following:} Please note that we placed your request in the complex track, estimating that completion will take more than 20 working days, because we expect to:

search for, collect, and appropriately examine a voluminous amount of records consult with multiple program and/or regional offices within the NRC consult with other Federal agencies having equities in the records refer records to a licensee or other business submitter undertake a declassification review of classified records; or retrieve records from Federal Records Centers or other off-site facilities.

We will try our best to complete work on your request by the statutory due date; however, the actual date of completion might be before or after the statutory due date based on the complexity of all the requests in the {simple} {complex} track. To process your request promptly, you may wish to narrow the scope of your request to limit the number of responsive records. {If the request is in the complex track, then add the following:} You have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison

[RLNAME], [RFNAME]

or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

For purposes of assessing fees in accordance with our regulations (10 CFR 9.33), we have placed your request in the following category: {Requester Category}. If applicable, you will be charged appropriate fees for: {search} {review} and {duplication}. Unless you state otherwise, we expect to provide our response, including any released records, electronically. You will not incur duplication charges if we respond to you electronically.

A sheet has been enclosed that explains in detail the fee charges that may be applicable.

Please do not submit any payment unless we notify you to do so.

You have requested that fees be waived for your request and I have determined that your justification is adequate; fees will be waived for your request.

I have determined that your request for a waiver of fees does not meet the criteria required under 10 CFR 9.41 (copy enclosed) for the reasons indicated here: {briefly state the reasons for the denial}. You may appeal this determination. Any such appeal must be made in writing within 90 calendar days by addressing the appeal to the Executive Director for Operations. You may submit your appeal directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. You also have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

You have not provided us with the information we need to make a fee waiver determination. The NRC requires that a person submitting such a request address each of the factors in 10 CFR 9.41(b)(1)-(8) (copy enclosed). If you still wish to pursue a fee waiver request, please submit supplemental information addressing each of the fee waiver factors, which we must receive on or before {insert date that is five working days from the date of this letter} and I will then make a determination on your request. Please note that, because I have not yet made a determination on your fee waiver request, this is not an appealable decision.

To protect the privacy of individuals about whom we maintain records, our regulations (10 CFR 9.54) require that individuals seeking records about themselves provide verification of their identity by a signature, address, date of birth, employee identification number (if any), and one other item of identification such as a copy of a drivers license. Individuals may also provide either a notarized statement, or a statement made under penalty of perjury in accordance with 28 U.S.C. 1746, swearing to, or affirming, their identity and to the fact that they understand that

[RLNAME], [RLNAME]

penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Form 507 is enclosed for your use; please complete sections 4, 5 and 7.

The proper identification, or a statement that you want this request processed as if it was received from any other member of the public, must be received no later than {insert date that is 15 calendar days of the date of this letter}. You may submit this documentation directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. If we do not hear from you regarding this matter by {insert date that is 15 calendar days of the date of this letter}, we will administratively close our file on this request.

Persons requesting records pertaining to another individual, in addition to furnishing verification of that individuals identity, must have the individuals written consent for the records to be disclosed to them. A valid consent may be in the form of either a notarized statement, or a statement made under penalty of perjury in accordance with 28 U.S.C. 1746. In the consent, individuals swear or affirm their identity and to the fact that they understand that penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Form 507 is enclosed for your use; please complete sections 4 (about the individual whose records you are requesting), 6 and 7. If you do not provide the individuals identity verification and written consent, information will be disclosed to you only if it is deemed that disclosure will not constitute an invasion of the privacy of the individual about whom your request pertains. In some instances, depending on the sensitivity of the type of records in which the kind of information you are seeking would be found, we will neither confirm nor deny the existence of records pertaining to the person because to even publicly acknowledge the fact that there is that type of record about the person could be considered an invasion of the persons privacy. The proper identity verification and consent, or a statement that you want this request processed as if it was received from any other member of the public, must be received no later than {insert date that is 15 calendar days of the date of this letter}. You may submit this documentation directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. If we do not hear from you regarding this matter by {insert date that is 15 calendar days of the date of this letter}, we will administratively close our file on this request.

Requesters who demonstrate a compelling need may be eligible for expedited processing.

Under 10 CFR 9.25(e), a request for expedited processing may be granted only when the requester shows a compelling need based on meeting either of two criteria: when failure to obtain the records quickly could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or, if the requester is a person primarily engaged in disseminating information, by demonstrating that an urgency to inform the public about the actual or alleged Federal Government activity exists. I have carefully reviewed your request for expedited processing and determined that:

Your request for expedited processing is granted and your request will be moved to the front of the processing queue.

[RLNAME] [RFNAME]

Your stated reason for requesting expedited processing does not show sufficient compelling need because it appears that there is no imminent threat to the life or physical safety of an individual; accordingly, your request is denied.

Although you are a person primarily engaged in disseminating information, the subject of your request, {briefly describe the records}, does not appear to meet the threshold regarding urgency to inform the public about an actual or alleged Federal Government activity; accordingly, your request is denied.

You have not included a statement certifying that the compelling need you have given is true and correct to the best of your knowledge and belief, nor have you put forward sufficient cause for this requirement to be waived as a matter of the NRCs discretion.

You have not provided us with the information I need to make a determination on your request for expedited processing.

{If the 4rd or 5th box is checked:} If you still wish to pursue a request for expedited processing, please submit the required self-certification and/or supplemental information addressing whichever criterion you believe applicable, which we must receive on or before {insert date that is five working days from the date of this letter}, and I will then make a determination on your expedited processing request. Please note that, because I have not yet made a determination on your expedited processing request, this is not an appealable decision.

{If the 2nd or 3rd box is checked:} You may appeal this determination. Any such appeal must be made in writing within 90 calendar days by addressing the appeal to the Executive Director for Operations. You may submit your appeal directly through the NRC Public Access Link (PAL), at https://foia.nrc-gateway.gov/app/PalLogin.aspx, by email to FOIA.Resource@nrc.gov, or by letter addressed to the NRC, Mail Stop T6-A60M, Washington, D.C. 20555-0001. You also have the right to seek assistance, or seek dispute resolution services, from the NRCs FOIA Public Liaison or the Office of Government Information Services (OGIS). You may contact the NRCs FOIA Public Liaison by emailing your inquiry to FOIAPublic.Liaison@nrc.gov, or by calling (301) 415-0717. You may contact OGIS by email to ogis@nara.gov, by fax to (202) 741-5789, or by letter addressed to OGIS, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.

[PRIMARYUSERNAME] (Contractor, Pathfinder Consultants, LLC), the person assigned responsibility for your request in support of the NRCs Office of the Chief Information Officer, may be reached by telephone at [PRIMARYUSERPHONE] or via email to

[PRIMARYUSEREMAIL]. Should you wish to check on the status of your request at any time, please refer to https://foia.nrc-gateway.gov/app/Home.aspx.