Electronic Freedom of Information Act: Implementation

Proposed Rules

Federal Register

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Proposed Rules

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NUCLEAR REGULATORY COMMISSION

10 CFR Part 9

RIN 3150-AF78

Electronic Freedom of Information Act: Implementation

AGENCY: Nuclear Regulatory Commission.

ACTION: Proposed rule.

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SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend

its regulations to implement the Electronic Freedom of Information Act

Amendments of 1996 (EFOIA), which are designed to bring the Freedom of

Information Act (FOIA) into the information and electronic age by

clarifying that FOIA applies to records maintained in hardcopy or

electronic format. The proposed rule would implement statutory

provisions of the law that broaden public access to government

information by placing more records on-line and expanding the role of

the agency public document room. The proposed rule would implement

statutory amendments that recognize the difficulty in responding to

requests in the 10 working days formerly required and extend that time

to 20 working days. It also provides procedures for agencies to discuss

ways of tailoring requests to improve responsiveness. The proposed rule

would amend NRC's FOIA regulations to comply with the requirements of

the new statute. Certain other changes have been made to correct

administrative errors and to update or remove obsolete information.

DATES: Submit comments by October 6, 1997. Comments received after this

date will be considered if it is practical to do so, but the NRC is

able to assure consideration only for comments received on or before

this date.

ations to comply with the requirements of

the new statute. Certain other changes have been made to correct

administrative errors and to update or remove obsolete information.

DATES: Submit comments by October 6, 1997. Comments received after this

date will be considered if it is practical to do so, but the NRC is

able to assure consideration only for comments received on or before

this date.

ADDRESSES: Send comments to: Secretary, U.S. Nuclear Regulatory

Commission, Washington, DC 20555-0001, Attention: Rulemakings and

Adjudications Staff.

Hand deliver comments to: 11555 Rockville Pike, Rockville,

Maryland, between 7:30 am and 4:15 pm Federal workdays.

For information on submitting comments electronically, see the

discussion under Electronic Access in the Supplementary Information

section.

Examine comments received at: The NRC Public Document Room, 2l20 L

Street, NW. (Lower Level), Washington, DC.

FOR FURTHER INFORMATION CONTACT: Russell A. Powell, Chief, Freedom of

Information/Local Public Document Room Branch, Office of Chief

Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC

20555-0001, telephone: (301) 415-7169, e-mail: RAP[email protected].

SUPPLEMENTARY INFORMATION:

Background Information

On October 2, 1996, the President signed into law the Electronic

Freedom of Information Act Amendments of 1996 (EFOIA), Public Law 231,

110 Stat. 3048 (1996). EFOIA includes provisions authorizing or

requiring agencies to promulgate regulations implementing certain of

its requirements, including the tracking of Freedom of Information Act

(FOIA) requests, the aggregation of FOIA requests, and the expedited

processing of FOIA requests. In addition, EFOIA changes the time limit

for responding to a FOIA request from ten to twenty working days, the

requirements for reporting FOIA activities to Congress, and the cases

in which an agency may extend the time within which it will respond to

a FOIA request

f Freedom of Information Act

(FOIA) requests, the aggregation of FOIA requests, and the expedited

processing of FOIA requests. In addition, EFOIA changes the time limit

for responding to a FOIA request from ten to twenty working days, the

requirements for reporting FOIA activities to Congress, and the cases

in which an agency may extend the time within which it will respond to

a FOIA request. EFOIA also includes provisions regarding the

availability of documents in electronic form, the treatment of

electronic records, and the establishment of ``electronic reading

rooms.''

The Nuclear Regulatory Commission proposes to amend its regulation

implementing the FOIA, 10 CFR Part 9. The proposed amendments would

revise the NRC's FOIA regulations to comply with EFOIA.

New Provisions

A. New and Revised Definitions

The proposed rule would establish a new title, Freedom of

Information Act and Privacy Act Officer, for the designated official

responsible for administration of the FOIA and Privacy Act in lieu of

using the organizational title of the responsible individual which may

not be as indicative of these specific responsibilities. A new

definition is proposed to be added to 10 CFR 9.13 to reflect this new

title.

The definition of record would be amended to add ``any information

that would be an agency record subject to the requirements of (5 USC

552) when maintained by an agency in any format, including an

electronic format'' and to read ``Record also includes a book, * * *

drawing, diagram, * * *''.

The definition of review time would be revised to remove from the

definition the period spent ``excising from the records those portions

which are to be withheld.''

B. Electronic Records

ncy record subject to the requirements of (5 USC

552) when maintained by an agency in any format, including an

electronic format'' and to read ``Record also includes a book, * * *

drawing, diagram, * * *''.

The definition of review time would be revised to remove from the

definition the period spent ``excising from the records those portions

which are to be withheld.''

B. Electronic Records

Section 3 of EFOIA amends 5 U.S.C. 552(f)(2) to define ``agency

record'' for purposes of FOIA as including ``any information that would

be an agency record subject to the requirements of (5 U.S.C. 552) when

maintained by an agency in any format, including an electronic

format.'' Section 552(f) thus clarifies that the term ``agency record''

includes information stored in any computer readable format as well as

traditional paper documents. The proposed regulations would amend 10

CFR 9.13 to specifically include information in an electronic format

within the definition of the term ``agency record.'' 10 CFR 9.13

specifically includes in the definition of ``search'' time spent

reviewing records by automated means as well as manually.

C. Electronic Reading Room

Section 4 of EFOIA amends 5 U.S.C. 552(a)(2), which previously

required agencies to make available for public inspection and copying

certain information, such as agency opinions and policy statements,

administrative staff manuals and staff instructions that affect a

member of the public. The new law expands these categories to include

agency records that have been made publicly available and are likely to

be the subject of repetitive public requests, as well as a general

index of these frequently sought documents. The amendments further

provide that section 552(a)(2) records created on or after November 1,

1996, must be made

f instructions that affect a

member of the public. The new law expands these categories to include

agency records that have been made publicly available and are likely to

be the subject of repetitive public requests, as well as a general

index of these frequently sought documents. The amendments further

provide that section 552(a)(2) records created on or after November 1,

1996, must be made

available by computer telecommunications within one year after such

date, or if computer telecommunications have not been established, by

other electronic means. The general index of these records is to be

available by computer telecommunications by December 31, 1999. These

new requirements, as well as the on-line address for NRC's homepage on

the Internet, would be incorporated in 10 CFR 9.21 (c)(6) and (f).

Finally, where material has been withheld in electronic records

made available to the public, the extent of the deletions must now be

indicated on the portion of the record made available or published and,

where technically possible, must be indicated at the place in the

record where the deletion occurred. This new requirement would be

included at 10 CFR 9.19(d).

D. Honoring Form or Format of Requests

EFOIA, 5 U.S.C. 552(a)(3) contains three significant new

provisions. First, 5 U.S.C. 552(a)(3)(B) requires agencies, when making

records available to the public, to do so ``in any form or format

requested by the person if the record is readily reproducible by the

agency'' in the requested manner. This new requirement would be

included in 10 CFR 9.15. Second, 5 U.S.C. 552 (a)(3)(C) makes it clear

that when an FOIA request is received, an agency should not only search

for hard copies, but should also search for the records in their

electronic form. This new requirement would be included in 10 CFR 9.15.

Finally, a ``search'' under the amendments means to review, manually

``or by automated means,'' agency records for the purpose of locating

those records which are responsive to a request

that when an FOIA request is received, an agency should not only search

for hard copies, but should also search for the records in their

electronic form. This new requirement would be included in 10 CFR 9.15.

Finally, a ``search'' under the amendments means to review, manually

``or by automated means,'' agency records for the purpose of locating

those records which are responsive to a request. This new requirement

would be incorporated in 10 CFR 9.13 in the definition of ``search

time.''

E. Time Limits for Responding to Requests

In recognition of the fact that 10 working days is not a realistic

timeframe, the EFOIA amendments, 5 U.S.C. 552(a)(6)(A)(i), extend the

time to respond to a request from 10 to 20 working days. 10 CFR 9.25

would be amended to reflect the change in the time limits for initial

disclosure determination from 10 to 20 working days effective October

2, 1997.

F. Multitrack Processing of Requests

However, Congress recognized that even with the increase in time to

process requests, many agencies may not be prepared to meet a 20

working-day deadline for some requests. Therefore, to help ensure

timely agency responses to requests, the new law, 5 U.S.C.

552(a)(6)(D)(i), authorizes agencies to establish separate systems

within the agency for handling simple and complex requests. Under these

types of systems, called ``multitrack processing,'' requests would be

categorized based on the amount of agency effort involved in processing

the request. This would replace the current first-in, first out

approach generally employed at the NRC. Agencies must still exercise

due diligence within each track. The new law, 5 U.S.C.

552(a)(6)(D)(ii), also requires agencies to give requesters the

opportunity to limit the scope of their requests to qualify for

processing under a faster track. This provision is intended to permit

more requests to be completed more quickly by providing an incentive

for requesters to frame narrower requests for fewer documents

l exercise

due diligence within each track. The new law, 5 U.S.C.

552(a)(6)(D)(ii), also requires agencies to give requesters the

opportunity to limit the scope of their requests to qualify for

processing under a faster track. This provision is intended to permit

more requests to be completed more quickly by providing an incentive

for requesters to frame narrower requests for fewer documents. These

new provisions would be incorporated in NRC's proposed three-track

system described in 10 CFR 9.25(c).

The first track is for simple requests or requests of moderate

complexity that are expected to be completed within 20 working days

(e.g., a request that does not involve a large volume of documents,

retrieval of documents from regional offices, or extensive coordination

between NRC offices).

The second track is for requests involving unusual circumstances

that are expected to take between 21-30 working days to complete.

The third track is for requests that, because of their unusual

volume or complexity, are expected to take more than 30 working days to

complete.

Upon receipt of a request, NRC would notify the requester of the

track in which the request has been placed for processing and the

estimated time for completion. Should subsequent information

substantially change the estimated time to process the request, the

requester would be notified telephonically or in writing. A requester

may modify the request to allow it to be processed under a different

track for a faster response.

G. Unusual Circumstances

f the

track in which the request has been placed for processing and the

estimated time for completion. Should subsequent information

substantially change the estimated time to process the request, the

requester would be notified telephonically or in writing. A requester

may modify the request to allow it to be processed under a different

track for a faster response.

G. Unusual Circumstances

Even with use of multitrack processing, Congress recognized that in

some circumstances the statutory response time will not be met. The

EFOIA retains the provisions for agencies to extend the initial 20

working day response time for an initial request, or the 20 working day

response time for an appeal, an additional 10 working days in ``unusual

circumstances.'' Agencies must provide the requester with a written

justification for the extension that contains the date of the expected

agency response. The amendments would retain the definition of

``unusual circumstances'' as time needed to search for and collect the

requested records from field facilities or other establishments that

are separate from the office processing the request; the need to search

for, collect and appropriately examine a voluminous amount of material

demanded in a single request; and the need for consultation with

another agency having a substantial interest in the determination of

the request or among two or more parts of the agency having substantial

interest in the request. These consultations must be conducted ``with

all practicable speed.'' 5 U.S.C. 552(a)(6)(B)(iii).

H. Exceptional Circumstances

mine a voluminous amount of material

demanded in a single request; and the need for consultation with

another agency having a substantial interest in the determination of

the request or among two or more parts of the agency having substantial

interest in the request. These consultations must be conducted ``with

all practicable speed.'' 5 U.S.C. 552(a)(6)(B)(iii).

H. Exceptional Circumstances

In addition to extensions under unusual circumstances, the EFOIA

amendments, 5 U.S.C. 552(a)(6)(B)(ii), authorize the agency to

negotiate a response time with a requester that may exceed the

statutory maximum (20 working days plus a 10 working-day extension) for

those FOIA requests that the agency determines cannot be processed

within the statutory time limits. The agency must offer the requester

an opportunity to limit the scope of the request so that it may be

processed within the prescribed 20 working days. Congress asserted that

this process for negotiated time limits reflects the policy that FOIA

works best when requesters and agencies work together to define and

fulfill reasonable requests. This new provision would be incorporated

in 10 CFR 9.25(c).

I. Aggregation of Requests

The EFOIA amendments, 5 U.S.C. 552(a)(6)(B)(iv), authorize agencies

to promulgate regulations that allow for the aggregation of FOIA

requests by the same requester or by a group of requesters acting

together. Aggregation may occur if the agency ``reasonably believes''

that these multiple requests do indeed constitute a single request.

This new provision would be implemented in 10 CFR 9.39(e).

J. Requests for Expedited Processing

6)(B)(iv), authorize agencies

to promulgate regulations that allow for the aggregation of FOIA

requests by the same requester or by a group of requesters acting

together. Aggregation may occur if the agency ``reasonably believes''

that these multiple requests do indeed constitute a single request.

This new provision would be implemented in 10 CFR 9.39(e).

J. Requests for Expedited Processing

The EFOIA amendments, 5 U.S.C. 552(a)(6)(E)(i), require agencies to

promulgate regulations to provide for ``expedited processing'' in cases

where the person requesting the records demonstrates a ``compelling

need'' and in other cases where the agency determines expedited

processing is warranted. The amendments define ``compelling need'' in

two ways. One is where ``a failure to obtain requested

records on an expedited basis * * * could reasonably be expected to

pose an imminent threat to the life or physical safety of an

individual.'' The other is where a ``person primarily engaged in

disseminating information'' to the public has ``an urgency to inform

the public concerning actual or alleged Federal Government activity.''

The House Committee report explaining the legislation states that a

person ``primarily engaged'' in the business of dissemination of

information ``should not include individuals who are engaged only

incidentally in the dissemination of information,'' but requires that

``information dissemination be the main activity of the requester,

although it need not be their sole occupation.'' A requester who is

``only incidentally'' involved in information dissemination, in

addition to other activities, would not satisfy this requirement

rmation ``should not include individuals who are engaged only

incidentally in the dissemination of information,'' but requires that

``information dissemination be the main activity of the requester,

although it need not be their sole occupation.'' A requester who is

``only incidentally'' involved in information dissemination, in

addition to other activities, would not satisfy this requirement.

The report further explains that the term ``urgency to inform,''

one of the qualifying elements for expedited processing, must involve a

matter of ``current exigency to the American public'' such that any

reasonable person could conclude that delaying a response to a FOIA

request would compromise a ``significant recognized interest.'' The

public's right to know, while ``significant and important,'' would not

stand alone as sufficient to satisfy this standard. Agencies will have

to make both ``factual and subjective judgments'' about situations

cited by requesters as reasons for expedited processing and must

demonstrate ``fairness and diligence'' in exercising their discretion.

Requesters must provide detailed explanations to support their

expedited requests.

The EFOIA amendments, 5 U.S.C. 552(a)(6)(E)(ii), require that

agency regulations provide that requesters be given notice within 10

calendar days after the date of the request as to the determination

whether it qualifies for expedited processing. Once expedited

processing is granted, agencies must process it ``as soon as

practicable'' (5 U.S.C. 552 (a)(6)(E)(iii)). Any administrative appeal

to a denial of expedited processing must be handled with ``expeditious

consideration'' (5 U.S.C. 552 (a)(6)(E)(ii)(II)). If an agency denies

the request for expedited processing or fails to act upon the request

within the prescribed 10 calendar days, petitioner may seek judicial

review. The NRC would implement the EFOIA requirements for expedited

processing at 10 CFR 9.25(e) and 9.29.

K. Estimates of the Volume of Materials Denied

be handled with ``expeditious

consideration'' (5 U.S.C. 552 (a)(6)(E)(ii)(II)). If an agency denies

the request for expedited processing or fails to act upon the request

within the prescribed 10 calendar days, petitioner may seek judicial

review. The NRC would implement the EFOIA requirements for expedited

processing at 10 CFR 9.25(e) and 9.29.

K. Estimates of the Volume of Materials Denied

EFOIA, 5 U.S.C. 552(a)(6)(F), requires agencies to make a

reasonable effort to estimate the volume of any requested record

material that is denied in whole or in part, and to provide the

estimate to the requester unless providing such estimate would harm an

interest protected by a FOIA exemption. This new requirement would be

implemented at 10 CFR 9.19(c).

L. Annual Report to Congress

The EFOIA, 5 U.S.C. 552(e), amended the annual requirements for

reporting agency FOIA activities to Congress. On or before February 1

of each year beginning in 1999, agencies must submit to the Attorney

General an annual report that covers the preceding fiscal year and

includes the number of determinations made by the agency not to comply

with the requests for records made to the agency and the reasons for

those determinations; the number of appeals made by persons, the

results of those appeals, and the reason for the action upon each

appeal that results in a denial of information; a complete list of all

statutes that the agency used to authorize the withholding of

information under Section 552(b)(3), which exempts information that is

specifically exempted from disclosure by other statutes; a description

of whether a court has upheld the decision of the agency to withhold

information under each of those statutes cited, and a concise

description of the scope of any information upheld; the number of

requests for records pending before the agency as of September 30 of

the preceding year, and the median number of days that these requests

had been pending before the agency as of that date; the number of

requests for

s upheld the decision of the agency to withhold

information under each of those statutes cited, and a concise

description of the scope of any information upheld; the number of

requests for records pending before the agency as of September 30 of

the preceding year, and the median number of days that these requests

had been pending before the agency as of that date; the number of

requests for records received by the agency and the number of requests

the agency processed; the median number of days taken by the agency to

process different types of requests; the total amount of fees collected

by the agency for processing requests; the average amount of time that

the agency estimates as necessary, based on the past experience of the

agency, to comply with different types of requests; the number of full-

time staff of the agency devoted to the processing of requests for

records under this section; and the total amount expended by the agency

for processing these requests. The NRC would implement this amended

EFOIA reporting requirement in 10 CFR 9.45.

The amendments require each agency to make these annual reports

available to the public through a computer network, or by other

electronic means if computer networking is not a possibility for the

agency. The NRC has posted its annual report on its website on the

Internet that is accessible through the NRC homepage at:

http\\www.nrc.gov. The report is also available in the NRC Public

Document Room.

Electronic Access

h agency to make these annual reports

available to the public through a computer network, or by other

electronic means if computer networking is not a possibility for the

agency. The NRC has posted its annual report on its website on the

Internet that is accessible through the NRC homepage at:

http\\www.nrc.gov. The report is also available in the NRC Public

Document Room.

Electronic Access

Comments may be submitted electronically, in either ASCII text or

WordPerfect format (version 5.1 or later), by calling the NRC

Electronic Bulletin Board (BBS) on FedWorld or connecting to the NRC

interactive rulemaking web site, ``Rulemaking Forum.'' The bulletin

board may be accessed using a personal computer, a modem, and one of

the commonly available communications software packages, or directly

via Internet. Background documents on the rulemaking are also available

for downloading and viewing on the bulletin board.

If using a personal computer and modem, the NRC subsystem on

FedWorld can be accessed directly by dialing the toll free number: 1-

800-303-9672. Communication software parameters should be set as

follows: parity to none, data bits to 8, and stop bits to 1 (N,8,1).

Using ANSI or VT-100 terminal emulation, the NRC rulemaking subsystem

can then be accessed by selecting the ``Rules Menu'' option from the

``NRC Main Menu.'' For further information about options available for

NRC at FedWorld, consult the ``Help/Information Center'' from the ``NRC

Main Menu.'' Users will find the ``FedWorld Online User's Guides''

particularly helpful. Many NRC subsystems and databases also have a

``Help/Information Center'' option that is tailored to the particular

subsystem

g the ``Rules Menu'' option from the

``NRC Main Menu.'' For further information about options available for

NRC at FedWorld, consult the ``Help/Information Center'' from the ``NRC

Main Menu.'' Users will find the ``FedWorld Online User's Guides''

particularly helpful. Many NRC subsystems and databases also have a

``Help/Information Center'' option that is tailored to the particular

subsystem.

The NRC subsystem on FedWorld can also be accessed by a direct-dial

phone number for the main FedWorld BBS: 703-321-3339; Telnet via

Internet: fedworld.gov (192.239.93.3); File Transfer Protocol (FTP) via

Internet:ftp:fedworld.gov (192.239.92.205); and World Wide Web using:

http://www.fedworld.gov (this is the Uniform Resource Locator (URL)).

If using a method other than the toll-free number to contact

FedWorld, access the NRC subsystem from the main FedWorld menu by

selecting ``F--Regulatory, Government Administration and State

Systems,'' then selecting ``A--Regulatory Information Mall.'' At that

point, a menu will be displayed that has an option ``A--U.S. Nuclear

Regulatory Commission'' that will take you to the NRC Online Main Menu.

You can also go directly to the NRC Online area by

typing ``/go nrc'' at a FedWorld command line. If you access NRC from

FedWorld's Main Menu, then you may return to FedWorld by selecting the

``Return to FedWorld'' option from the NRC Online Main Menu. However,

if you access NRC at FedWorld by using NRC's toll-free number, then you

will have full access to all NRC systems, but you will not have access

to the main FedWorld system.

If you contact FedWorld using Telnet, you will see the NRC area and

menus, including the Rules Menu. Although you will be able to download

documents and leave messages, you will not be able to write comments or

upload files (comments). If you contact FedWorld using FTP, all files

can be accessed and downloaded but uploads are not allowed; all you

will see is a list of files without descriptions (normal Gopher look)

using Telnet, you will see the NRC area and

menus, including the Rules Menu. Although you will be able to download

documents and leave messages, you will not be able to write comments or

upload files (comments). If you contact FedWorld using FTP, all files

can be accessed and downloaded but uploads are not allowed; all you

will see is a list of files without descriptions (normal Gopher look).

An index file listing all files within a subdirectory, with

descriptions, is included. There is a 15-minute time limit for FTP

access.

Although FedWorld also can be accessed through the World Wide Web,

like FTP, that mode only provides access for downloading files and does

not display the NRC Rules Menu.

You may also access the NRC's interactive rulemaking web site

through the NRC home page (http://www.nrc.gov). This site provides the

same access as the FedWorld bulletin board, including the facility to

upload comments as files (any format), if your web browser supports

that function.

For more information on NRC bulletin boards call Mr. Arthur Davis,

Systems Integration and Development Branch, U.S. Nuclear Regulatory

Commission, Telephone: 301-415-5780; e-mail: AXD[email protected]. For

information about the interactive rulemaking site, contact Ms. Carol

Gallagher, Telephone: 301-415-6215; e-mail: [email protected].

Environmental Impact--Categorical Exclusion

The NRC has determined that this proposed rule is the type of

action described in categorical exclusion 10 CFR 51.22(c)(1).

Therefore, neither an environmental impact statement nor an

environmental assessment has been prepared for this proposed rule.

Paperwork Reduction Act Statement

This proposed rule does not contain a new or amended information

collection requirement subject to the Paperwork Reduction Act of 1995

(44 U.S.C. 3501 et seq.). Existing requirements were approved by the

Office of Management and Budget, approval number 3150-0043.

Public Protection Notification

vironmental assessment has been prepared for this proposed rule.

Paperwork Reduction Act Statement

This proposed rule does not contain a new or amended information

collection requirement subject to the Paperwork Reduction Act of 1995

(44 U.S.C. 3501 et seq.). Existing requirements were approved by the

Office of Management and Budget, approval number 3150-0043.

Public Protection Notification

The NRC may not conduct or sponsor, and a person is not required to

respond to, a collection of information unless it displays a currently

valid OMB control number.

Regulatory Analysis

This proposed rule would implement the EFOIA by amending 10 CFR

Part 9, Subpart A--Freedom of Information Act Regulations. This is an

administrative regulatory action that would make NRC's regulations

reflect the new provisions of the EFOIA. The proposed rule would not

have any adverse economic impact on any class of licensee or the NRC;

on the contrary, the proposed rule with its new provisions allowing

expedited and multitrack processing may provide some new and additional

benefit to those who may opt to use these regulations to obtain access

to NRC records and information.

This constitutes the regulatory analysis for this proposed rule.

Regulatory Flexibility Certification

As required by the Regulatory Flexibility Act (5 U.S.C. 605(b)),

the Commission certifies that this rule does not have a significant

economic impact on a substantial number of small entities. The

amendments to 10 CFR Part 9 are procedural in nature and are required

to implement the Electronic Freedom of Information Act Amendments of

1996 (EFOIA), 5 U.S.C. 552.

Backfit Analysis

The NRC has determined that the backfit rule 10 CFR 50.109 does not

apply to this proposed rule; therefore, a backfit analysis is not

required for this proposed rule because these amendments do not involve

any provisions that would impose backfits as defined in 10 CFR Chapter

I.

List of Subjects in 10 CFR Part 9

of Information Act Amendments of

1996 (EFOIA), 5 U.S.C. 552.

Backfit Analysis

The NRC has determined that the backfit rule 10 CFR 50.109 does not

apply to this proposed rule; therefore, a backfit analysis is not

required for this proposed rule because these amendments do not involve

any provisions that would impose backfits as defined in 10 CFR Chapter

I.

List of Subjects in 10 CFR Part 9

Criminal penalties, Freedom of information, Privacy, Reporting and

recordkeeping requirements, Sunshine Act.

For the reasons set out in the preamble and under the authority of

the Atomic Energy Act of 1954, as amended; the Energy Reorganization

Act of 1974, as amended; and 5 U.S.C. 552, 552a, and 553; the NRC is

proposing to adopt the following amendment of 10 CFR Part 9, Subpart

A--Freedom of Information Act Regulations.

PART 9--PUBLIC RECORDS

1. The authority citation for Part 9 continues to read as follows:

Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201);

sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).

Subpart A also issued under 5 U.S.C. 552; 31 U.S.C. 9701; Pub.

L. 99-570.

Subpart B is also issued under 5 U.S.C. 552a.

Subpart C also issued under 5 U.S.C. 552b.

2. In Sec. 9.8, paragraph (b) is revised to read as follows:

Sec. 9.8 Information collection requirements: OMB approval.

* * * * *

(b) The approved information collection requirements contained in

this part appear in Secs. 9.23, 9.29, 9.40, 9.41, 9.53, 9.54, 9.55,

9.65, 9.66, and 9.67.

3. In Part 9, Subpart A is revised to read as follows:

Subpart A--Freedom of Information Act Regulations

2. In Sec. 9.8, paragraph (b) is revised to read as follows:

Sec. 9.8 Information collection requirements: OMB approval.

* * * * *

(b) The approved information collection requirements contained in

this part appear in Secs. 9.23, 9.29, 9.40, 9.41, 9.53, 9.54, 9.55,

9.65, 9.66, and 9.67.

3. In Part 9, Subpart A is revised to read as follows:

Subpart A--Freedom of Information Act Regulations

Sec.

9.11 Scope of subpart.

9.13 Definitions.

9.15 Availability of records.

9.17 Agency records exempt from public disclosure.

9.19 Segregation of exempt information and deletion of identifying

details.

9.21 Publicly-available records.

9.23 Requests for records.

9.25 Initial disclosure determination.

9.27 Form and content of responses.

9.29 Appeal from initial determination.

9.31 Extension of time for response.

9.33 Search, review, and special service fees.

9.34 Assessment of interest and debt collection.

9.35 Duplication fees.

9.37 Fees for search and review of agency records by NRC personnel.

9.39 Search and duplication provided without charge.

9.40 Assessment of fees.

9.41 Requests for waiver or reduction of fees.

9.43 Processing requests for a waiver or reduction of fees.

9.45 Annual report to Congress.

Subpart A--Freedom of Information Act Regulations

Sec. 9.11 Scope of subpart.

This subpart prescribes procedures for making NRC records available

to the public for inspection and copying pursuant to the provisions of

the Freedom of Information Act (5 U.S.C. 552) and provides notice of

procedures for obtaining NRC records otherwise publicly available. This

subpart does not affect the dissemination or distribution of NRC-

originated, or NRC contractor-originated, information to the

public under any other NRC public, technical, or other information

program or policy.

Sec. 9.13 Definitions.

Agency record means a record in the possession and control of the

NRC that is associated with Government business. Agency record does not

include records such as--

t does not affect the dissemination or distribution of NRC-

originated, or NRC contractor-originated, information to the

public under any other NRC public, technical, or other information

program or policy.

Sec. 9.13 Definitions.

Agency record means a record in the possession and control of the

NRC that is associated with Government business. Agency record does not

include records such as--

(1) Publicly-available books, periodicals, or other 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 not required to be created or retained by the

NRC, and can be retained or discarded at the author's sole discretion,

or records of a personal nature that are not associated with any

Government business; or

(4) Non-substantive information in logs or schedule books of the

Chairman or Commissioners, uncirculated except for typing or recording

purposes.

Commercial-use request means a request made under Sec. 9.23(b) for

a use or purpose that furthers the commercial, trade, or profit

interests of the requester or the person on whose behalf the request is

made.

Direct costs mean the expenditures that an agency incurs in

searching for and duplicating agency records. For a commercial-use

request, direct costs include the expenditures involved in reviewing

records to respond to the request. Direct costs include the salary of

the employee category performing the work based on that basic rate of

pay plus 16 percent of that rate to cover fringe benefits and the cost

of operating duplicating machinery.

Duplication means the process of making a copy of a record

necessary to respond to a request made under Sec. 9.23. Copies may take

the form of paper copy, microform, audio-visual materials, disk,

magnetic tape, or machine readable documentation, among others

based on that basic rate of

pay plus 16 percent of that rate to cover fringe benefits and the cost

of operating duplicating machinery.

Duplication means the process of making a copy of a record

necessary to respond to a request made under Sec. 9.23. Copies may take

the form of paper copy, microform, audio-visual materials, disk,

magnetic tape, or machine readable documentation, among others.

Educational institution means an institution that operates a

program or programs of scholarly research. Educational institution

refers to a preschool, a public or private elementary or secondary

school, an institution of graduate higher education, an institution of

undergraduate higher education, an institution of professional

education, or an institution of vocational education.

Freedom of Information Act and Privacy Act Officer means the NRC

official designated to fulfill the responsibilities for implementing

and administering the Freedom of Information Act and Privacy Act as

specifically designated under this regulation.

Noncommercial scientific institution means an institution that is

not operated on a commercial basis, as the term ``commercial'' is

referred to in the definition of ``commercial-use request,'' and is

operated solely for the purpose of conducting scientific research, the

results of which are not intended to promote any particular product or

industry.

Office, unless otherwise indicated, means all offices, boards,

panels, and advisory committees of the NRC.

Record means any information that would be an agency record subject

to the requirements of the Freedom of Information Act when maintained

by the NRC in any format, including an electronic format. Record also

includes a book, paper, map, drawing, diagram, photograph, brochure,

punch card, magnetic tape, paper tape, sound recording, pamphlet,

slide, motion picture, or other documentary material regardless of form

or characteristics

be an agency record subject

to the requirements of the Freedom of Information Act when maintained

by the NRC in any format, including an electronic format. Record also

includes a book, paper, map, drawing, diagram, photograph, brochure,

punch card, magnetic tape, paper tape, sound recording, pamphlet,

slide, motion picture, or other documentary material regardless of form

or characteristics. Record does not include an object or article such

as a structure, furniture, a tangible exhibit or model, a vehicle, or

piece of equipment.

Representative of the news media means any person actively

gathering news for an entity that is organized and operated to publish

or broadcast news to the public. The term news means information that

is about current events or that would be of current interest to the

public. Examples of news media entities include television or radio

stations broadcasting to the public at large, and publishers of

periodicals (but only in those instances when they can qualify as

disseminators of ``news'') who make their products available for

purchase or subscriptions by the general public.

Review time means the period devoted to examining records retrieved

in response to a request to determine if they are in fact responsive,

and to determine whether they are exempt from disclosure in whole or in

part. Also, review time includes the period devoted to examining

records to determine which Freedom of Information Act exemptions are

applicable and identifying records or portions thereof to be disclosed.

Search time means the period devoted to reviewing, manually or by

automated means, agency records for the purpose of locating those

records which are responsive to a request. This includes a page-by-page

or line-by-line identification of responsive information within the

records.

Unusual circumstances mean--

(1) The need to search for and collect the requested records from

field facilities or other establishments that are separate from the

office processing the request;

, agency records for the purpose of locating those

records which are responsive to a request. This includes a page-by-page

or line-by-line identification of responsive information within the

records.

Unusual circumstances mean--

(1) The need to search for and collect the requested records from

field facilities or other establishments that are separate from the

office processing the request;

(2) The need to search for, collect, and appropriately examine a

voluminous amount of separate and distinct records which are demanded

in a single request; or

(3) The need for consultation, which will be conducted with all

practicable speed, with another agency having a substantial interest in

the determination of the request or among two or more components of the

NRC having substantial subject-matter interest therein.

Sec. 9.15 Availability of records.

The NRC will make available for public inspection and copying any

reasonably described agency record in the possession and control of the

NRC under the provisions of this subpart, and upon request by any

person. Records will be made available in any form or format requested

by a person if the record is readily reproducible by NRC in that form

or format. NRC will make reasonable efforts to maintain its records in

forms or formats that are reproducible. NRC will make reasonable

efforts to search for records in electronic form or format when

requested, except when these efforts would significantly interfere with

the operation of any of the NRC's automated information systems.

Records that the NRC routinely makes publicly available are described

in Sec. 9.21. Procedures and conditions governing requests for records

are set forth in Sec. 9.23.

Sec. 9.17 Agency records exempt from public disclosure.

(a) The following types of agency records are exempt from public

disclosure under Sec. 9.15:

(1) Records--

operation of any of the NRC's automated information systems.

Records that the NRC routinely makes publicly available are described

in Sec. 9.21. Procedures and conditions governing requests for records

are set forth in Sec. 9.23.

Sec. 9.17 Agency records exempt from public disclosure.

(a) The following types of agency records are exempt from public

disclosure under Sec. 9.15:

(1) Records--

(i) That are specifically authorized under criteria established by

an Executive order to be kept secret in the interest of national

defense or foreign policy, and

(ii) That are in fact properly classified pursuant to such

Executive order

(2) Records related solely to the internal personnel rules and

practices of the agency

(3) Records specifically exempted from disclosure by statute (other

than 5 U.S.C. 552b), provided that the statute--

(i) Requires that the matters be withheld from the public in a

manner that leaves no discretion on the issue; or

(ii) Establishes particular criteria for withholding or refers to

particular types of matters to be withheld

(4) Trade secrets and commercial or financial information obtained

from a person that are privileged or confidential

(5) Interagency or intra-agency memorandums or letters that would

not be available by law to a party other than an agency in litigation

with the agency

(6) Personnel and medical files and similar files, the disclosure

of which would constitute a clearly unwarranted invasion of personal

privacy

(7) Records or information compiled for law enforcement purposes,

but only to the extent that the production of these law enforcement

records or information--

ould

not be available by law to a party other than an agency in litigation

with the agency

(6) Personnel and medical files and similar files, the disclosure

of which would constitute a clearly unwarranted invasion of personal

privacy

(7) Records or information compiled for law enforcement purposes,

but only to the extent that the production of these law enforcement

records or information--

(i) Could reasonably be expected to interfere with enforcement

proceedings

(ii) Would deprive a person of a right to a fair trial or an

impartial adjudication

(iii) Could reasonably be expected to constitute an unwarranted

invasion of personal privacy;

(iv) Could reasonably be expected to disclose the identity of a

confidential source, including a State, local, or foreign agency or

authority, or any private institution which furnished information on a

confidential basis, and, in the case of a record or information

compiled by a criminal law enforcement authority in the course of a

criminal investigation, or by an agency conducting a lawful national

security intelligence investigation, information furnished by a

confidential source

(v) Would disclose techniques and procedures for law enforcement

investigations or prosecutions, or would disclose guidelines for law

enforcement investigations or prosecutions if the disclosure could

reasonably be expected to risk circumvention of the law; or

(vi) Could reasonably be expected to endanger the life or physical

safety of any individual;

(8) Matters contained in or related to examination, operating, or

condition reports prepared by, on behalf of, or for the use of any

agency responsible for the regulation or supervision of financial

institutions; or

(9) Geological and geophysical information and data, including

maps, concerning wells.

i) Could reasonably be expected to endanger the life or physical

safety of any individual;

(8) Matters contained in or related to examination, operating, or

condition reports prepared by, on behalf of, or for the use of any

agency responsible for the regulation or supervision of financial

institutions; or

(9) Geological and geophysical information and data, including

maps, concerning wells.

(b) Nothing in this subpart authorizes withholding of information

or limiting the availability of records to the public except as

specifically provided in this part, nor is this subpart authority to

withhold information from Congress.

(c) Whenever a request is made that involves access to agency

records described in paragraph (a)(7) of this section, the NRC may,

during only the time as that circumstance continues, treat the records

as not subject to the requirements of this subpart when--

(1) The investigation or proceeding involves a possible violation

of criminal law; and

(2) There is reason to believe that--

(i) The subject of the investigation or proceeding is not aware of

its pendency; and

(ii) Disclosure of the existence of the records could reasonably be

expected to interfere with enforcement proceedings.

Sec. 9.19 Segregation of exempt information and deletion of

identifying details.

(a) For records required to be made available under 5 U.S.C.

552(a)(2), the NRC shall delete information that is exempt under one or

more of the exemptions cited in Sec. 9.17. The amount of information

deleted will be indicated on the released portion of the record, unless

providing this indication would harm an interest protected by the

exemption(s) under which the matter has been withheld.

(a) For records required to be made available under 5 U.S.C.

552(a)(2), the NRC shall delete information that is exempt under one or

more of the exemptions cited in Sec. 9.17. The amount of information

deleted will be indicated on the released portion of the record, unless

providing this indication would harm an interest protected by the

exemption(s) under which the matter has been withheld.

(b) In responding to a request for information submitted under

Sec. 9.23, in which it has been determined to withhold exempt

information, the NRC shall segregate--

(1) Information that is exempt from public disclosure under

Sec. 9.17(a) from nonexempt information; and

(2) Factual information from advice, opinions, and recommendations

in predecisional records unless the information is inextricably

intertwined, or is contained in drafts, legal work products, and

records covered by the lawyer-client privilege, or is otherwise exempt

from disclosure.

(c) In denying a request for records, in whole or in part, NRC will

make a reasonable effort to estimate the volume of any information

requested that is denied and provide the estimate to the person making

the request, unless providing the estimate would harm an interest

protected by the exemption(s) under which the information has been

denied.

(d) When entire records or portions thereof are denied and

deletions are made from parts of the record by computer, the amount of

information deleted will be indicated on the released portion of the

record, unless providing this indication would harm an interest

protected by the exemption(s) under which the matter has been denied.

Sec. 9.21 Publicly-available records.

ation has been

denied.

(d) When entire records or portions thereof are denied and

deletions are made from parts of the record by computer, the amount of

information deleted will be indicated on the released portion of the

record, unless providing this indication would harm an interest

protected by the exemption(s) under which the matter has been denied.

Sec. 9.21 Publicly-available records.

(a) Publicly-available records of NRC activities described in

paragraphs (c) and (d) of this section are available through the

National Technical Information Service. Subscriptions to these records

are available on 48x microfiche and may be ordered from the National

Technical Information Service, 5285 Port Royal Road, Springfield, VA

22161. Single copies of NRC publications in the NUREG series, NRC

Regulatory Guides, and Standard Review Plans are also available from

the National Technical Information Service.

(b) For the convenience of persons who may wish to inspect without

charge or purchase copies of a record or a limited category of records

for a fee, publicly available records of the NRC's activities described

in paragraph (c) of this section are also made available at the NRC

Public Document Room. The NRC Public Document Room is located at 2120 L

Street, NW., Washington, DC, and is open between 7:45 a.m. and 4:15

p.m. on Monday through Friday, except Federal holidays.

(c) The following records of NRC activities are publicly available

at the NRC Public Document Room for public inspection and copying:

(1) Final opinions including concurring and dissenting opinions as

well as orders of the NRC issued as a result of adjudication of cases;

(2) Statements of policy and interpretations that have been adopted

by the NRC and have not been published in the Federal Register;

(3) Nuclear Regulatory Commission rules and regulations;

(4) Nuclear Regulatory Commission Manuals and instructions to NRC

personnel that affect any member of the public;

ssenting opinions as

well as orders of the NRC issued as a result of adjudication of cases;

(2) Statements of policy and interpretations that have been adopted

by the NRC and have not been published in the Federal Register;

(3) Nuclear Regulatory Commission rules and regulations;

(4) Nuclear Regulatory Commission Manuals and instructions to NRC

personnel that affect any member of the public;

(5) Copies of records that have been released to a person under the

Freedom of Information Act that, because of the nature of their subject

matter, the NRC determines have become or are likely to become the

subject of subsequent requests for substantially the same records.

(6) A general index of the records released under the FOIA.

(d) Current indexes to records that are made publicly available are

listed in NUREG-0540, ``Title of List of Documents Made Publicly

Available,'' which is published monthly. The records required to be

made available under 5 U.S.C. 552(a)(2) are included in this listing.

(e) Records made publicly available under paragraphs (c) (1), and

(2) of this section are also available for purchase through the

National Technical Information Service.

(f) By November 1, 1997, NRC will begin making records identified

in paragraph (c) of this section that were created after November 1,

1996, available by electronic means, including computer

telecommunications to the extent NRC has implemented its

telecommunications capability, unless the records have been promptly

published and copies offered for sale. Telecommunications access can be

obtained via the Internet by accessing the NRC Home Page on the

Internet at:http//www.nrc.gov/.

Sec. 9.23 Requests for records.

(a)(1) A person may request access to records routinely made

available by the NRC under Sec. 9.21 in person or in writing at the NRC

Public Document Room, 2120 L Street, NW., Washington, DC 20555.

lished and copies offered for sale. Telecommunications access can be

obtained via the Internet by accessing the NRC Home Page on the

Internet at:http//www.nrc.gov/.

Sec. 9.23 Requests for records.

(a)(1) A person may request access to records routinely made

available by the NRC under Sec. 9.21 in person or in writing at the NRC

Public Document Room, 2120 L Street, NW., Washington, DC 20555.

(i) Each record requested must be described in sufficient detail to

enable the Public Document Room to locate the record. If the

description of the record is not sufficient to allow the Public

Document Room staff to identify the record, the Public Document Room

will advise the requester to select the record from the indexes

published under Sec. 9.21(c)(6).

(ii) In order to obtain copies of records expeditiously, a person

may open an account at the Public Document Room with the private

contracting firm that is responsible for duplicating NRC records.

(2) A person may also order records routinely made available by the

NRC under Sec. 9.21 from the National Technical Information Service,

5285 Port Royal Road, Springfield, Virginia, 22161.

(b) A person may request agency records by submitting a request

authorized by 5 U.S.C. 552(a)(3) to the Freedom of Information Act and

Privacy Act Officer, Office of Chief Information Officer, U.S. Nuclear

Regulatory Commission, Washington, DC 20555. The request must be in

writing and clearly state on the envelope and in the letter that it is

a ``Freedom of Information Act request.'' The NRC does not consider a

request as received until it has been received and logged in by the

office of the Freedom of Information Act and Privacy Act Officer.

(1) A Freedom of Information Act request covers only agency records

that are in existence on the date the Freedom of Information Act and

Privacy Act Officer receives the request. A request does not cover

agency records destroyed or discarded before receipt of a request or

which are created after the date of the request.

by the

office of the Freedom of Information Act and Privacy Act Officer.

(1) A Freedom of Information Act request covers only agency records

that are in existence on the date the Freedom of Information Act and

Privacy Act Officer receives the request. A request does not cover

agency records destroyed or discarded before receipt of a request or

which are created after the date of the request.

(2) All Freedom of Information Act requests for copies of agency

records must reasonably describe the agency records sought in

sufficient detail to permit the NRC to identify the requested agency

records. Where possible, the requester should provide specific

information regarding dates, titles, docket numbers, file designations,

and other information which may help identify the agency records. If a

requested agency record is not described in sufficient detail to permit

its identification, the Freedom of Information Act and Privacy Act

Officer will contact the requester within 10 working days after receipt

of the request and inform the requester of the additional information

or clarification needed to process the request.

(3) Upon receipt of a request made under paragraph (b) of this

section, the NRC will provide written notification to the requester

that indicates the request has been received, the name and telephone

number of the NRC point of contact to find out the status of the

request, and other pertinent matters regarding the processing of the

request.

on

or clarification needed to process the request.

(3) Upon receipt of a request made under paragraph (b) of this

section, the NRC will provide written notification to the requester

that indicates the request has been received, the name and telephone

number of the NRC point of contact to find out the status of the

request, and other pertinent matters regarding the processing of the

request.

(4)(i) The NRC shall advise a requester that fees will be assessed

if--

(A) A request involves anticipated costs in excess of the minimum

specified in Sec. 9.39; and

(B) Search and duplication is not provided without charge under

Sec. 9.39; or

(C) The requester does not specifically state that the cost

involved is acceptable or acceptable up to a specified limit.

(ii) The NRC has discretion to discontinue processing a request

made under this paragraph (b) until--

(A) A required advance payment has been received;

(B) The requester has agreed to bear the estimated costs;

(C) A determination has been made on a request for waiver or

reduction of fees; or

(D) The requester meets the requirements of Sec. 9.39.

(c) If a requested agency record that has been reasonably described

is located at a place other than the NRC Public Document Room or NRC

headquarters, the NRC may, at its discretion, make the record available

for inspection and copying at the other location.

(d) Except as provided in Sec. 9.39--

(1) If the record requested under paragraph (b) of this section is

a record available through the National Technical Information Service,

the NRC shall refer the requester to the National Technical Information

Service; and

(2) If the requested record has been placed in the NRC Public

Document Room under Sec. 9.21, the NRC will inform the requester that

the record is in the Public Document Room and that the record may be

obtained in accordance with the procedures set forth in paragraph (a)

of this section or, if applicable, is available on line electronically.

to the National Technical Information

Service; and

(2) If the requested record has been placed in the NRC Public

Document Room under Sec. 9.21, the NRC will inform the requester that

the record is in the Public Document Room and that the record may be

obtained in accordance with the procedures set forth in paragraph (a)

of this section or, if applicable, is available on line electronically.

(e) The Freedom of Information Act and Privacy Act Officer will

promptly forward a Freedom of Information Act request made under

Sec. 9.23(b) for an agency record to the head of the office(s)

primarily concerned with the records requested, as appropriate. The

responsible office will conduct a search for the agency records

responsive to the request and compile those agency records to be

reviewed for initial disclosure determination and/or identify those

that have already been made publicly available in the Public Document

Room and Local Public Document Rooms.

Sec. 9.25 Initial disclosure determination.

(a) Time for initial disclosure determination. The NRC will notify

a requester within 20 working days of its determination. If the NRC

cannot act upon the request within this period, the NRC will provide

the requester with the reasons for the delay and provide a projected

response date.

(b) Extension of time limit in unusual circumstances. In unusual

circumstances, the NRC may extend the time limit prescribed in

paragraph (a) of this section by not more than 10 working days. The

extension may be made by written or telephonic notice to the person

making the request to explain the reasons for the extension and

indicate the date on which a determination is expected to be made.

``Unusual circumstances'' is limited to one or more of the following

reasons for delay:

(1) The need to search for and collect the requested records from

field facilities or other establishments that are separate from the

office processing the request;

he person

making the request to explain the reasons for the extension and

indicate the date on which a determination is expected to be made.

``Unusual circumstances'' is limited to one or more of the following

reasons for delay:

(1) The need to search for and collect the requested records from

field facilities or other establishments that are separate from the

office processing the request;

(2) The need to search for, collect, and appropriately examine a

voluminous amount of separate and distinct records which are demanded

in a single request; or

(3) The need for consultation, which will be conducted with all

practicable speed, with another agency having a substantial interest in

the determination of the request or among two or more components of the

NRC having substantial subject-matter interest therein.

(c) Exceptional circumstances. A requester may be notified in

certain exceptional circumstances, when it appears that a request

cannot be completed within the allowable time, and will be provided an

opportunity to limit the scope of the request so that it may be

processed in the time limit, or to agree to a reasonable alternative

time frame for processing. For purposes of this paragraph, the term

``exceptional

circumstances'' does not include delays that result from the normal

predictable workload of FOIA requests or a failure by the NRC to

exercise due diligence in processing the request. A requester's

unwillingness to agree to reasonable modification of the request or an

alternative time for processing the request may be considered as

factors in determining whether exceptional circumstances exist and

whether the agency exercised due diligence in responding to the

request.

(d) Multiple-Track processing. To ensure the most equitable

treatment possible of all requesters, the NRC will process requests on

a first-in, first-out basis, using multiple tracking systems based upon

the estimated time it will take to process the request.

(1) NRC uses a three-track system.

al circumstances exist and

whether the agency exercised due diligence in responding to the

request.

(d) Multiple-Track processing. To ensure the most equitable

treatment possible of all requesters, the NRC will process requests on

a first-in, first-out basis, using multiple tracking systems based upon

the estimated time it will take to process the request.

(1) NRC uses a three-track system.

(i) The first track is for requests of simple to moderate

complexity that are expected to be completed within 20 working days.

(ii) The second track is for requests involving unusual

circumstances that are expected to take between 21-30 working days to

complete (e.g. requests involving possible records from two or three

offices and/or various types of files of moderate volume, of which,

some are expected to be exempt)

(iii) The third track is for requests that, because of their

unusual volume or other complexity, are expected to take more than 30

working days to complete (e.g. requests involving several offices,

regional offices, another agency's records, classified records

requiring declassification review, records from businesses that are

required to be referred to the submitter for their proprietary review

prior to disclosure, records in large volumes which require detailed

review because of the sensitive nature of the records such as

investigative records or legal opinions and recordings of internal

deliberations of agency staff).

(2) Upon receipt of requests, NRC will notify requesters of the

track in which the request has been placed for processing and the

estimated time for completion. Should subsequent information

substantially change the estimated time to process a request, the

requester will be notified telephonically or in writing. A requester

may modify the request to allow it to be processed faster or to reduce

the cost of processing. Partial responses may be sent to requesters as

documents are obtained by the FOIA office from the supplying offices.

me for completion. Should subsequent information

substantially change the estimated time to process a request, the

requester will be notified telephonically or in writing. A requester

may modify the request to allow it to be processed faster or to reduce

the cost of processing. Partial responses may be sent to requesters as

documents are obtained by the FOIA office from the supplying offices.

(e) Expedited processing. (1) NRC may place a person's request at

the front of the queue for the appropriate track for that request upon

receipt of a written request that clearly demonstrates a compelling

need for expedited processing. For purposes of determining whether to

grant expedited processing, the term compelling need means--

(i) That a failure to obtain requested records on an expedited

basis could reasonably be expected to pose an imminent threat to the

life or physical safety of an individual; or

(ii) With respect to a request made by a person primarily engaged

in disseminating information, urgency to inform the public concerning

actual or alleged Federal Government activity.

(2) A person requesting expedited processing must include a

statement certifying the compelling need given to be true and correct

to the best of his or her knowledge and belief.

(3) The Freedom of Information Act and Privacy Act Officer will

make the initial determination whether to grant or deny a request for

expedited processing and will notify a requester within 10 calendar

days after the request has been received whether expedited processing

will be granted.

rtifying the compelling need given to be true and correct

to the best of his or her knowledge and belief.

(3) The Freedom of Information Act and Privacy Act Officer will

make the initial determination whether to grant or deny a request for

expedited processing and will notify a requester within 10 calendar

days after the request has been received whether expedited processing

will be granted.

(f) Disclosure Review. The head of the responsible office shall

review agency records located in a search under Sec. 9.23(b) to

determine whether the agency records are exempt from disclosure under

Sec. 9.17(a). If the head of the office determines that, although

exempt, the disclosure of the agency records will not be contrary to

the public interest and will not affect the rights of any person, the

head of the office may authorize disclosure of the agency records. If

the head of the office authorizes disclosure of the agency records, the

head of the office will furnish the agency records to the Freedom of

Information Act and Privacy Act Officer, who will notify the requester

of the determination in the manner provided in Sec. 9.27.

(g) Initial disclosure determinations on requests for records

located in offices under the Executive Director for Operations, the

office of the Chief Financial Officer, and the office of the Chief

Information Officer. Except as provided in paragraph (h) of this

section, if, as a result of the review specified in paragraph (f) of

this section, the head of the responsible office finds that agency

records should be denied in whole or in part, the head of the office

will submit that finding to the Freedom of Information Act and Privacy

Act Officer, who will, in consultation with the Office of the General

Counsel, make an independent determination whether the agency records

should be denied in whole or in part

aph (f) of

this section, the head of the responsible office finds that agency

records should be denied in whole or in part, the head of the office

will submit that finding to the Freedom of Information Act and Privacy

Act Officer, who will, in consultation with the Office of the General

Counsel, make an independent determination whether the agency records

should be denied in whole or in part. If the Freedom of Information Act

and Privacy Act Officer determines that the agency records sought are

exempt from disclosure and disclosure of the records is contrary to the

public interest and will adversely affect the rights of any person, the

Freedom of Information Act and Privacy Act Officer will notify the

requester of the determination in the manner provided in Sec. 9.27.

(h) Initial disclosure determinations on requests for records

located in offices other than offices under the Executive Director for

Operations. For agency records located in the office of a Commissioner

or in the Office of the Secretary of the Commission, the Assistant

Secretary of the Commission will make the initial determination to deny

agency records in whole or in part under Sec. 9.17(a) instead of the

Freedom of Information Act and Privacy Act Officer. For agency records

located in the Office of the General Counsel, the General Counsel will

make the initial determination to deny agency records in whole or in

part instead of the Freedom of Information Act and Privacy Act Officer.

For agency records located in the Office of the Inspector General, the

Assistant Inspector General for Investigations will make the initial

determination to deny agency records in whole or in part instead of the

Freedom of Information Act and Privacy Act Officer

initial determination to deny agency records in whole or in

part instead of the Freedom of Information Act and Privacy Act Officer.

For agency records located in the Office of the Inspector General, the

Assistant Inspector General for Investigations will make the initial

determination to deny agency records in whole or in part instead of the

Freedom of Information Act and Privacy Act Officer. If the Assistant

Secretary of the Commission, the General Counsel, or the Assistant

Inspector General for Investigations determines that the agency records

sought are exempt from disclosure and that their disclosure is contrary

to the public interest and will adversely affect the rights of any

person, the Assistant Secretary of the Commission, the General Counsel,

or the Assistant Inspector General for Investigations will furnish that

determination to the Freedom of Information Act and Privacy Act

Officer, who will notify the requester of the determination in the

manner provided in Sec. 9.27

(i) Records and information originated by another Federal agency.

If a requested record is located that was originated or contains

information originated by another Federal Government agency, or deals

with subject matter over which an agency other than the NRC has

exclusive or primary responsibility, the NRC will promptly refer the

record to that Federal Government agency for disposition or for

guidance regarding disposition.

(j) If the NRC does not respond to a request within the 20 working-

day period, or within the extended periods described in paragraph (e)

of this section, the requester may treat that delay as a denial of the

request and immediately appeal to the Executive

Director for Operations as provided in Sec. 9.29(a) or sue in a

district court as noted in Sec. 9.29(c).

Sec. 9.27 Form and content of responses.

the NRC does not respond to a request within the 20 working-

day period, or within the extended periods described in paragraph (e)

of this section, the requester may treat that delay as a denial of the

request and immediately appeal to the Executive

Director for Operations as provided in Sec. 9.29(a) or sue in a

district court as noted in Sec. 9.29(c).

Sec. 9.27 Form and content of responses.

(a) When the NRC has located a requested agency record and has

determined to disclose the agency record, the Freedom of Information

Act and Privacy Act Officer will promptly furnish the agency record or

notify the requester where and when the agency record will be available

for inspection and copying. The NRC will also advise the requester of

any applicable fees under Sec. 9.35. The NRC will routinely place

copies of non-sensitive agency records disclosed in response to Freedom

of Information Act requests in the NRC Public Document Room and on

microfiche in Local Public Document Rooms. Records will not be

routinely placed in the NRC Public Document Room and Local Public

Document Rooms that contain information personal to the requester,

matters that are not likely to be of public interest to anyone other

than the requester; or, that contain privileged or proprietary

information that should only be disclosed to the requester.

(b) When the NRC denies access to a requested agency record or

denies a request for expedited processing or for a waiver or reduction

of fees, the Freedom of Information Act and Privacy Act Officer will

notify the requester in writing. The denial will include as

appropriate--

(1) The reason for the denial;

(2) A reference to the specific exemption under the Freedom of

Information Act, or other appropriate reason, and the Commission's

regulations authorizing the denial;

(3) The name and title or position of each person responsible for

the denial of the request, including the head of the office

recommending denial of the record;

nial will include as

appropriate--

(1) The reason for the denial;

(2) A reference to the specific exemption under the Freedom of

Information Act, or other appropriate reason, and the Commission's

regulations authorizing the denial;

(3) The name and title or position of each person responsible for

the denial of the request, including the head of the office

recommending denial of the record;

(4) A statement stating why the request does not meet the

requirements of Sec. 9.41 if the request is for a waiver or reduction

of fees; and

(5) A statement that the denial may be appealed within 30 calendar

days from the date of the denial to the Executive Director for

Operations, to the Secretary of the Commission, or to the Inspector

General, as appropriate.

(c) The Freedom of Information Act and Privacy Act Officer will

maintain a copy of each letter granting or denying requested agency

records, denying a request for expedited processing, or denying a

request for a waiver or reduction of fees in accordance with the NRC

Comprehensive Records Disposition Schedule.

Sec. 9.29 Appeal from initial determination.

(a) A requester may appeal a notice of denial of a Freedom of

Information Act request for access to agency records, denial of a

request for waiver or reduction of fees, or denial of a request for

expedited processing under this subpart within 30 calendar days of the

date of the NRC's denial. For agency records denied by an Office

Director reporting to the Executive Director for Operations, the appeal

must be in writing and addressed to the Executive Director for

Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555.

For agency records denied by an Office Director reporting to the

Commission, the Assistant Secretary of the Commission, or the Advisory

Committee Management Officer and for a denial of a request for a waiver

or reduction of fees, or denial of a request for expedited processing,

the appeal must be in writing and addressed to the Secretary of the

Commission

ry Commission, Washington, DC 20555.

For agency records denied by an Office Director reporting to the

Commission, the Assistant Secretary of the Commission, or the Advisory

Committee Management Officer and for a denial of a request for a waiver

or reduction of fees, or denial of a request for expedited processing,

the appeal must be in writing and addressed to the Secretary of the

Commission. For agency records denied by the Assistant Inspector

General for Investigations, the appeal must be in writing and addressed

to the Inspector General. The appeal should clearly state on the

envelope and in the letter that it is an ``Appeal from Initial FOIA

Decision.'' The NRC does not consider an appeal that is not marked as

indicated in this paragraph as received until it is actually received

by the Executive Director for Operations, Secretary of the Commission,

or the Inspector General.

(b) The NRC will make a determination on any appeal made under this

section within 20 working days after the receipt of the appeal, except

an appeal of the denial of a request for expedited processing will be

determined within 10 working days after receipt of the appeal.

(c) (1) If the appeal is denied in whole or in part, the Executive

Director for Operations or a Deputy Director, the Secretary of the

Commission, or the Inspector General, as appropriate, will notify the

requester of the denial, explaining the exemptions relied upon and how

the exemptions apply to the agency records withheld.

(2) If, on appeal, the denial of a request for expedited processing

or for a waiver or reduction of fees for locating and reproducing

agency records is upheld in whole or in part, the Secretary of the

Commission will notify the person making the request of the decision to

sustain the denial, including a statement explaining why the request

does not meet the requirements of Sec. 9.25(e) (1) and (2) or

Sec. 9.41.

he denial of a request for expedited processing

or for a waiver or reduction of fees for locating and reproducing

agency records is upheld in whole or in part, the Secretary of the

Commission will notify the person making the request of the decision to

sustain the denial, including a statement explaining why the request

does not meet the requirements of Sec. 9.25(e) (1) and (2) or

Sec. 9.41.

(3) The Executive Director for Operations, or a Deputy Executive

Director, or the Secretary of the Commission, or the Inspector General

will inform the requester that the denial is a final agency action and

that judicial review is available in a district court of the United

States in the district in which the requester resides or has a

principal place of business, in which the agency records are situated,

or in the District of Columbia.

(d) The Executive Director for Operations, or a Deputy Executive

Director, or the Secretary of the Commission, or the Inspector General

will furnish copies of all appeals and written determinations on

appeals to the Freedom of Information Act and Privacy Act Officer.

Sec. 9.31 Extension of time for response.

(a) In unusual circumstances defined in Sec. 9.13, the NRC may

extend the time limits prescribed in Sec. 9.25 or Sec. 9.29 by not more

than 10 working days. The extension may be made by written notice to

the person making the request to explain the reasons for the extension

and indicate the date on which a determination is expected to be

dispatched.

(b) An extension of the time limits prescribed in Secs. 9.25 and

9.29 may not exceed a combined total of 10 working days per request,

unless a requester has agreed to an alternative time frame as described

in Sec. 9.25(c).

Sec. 9.33 Search, review, and special service fees.

to explain the reasons for the extension

and indicate the date on which a determination is expected to be

dispatched.

(b) An extension of the time limits prescribed in Secs. 9.25 and

9.29 may not exceed a combined total of 10 working days per request,

unless a requester has agreed to an alternative time frame as described

in Sec. 9.25(c).

Sec. 9.33 Search, review, and special service fees.

(a) The NRC charges fees for--

(1) Search, duplication, and review, when agency records are

requested for commercial use;

(2) Duplication of agency records provided in excess of 100 pages

when agency records are not sought for commercial use and the request

is made by an educational or noncommercial scientific institution, or a

representative of the news media;

(3) Search and duplication of agency records in excess of 100 pages

for any request not described in paragraphs (a) (1) and (2) of this

section;

(4) The direct costs of searching for agency records. The NRC will

assess fees even when no agency records are located as a result of the

search or when agency records that are located as a result of the

search are not disclosed; and

(5) Computer searches which includes the cost of operating the

Central Processing Unit for the portion of operating time that is

directly attributable to searching for agency records plus the

operator/programmer salary apportionable to the search.

(b) The NRC may charge requesters who request the following

services for the direct costs of the service:

(1) Certifying that records are true copies; or

(2) Sending records by special methods, such as express mail,

package delivery service, courier, and other means other than ordinary

mail.

(3) Producing or converting records to formats specified by a

requester other than ordinary copying processes that are readily

available in NRC.

Sec. 9.34 Assessment of interest and debt collection.

vice:

(1) Certifying that records are true copies; or

(2) Sending records by special methods, such as express mail,

package delivery service, courier, and other means other than ordinary

mail.

(3) Producing or converting records to formats specified by a

requester other than ordinary copying processes that are readily

available in NRC.

Sec. 9.34 Assessment of interest and debt collection.

(a) The NRC will assess interest on the fee amount billed starting

on the 31st day following the day on which the billing was sent in

accordance with NRC's regulations set out in Sec. 15.37 of this

chapter. The rate of interest is prescribed in 31 U.S.C. 3717.

(b) The NRC will use its debt collection procedures under part 15

of this chapter for any overdue fees.

Sec. 9.35 Duplication fees.

(a)(1) Charges for the duplication of records made available under

Sec. 9.21 at the NRC Public Document Room (PDR), 2120 L Street, NW.

(Lower Level), Washington, DC., by the duplicating service contractor

are as follows:

(i) Paper to paper reproduction is $0.08 per page standard size (up

to and including 11 x 17 inches reduced). Pages 11 x 17 inches are

$0.15 each. Pages larger than 11 x 17 inches, including drawings, are

$1.50 each. Pages greater than legal size, 8\1/2\ x 14 inches, and

smaller than or equal to 11 x 17 inches will be reduced to legal size

and reproduced for $0.08 per page, unless the order specifically

requests full size reproduction.

(ii) Microfiche to paper reproduction is $0.08 per page. Aperture

card blowbacks are $3.00 each (reduced size) or $5.00 (full size).

(iii) Microfiche or aperture card duplications are $0.75 each.

(iv) Rush processing is offered for standard size paper to paper

reproduction and blowbacks, excluding standing order documents and

pages reproduced from bound volumes. The charge is $0.15 per page.

(ii) Microfiche to paper reproduction is $0.08 per page. Aperture

card blowbacks are $3.00 each (reduced size) or $5.00 (full size).

(iii) Microfiche or aperture card duplications are $0.75 each.

(iv) Rush processing is offered for standard size paper to paper

reproduction and blowbacks, excluding standing order documents and

pages reproduced from bound volumes. The charge is $0.15 per page.

(v) Facsimile charges are: $0.30 per page--local calls; $0.50 per

page--U.S. long distance; and $1.50 per page--foreign long distance.

(2) Self-service duplicating machines are available at the Public

Document Room for the use of the public. Paper to paper copy is $0.08

per page. Microfiche to paper is $0.10 per page on the reader printers.

(3) A requester may submit mail-order requests for contractor

duplication of NRC records made by writing to the NRC Public Document

Room. The charges for mail-order duplication of records are the same as

those set out in paragraph (a)(1) of this section, plus mailing or

shipping charges.

(4) A requester may open an account with the duplicating service

contractor. A requester may obtain the name and address and billing

policy of the contractor from the NRC Public Document Room.

(5) Any change in the costs specified in this section will become

effective immediately pending completion of the final rulemaking that

amends this section to reflect the new charges. The Commission will

post the charges that will be in effect for the interim period in the

Public Document Room. The Commission will publish a final rule in the

Federal Register that includes the new charges within 15 working days

from the beginning of the interim period.

come

effective immediately pending completion of the final rulemaking that

amends this section to reflect the new charges. The Commission will

post the charges that will be in effect for the interim period in the

Public Document Room. The Commission will publish a final rule in the

Federal Register that includes the new charges within 15 working days

from the beginning of the interim period.

(b) The NRC will assess the following charges for copies of records

to be duplicated by the NRC at locations other than the NRC Public

Document Room located in Washington, DC or at local Public Document

Rooms:

(1) Sizes up to 8\1/2\ x 14 inches made on office copying

machines-- $0.20 per page of copy; and

(2) The charge for duplicating records other than those specified

in paragraphs (a) and (b) of this section is computed on the basis of

NRC's direct costs.

(c) In compliance with the Federal Advisory Committee Act, a

requester may purchase copies of transcripts of testimony in NRC

Advisory Committee proceedings, which are transcribed by a reporting

firm under contract with the NRC directly from the reporting firm at

the cost of reproduction as provided for in the contract with the

reporting firm. A requester may also purchase transcripts from the NRC

at the cost of reproduction as set out in paragraphs (a) and (b) of

this section.

(d) Copyrighted material may not be reproduced in violation of the

copyright laws. As such, requesters will be given the citation to any

copyrighted documents and a copy of the material will be placed in the

Public Document Room where it may be viewed by requesters.

(e) The cost for duplicating NRC records located in NRC Local

Public Document Rooms are established by the institutions maintaining

the NRC Local Public Document Room collections.

Sec. 9.37 Fees for search and review of agency records by NRC

personnel.

The NRC will charge the following hourly rates for search and

review of agency records by NRC personnel:

re it may be viewed by requesters.

(e) The cost for duplicating NRC records located in NRC Local

Public Document Rooms are established by the institutions maintaining

the NRC Local Public Document Room collections.

Sec. 9.37 Fees for search and review of agency records by NRC

personnel.

The NRC will charge the following hourly rates for search and

review of agency records by NRC personnel:

(a) Clerical search, review, and duplication at a salary rate that

is equivalent to a GG-7/step 5, plus 16 percent fringe benefits;

(b) Professional/managerial search, review, and duplication at a

salary rate that is equivalent to a GG-13/step 5, plus 16 percent

fringe benefits; and

(c) Senior executive or Commissioner search, review, and

duplication at a salary rate that is equivalent to an ES-3, plus 16

percent fringe benefits.

Sec. 9.39 Search and duplication provided without charge.

(a) The NRC will search for agency records requested under

Sec. 9.23(b), without charges when agency records are not sought for

commercial use and the records are requested by an educational or

noncommercial scientific institution, or a representative of the news

media.

(b) The NRC will search for agency records requested under

Sec. 9.23(b) without charges for the first two hours of search for any

request not sought for commercial use and not covered in paragraph (a)

of this section.

(c) The NRC will duplicate agency records requested under

Sec. 9.23(b) without charge for the first 100 pages of standard paper

copies, or the equivalent cost of 100 pages of standard paper copies

when providing the requester copies in microfiche or electronic form

such as computer disks, if the requester is not a commercial use

requester.

(d) The NRC may not bill any requester for fees if the cost of

collecting the fee would be equal to or greater than the fee itself.

charge for the first 100 pages of standard paper

copies, or the equivalent cost of 100 pages of standard paper copies

when providing the requester copies in microfiche or electronic form

such as computer disks, if the requester is not a commercial use

requester.

(d) The NRC may not bill any requester for fees if the cost of

collecting the fee would be equal to or greater than the fee itself.

(e) The NRC may aggregate requests in determining search and

duplication to be provided without charge as provided in paragraphs (a)

and (b) of this section, if the NRC finds a requester or group of

requesters acting in concert, have filed multiple requests that

actually constitute a single request, and that the requests involve

clearly-related matters.

Sec. 9.40 Assessment of fees.

(a) If the request is expected to require the NRC to assess fees in

excess of $25 for search and/or duplication, the NRC will notify the

requester that fees will be assessed unless the requester has indicated

in advance his or her willingness to pay fees as high as estimated.

(b) In the notification, the NRC will include the estimated cost of

search fees and the nature of the search required and estimated cost of

duplicating fees.

(c) The NRC will encourage requesters to discuss with the NRC the

possibility of narrowing the scope of the request with the goal of

reducing the cost while

retaining the requester's original objective.

(d) If the fee is determined to be in excess of $250, the NRC will

require an advance payment.

(e) Unless a requester has agreed to pay the estimated fees or, as

provided for in paragraph (d) of this section, the requester has paid

an estimated fee in excess of $250, the NRC may not begin to process

the request.

cessing of

Freedom of Information Act requests, the request for a waiver or

reduction of fees should be included in the initial Freedom of

Information Act request letter.

(2) Each request for a waiver or reduction of fees must be

addressed to the Freedom of Information Act and Privacy Act Officer,

Office of Chief Information Officer, U.S. Nuclear Regulatory

Commission, Washington, DC 20555.

(b) A person requesting the NRC to waive or reduce search, review,

or duplication fees 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 public understanding of the subject

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.

nd 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 made under Sec. 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

to an understanding of Federal Government operations or activities;

(3) If disclosure of the requested information is likely to

contribute to public understanding;

(4) If disclosure is likely to contribute significantly to public

understanding of Federal Government operations or activities;

(5) If, and the extent to which, the requester has a commercial

interest that would be furthered by the disclosure of the requested

agency records; and

(6) If the magnitude of the identified commercial interest of the

requester is sufficiently large, in comparison with the public interest

in disclosure, that disclosure is primarily in the commercial interest

of the requester.

or activities;

(5) If, and the extent to which, the requester has a commercial

interest that would be furthered by the disclosure of the requested

agency records; and

(6) If the magnitude of the identified commercial interest of the

requester is sufficiently large, in comparison with the public interest

in disclosure, that disclosure is primarily in the commercial interest

of the requester.

(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 Sec. 9.29.

Sec. 9.43 Processing requests for a waiver or reduction of fees.

(a) Within 20 working days after receipt of a request for access to

agency records for which the NRC agrees to waive fees under

Sec. 9.39(a) through (d) or Sec. 9.41(c), the NRC will respond to the

request as provided in Sec. 9.25.

(b) In making a request for a waiver or reduction of fees, a

requester shall provide the information required by Sec. 9.41(b).

(c) After receipt of a request for the waiver or reduction of fees

made in accordance with Sec. 9.41, the NRC will either waive or reduce

the fees and notify the requester of the NRC's intent to provide the

agency records promptly or deny the request and provide a statement to

the requester explaining why the request does not meet the requirements

of Sec. 9.41(b).

(d) As provided in Sec. 9.29, a requester may appeal a denial of a

request to waive or reduce fees to the Secretary to the Commission. The

appeal must be submitted within 30 calendar days from the date of the

notice.

Sec. 9.45 Annual report to Congress.

tly or deny the request and provide a statement to

the requester explaining why the request does not meet the requirements

of Sec. 9.41(b).

(d) As provided in Sec. 9.29, a requester may appeal a denial of a

request to waive or reduce fees to the Secretary to the Commission. The

appeal must be submitted within 30 calendar days from the date of the

notice.

Sec. 9.45 Annual report to Congress.

(a) On or before February 1 of each year, the NRC will submit a

report covering the preceding fiscal year to the Attorney General of

the United States which shall include--

(1) The number of determinations made by the NRC to deny requests

for records made to the NRC under this part and the reasons for each

determination;

(2) The number of appeals made by persons under Sec. 9.29, the

results of the appeals, and the reason for the action taken on each

appeal that results in a denial of information;

(3) A complete list of all statutes that the NRC relied upon to

withhold information under subsection (b)(3) of 5 U.S.C. 552, a

description of whether a court has upheld the decision of the NRC to

withhold information under each such statute, and a concise description

of the scope of any information withheld;

(4) The number of requests for records pending before the NRC as of

September 30 of the preceding year, and the median number of days that

such requests had been pending before the agency as of that date;

(5) The number of requests for records received by the NRC and the

number of requests that the NRC processed;

(6) The median number of days taken to process different types of

requests;

(7) The total amount of fees collected by the NRC for processing

requests;

(8) The number of full-time staff of the NRC devoted to processing

requests under the FOIA and the total amount expended for processing

these requests.

uests for records received by the NRC and the

number of requests that the NRC processed;

(6) The median number of days taken to process different types of

requests;

(7) The total amount of fees collected by the NRC for processing

requests;

(8) The number of full-time staff of the NRC devoted to processing

requests under the FOIA and the total amount expended for processing

these requests.

(b) The NRC will make a copy of each report available to the public

on the NRC homepage on the Internet that can be accessed at:

http\\www.nrc.gov. A copy will also be available for public inspection

and copying in the NRC Public Document Room.

Dated at Rockville, Maryland, this 19th day of August, 1997.

For the Nuclear Regulatory Commission.

Arnold E. Levin

Arnold E. Levin, Acting Chief Information Officer.

[FR Doc. 97-23612 Filed 9-4-97; 8:45 am]

BILLING CODE 7590-01-P