[Federal Register Volume 70, Number 241 (Friday, December 16, 2005)]
[Proposed Rules]
[Pages 74950-74986]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-24081]
[[Page 74949]]
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Part IV
Nuclear Regulatory Commission
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10 CFR Parts 1, 2, 13, and 110
Use of Electronic Submissions in Agency Hearings; Proposed Rule
Federal Register / Vol. 70, No. 241 / Friday, December 16, 2005 /
Proposed Rules
[[Page 74950]]
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NUCLEAR REGULATORY COMMISSION
10 CFR Parts 1, 2, 13 and 110
RIN 3150-AH74
Use of Electronic Submissions in Agency Hearings
AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule.
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SUMMARY: The Nuclear Regulatory Commission (NRC) is proposing to amend
its regulations to require the use of electronic submissions in all
agency hearings, except for those conducted on a high-level radioactive
waste repository application (which are covered under a separate set of
regulations). The amendments would require the electronic transmission
of electronic documents in submissions made to the NRC's adjudicatory
boards, and in serving copies of those submissions on all participants
to the proceedings. Although exceptions to these requirements would be
established to allow paper filings in limited circumstances, the NRC
would maintain a strong preference for fully electronic filing and
service. The proposed rule builds upon prior NRC rules and developments
in the Federal courts regarding the use of electronic submissions. The
Commission is also seeking comment on draft guidance on how to submit
hearing documents to the NRC electronically.
DATES: Submit comments on the proposed rule and guidance document by
March 1, 2006. Comments received after this date will be considered if
it is practical to do so, but the Commission is able to assure
consideration only for comments received on or before this date. The
NRC staff will hold a public meeting to demonstrate electronic filing
and discuss questions on issues arising from this proposed action. The
public meeting will be held in the auditorium at NRC Headquarters, Two
White Flint North, 11545 Rockville Pike, Rockville, Maryland on January
10, 2006, beginning at 9:30 a.m. and ending before noon.
ADDRESSES: You may submit comments by any one of the following methods.
Please include 3150-RIN AH74 in the subject line of your comments.
Comments on rulemakings submitted in writing or in electronic form will
be made available for public inspection. Because your comments will not
be edited to remove any identifying or contact information, the NRC
cautions you against including personal information such as social
security numbers and birthdates in your submissions.
Mail comments to: Secretary, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001, ATTN: Rulemakings and Adjudications Staff.
E-mail comments to: [email protected]. If you do not receive a reply e-
mail confirming that we have received your comments, contact us
directly at (301) 415-1966. You may also submit comments via the NRC's
rulemaking Web site at http://ruleforum.llnl.gov. Address questions
about our rulemaking Web site to Carol Gallagher (301) 415-5905; e-mail
[email protected]. Comments can also be submitted via the Federal Rulemaking
Portal http://www.regulations.gov.
Hand deliver comments to: 11555 Rockville Pike, Rockville, Maryland
20852, between 7:30 a.m. and 4:15 p.m. Federal workdays. (Telephone
(301) 415-1966).
Fax comments to: Secretary, U.S. Nuclear Regulatory Commission at
(301) 415-1101.
Publicly available documents related to this rulemaking may be
viewed electronically on the public computers located at the NRC's
Public Document Room (PDR), O1F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland. Selected documents, including
comments, can be viewed and downloaded electronically via the NRC
rulemaking Web site at http://ruleforum.llnl.gov.
Publically available documents created or received at the NRC after
November 1, 1999, are available electronically at the NRC's Electronic
Reading Room at http://www.nrc.gov/reading-rm/adams.html.
From this site, the public can gain entry into the NRC's Agencywide
Documents Access and Management System (ADAMS), which provides text and
image files of NRC's public documents. If you do not have access to
ADAMS or if there are problems in accessing the documents located in
ADAMS, contact the NRC PDR Reference staff at 1 (800) 397-4209, (301)
415-4737, or by e-mail at [email protected].
FOR FURTHER INFORMATION CONTACT: Darani Reddick, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-
3841, e-mail [email protected].
SUPPLEMENTARY INFORMATION:
I. Background.
II. Summary of the E-Filing Process.
III. Discussion of the Proposed Rule.
IV. Section-by-Section Analysis of Substantive Changes.
V. Minor Conforming Changes.
VI. Voluntary Consensus Standards.
VII. Environmental Impact: Categorical Exclusion.
VIII. Paperwork Reduction Act Statement.
IX. Regulatory Analysis.
X. Regulatory Flexibility Certification.
XI. Backfit Analysis.
I. Background
This proposed rule, E-Filing, would require that submissions in any
adjudicatory hearing governed by 10 CFR part 2, subpart C; part 13; or
part 110, be made electronically. The subpart C requirements are
applicable to hearings held under subparts G, K, L, M, N, and O of 10
CFR part 2, but they are not applicable to hearings held under subpart
J governing applications for construction or operation of a high-level
radioactive waste repository, which are covered by a separate set of
requirements.
E-Filing would be one of the ways that the NRC implements the
provisions of the Government Paperwork Elimination Act (GPEA), see
Title XVII of Public Law 105-277, the Omnibus Consolidated and
Emergency Supplemental Appropriations Act of 1999, enacted October 21,
1998, Sec. Sec. 1701 et seq., codified at 44 U.S.C. 3504. The GPEA
requires Government agencies to provide the public with the option of
electronically maintaining, submitting, or disclosing information
``where practicable,'' with the goal of lessening the amount of
paperwork when dealing with the Federal government.
In crafting the proposed rule, the NRC has relied upon its past
experience with electronic submissions and has also examined Federal
court practices.
A. The NRC's Experience With Electronic Submissions
Well before the passage of the GPEA, the NRC had taken major steps
to increase the use of electronic documents and electronic
transmissions. For example, many of the agency's regulations on record
keeping have long permitted storage in electronic format. After the
GPEA became law, the NRC began testing the Electronic Information
Exchange (EIE), a system that permits users to make electronic
submissions to the agency in a secure manner. The EIE uses digital
signature technology to authenticate documents and validate the
identity of the person submitting the information. Upon receipt, the
EIE system time stamps documents transmitted to the NRC and sends the
submitter an e-mail notice confirming receipt of the document.
As a result of the testing program, on January 26, 2001, the NRC
issued Regulatory Issue Summary (RIS) 2001-05, ``Guidance on Submitting
[[Page 74951]]
Documents to the NRC by Electronic Information Exchange or on CD-ROM,''
which encouraged power reactor licensees to submit documents to the NRC
by the EIE process or on CD-ROM. On August 10, 2001, the agency issued
a letter to certain fuel cycle licensees extending this option to them.
Thereafter, the NRC greatly expanded its authorization of electronic
submissions through rulemaking, but those rules did not apply to
adjudicatory hearings.
B. The E-Rule
On October 10, 2003 (68 FR 58792), the NRC issued a final rule
called ``Electronic Maintenance and Submission of Information'' (E-
Rule). The E-Rule allows licensees, vendors, applicants, and members of
the public to submit documents such as license applications and Freedom
of Information Act requests to the NRC in an electronic format, such as
on CD-ROM, by e-mail, or through the NRC's EIE. However, the E-Rule
does not apply to filings in NRC hearings.
For the E-Rule, the NRC addressed technical matters (document
format, size, file naming conventions, resolution, etc.) in a guidance
document rather than in the regulations to avoid frequent rulemakings
to incorporate technological advances into NRC practice. Although the
amendments to the regulations allowed electronic submissions, an
accompanying guidance document contained the detailed technical
standards and procedures for electronic submissions to the NRC. The
Federal Register document for the E-Rule explained the need for the
standards and procedures by noting that the GPEA only required
electronic submissions ``where practicable'' (68 FR 58792, 58793,
October 10, 2003):
At the very least, it is not ``practicable'' for the agency to
receive electronic submissions unless they are made in a manner that
enables the agency to receive, read, authenticate, distribute,
process and retrieve a page at a time, and archive the submissions.
C. 10 CFR Part 2 Subpart J: Procedures for the High-Level Waste
Repository Proceedings
In section 114(d) of the Nuclear Waste Policy Act of 1982, Congress
set a short deadline for the NRC to issue a decision on any Department
of Energy (DOE) application for authorization to construct a geologic
repository for high-level waste (HLW). Because any licensing proceeding
on such an application is projected to be the largest, most complex
hearing before the NRC to date, the NRC determined that all filings in
the HLW proceedings must be electronic in order to meet the deadline.
Over the course of several rulemakings, the NRC developed the HLW
procedures in 10 CFR part 2 subpart J and the corresponding guidance,
``Guidance for the Submission of Electronic Docket Materials Under 10
CFR part 2, subpart J'' (HLW Guidance Document). The E-Filing Guidance
on which we are seeking comments is largely drawn from the subpart J
regulations.
D. The Use of Electronic Filing by the Federal Courts
Some Federal courts have developed a system for electronic filing
with technical standards quite similar to those in subpart J. Because
the Federal courts and the NRC have distinct needs and serve different
classes of parties, not every feature of the Federal court system is
relevant to NRC proceedings. However, certain basic features of the
electronic filing methods used by some Federal courts are incorporated
in the NRC's proposed approach, e.g., for filings submitted over the
Internet, a specific file format that is portable and produces a
faithful image of the original must be used (i.e., Adobe[reg] Acrobat
Portable Document Format, also commonly referred to as PDF), and
submitters are sent a notice of the filing with an Internet location
from which the filing can be downloaded.
E. The General Approach Taken by E-Filing
E-Filing would adopt some technical and procedural provisions
nearly verbatim from the E-Rule, 10 CFR part 2, subpart J, and the
procedures adopted by the Federal courts. The adoption of technical
standards from the E-Rule Guidance and subpart J would create
uniformity across NRC proceedings, making administration easier.
In addition, E-Filing shares with subpart J a strong preference for
electronic submission, because electronic filing and service are
faster, more efficient, and less expensive than the traditional forms
of filing. Under E-Filing, participants in NRC proceedings would no
longer have to pay for the copying and service of most documents. In
lengthy, complex proceedings with multiple participants, this could
save participants hundreds, if not thousands, of dollars in copying and
mailing costs. Although almost all participants in NRC hearings now
file pleadings by e-mail (with conforming paper copy to follow), the
Commission recognizes that not all participants will be able to meet
the proposed electronic filing and service requirements. The
Commission, therefore, has created exemptions to the electronic
submission requirement that participants wishing to file and serve by
the traditional paper method can request.
Like the E-Rule and subpart J, E-Filing would have an accompanying
guidance document (E-Filing Guidance) that would be available at http://www.nrc.gov/site-help/eie.html. As with the E-Rule, this guidance
would set forth the technical standards for electronic transmission and
for formatting electronic documents. By not including these standards
in the rule, it should be easier and faster for the NRC to amend the
guidance, when warranted, to allow use of the most current technology.
II. Summary of the E-Filing Process
The following is a step-by-step capsule of the E-Filing process:
1. Prior to submitting its first filing, an entity seeking to
participate (participant) in an NRC adjudicatory proceeding would
request a digital identification (ID) certificate from the Secretary of
the Commission using the link on the NRC Web site. (See more on digital
ID certificates in section III.E. of this document).
2. The participant would log onto the Electronic Information
Exchange (EIE) and open the E-Filing submission form. The form contains
a pull-down menu, which allows a previously admitted party to designate
the proper proceeding. For all initial filings, the participant would
select the generic docket. (See more on the EIE and generic dockets in
sections III.C. & III.D. of this document).
3. The participant would attach its document, digitally sign the
filing, and authorize transmission to the EIE. (See more on signatures
and transmission in sections III.H. and III.I. of this document).
4. The Secretary of the Commission would review the generic account
for initial filings, establish the appropriate electronic hearing
docket, send notifications to the applicant/licensee, intervenor(s),
NRC staff, any interested governmental participant(s), and the
presiding officer, and create an electronic distribution list based
upon the digital IDs issued to proceeding participants.
5. For all subsequent filings, the participant would select the
intended recipients from the electronic distribution list. The EIE then
would send all selected recipients an e-mail notification that a filing
has been made and provide a link to the Internet location of the
document. The EIE would also send an e-mail to the submitter confirming
receipt of the filing, and notify the other participants.
[[Page 74952]]
(See more on electronic distribution lists in section III.F. of this
document).
6. Each recipient could open the link to the document and view and/
or save the document to its personal computer, thereby enabling access
to the document without logging back into the system. (See more on
retrieving documents in section III.O. of this document).
III. Discussion of the Proposed Rule
E-Filing represents a major revision to the NRC's methods of filing
and service in adjudicatory proceedings governed by the part 2, subpart
C requirements. The proposed rule is thoroughly explained in sections
III and IV of this document; section III gives a broad overview of some
of the major concepts involved in E-Filing and section IV provides a
section-by-section analysis of the amendments to the principal sections
in subpart C. While some of the details described below may seem
complex, once a user learns to file electronically, the Commission
expects that he/she will find the process to be both fast and simple.
A. Conceptual Framework for Electronic Filing and Service
Filing and service involve the transfer of a document from one
participant to the presiding officer, the other participants in the
proceeding, and the Secretary of the Commission. Two types of
electronic filing and service would exist under E-Filing: fully
electronic and partially electronic. Fully electronic filing and
service would involve the electronic transmission of an electronic
document. Partially electronic filing and service would entail the
physical delivery or mailing of an optical storage medium (OSM) (such
as a CD-ROM) containing an electronic document. While E-Filing would
permit partially electronic filing and service in cases where
necessary, the NRC rule generally calls for fully electronic filing
(with certain exceptions permitted by the rule and further described in
the E-Filing Guidance).
B. Benefits of Electronic Filing and Service
The benefits of electronic filing and service originate from the
use of electronic transmission and electronic documents. The electronic
transmission of documents is more cost effective and faster than
physical delivery of paper mail. While the added cost and delay of
physically delivering or mailing one document may be small, the total
cost and delay could be significant over the course of a proceeding
with many filings and a large service list.
In addition, compared to paper documents, electronic documents save
resources and increase efficiency. Electronic documents are less
expensive to produce, store, transport, and retrieve than paper
documents. Electronic documents also have text-searching capability,
which allows users to review many documents quickly and find those
sections that are relevant to their needs, along with text-capture
capability, which enables users to transport entire passages from one
document to another quickly. Finally, the filing of electronic
documents in the appropriate format would benefit the NRC because the
agency already processes filings into electronic formats for storage as
official agency records.
C. The Electronic Information Exchange
Under E-Filing, a participant wishing to file a document would be
required to convert the document into the appropriate electronic format
and electronically transmit it to an electronic system monitored by the
NRC, called the Electronic Information Exchange. The NRC would
establish the EIE, which is a Web site located on the NRC's public Web
site at http://www.nrc.gov/site-help/eie.html. The EIE would receive,
store, and distribute documents filed in proceedings covered by this
proposed rule for which an electronic hearing docket had been
established. The establishment of dockets for filings received through
the EIE is discussed later. (See section III.D. of this document).
To electronically submit a filing, a participant with a digital ID
would complete a form on the EIE and select the docket from a provided
drop-down list, which would list all dockets to which that person is a
participant, as well as a generic docket. All initial filings would be
sent to a generic docket. The participant would then attach, digitally
sign, and transmit the document. In doing so, the submittter would
select the participants to be served electronically from the electronic
distribution list, which is a list of the board members and other
individuals involved in the proceeding as participants or party
representatives. This transmission process could be performed either by
the owner of a digital ID or another authorized individual, such as a
secretary or clerk.
The EIE thereafter would serve all the persons selected by the
submitter for distribution by sending an e-mail notifying them that a
document has been filed and providing them with a link from which they
could save or view the document. This e-mail would constitute service
upon the participants to whom it was sent. Finally, the EIE would send
an electronic acknowledgment to the filer, which is an e-mail that
confirms receipt of the filing and reports that an e-mail has been sent
to the selected persons on the electronic distribution list.
A person filing electronically would be able to seek assistance
through the ``Contact Us about EIE'' link located on the NRC Web site
at http://www.nrc.gov/site-help/eie.html or by calling NRC technical
help lines.
D. Electronic Hearing Dockets
The electronic hearing docket is a Web site on the NRC homepage
that houses a visual presentation of the docket for a particular
proceeding and a link to all the filings in that proceeding. A
participant would electronically submit its initial filing, such as a
petition to intervene and request for hearing, to a generic docket
number on the EIE. Upon receiving the initial filing, the Secretary of
the Commission would establish an electronic hearing docket for the
proceeding using the licensing docket number under which the proceeding
was designated in the Federal Register notice. If an electronic docket
has already been established, the Secretary would respond to filings by
informing the participants of the docket's existence. After creating
the electronic docket, the Secretary would maintain that docket and all
publicly available filings would be accessible from that site.
After a presiding officer is assigned to the proceeding, the
Secretary would replace the licensing docket number with a proceeding
docket number. The proceeding docket number would be exactly the same
numerical digits as the licensing docket number, except that a two or
three letter suffix is added. The Secretary would inform the
participants of the modified proceeding docket number, and would
instruct them to use the proceeding docket number rather than the
licensing docket number when accessing documents.
E. Digital ID Certificates
To access the EIE, a participant would obtain a digital ID
certificate from the NRC, which will be supplied to them at no cost. A
digital ID certificate is a unique file downloaded onto a participant's
computer that would identify the participant to the EIE. Digital IDs
would verify the participant's identity for the EIE when making an
electronic filing, and would allow the participant to digitally sign
documents submitted to the EIE.
A participant must request a digital ID from the NRC before
submitting its first
[[Page 74953]]
electronic filing with the NRC. If the participant is an organization,
the digital ID would be assigned to a participant representative,
rather than the participant itself. The notices of opportunity for
hearing that the NRC publishes in the Federal Register would remind
potential participants of this requirement. A participant would apply
for a digital ID on the NRC Web site at http://www.nrc.gov/site-help/eie.html. A participant would be able to seek assistance in obtaining a
digital ID through the ``Contact Us about EIE'' link located on the NRC
Web site at http://www.nrc.gov/site-help/eie.html or through the NRC
technical help lines. After a digital ID is assigned, that ID would
provide the participant with access to all the EIE proceedings to which
it is a participant; therefore, only one digital ID would be required
per participant regardless of the number of proceedings in which it is
involved. The NRC would reserve the right to revoke a digital ID
certificate if it were being abused. A participant who anticipates
participation in NRC proceedings may request a digital ID certificate
prior to publication of a notice of opportunity for hearing.
In addition to digital IDs assigned to individuals, Group IDs may
be assigned to firms or other organizations. Group IDs, which can be
downloaded onto several computers, allow multiple individuals who do
not have an individual digital ID to be served with a filing to the
EIE, thus permitting those individuals to retrieve documents filed in
the proceeding. Because Group IDs would be assigned to entities, the
Group ID would not have an electronic signature associated with it and,
thus, could not be used to electronically sign filings submitted to the
EIE. At least one representative from the Group ID must obtain an
individual digital ID to be able to file electronically.
F. Electronic Distribution List
Each proceeding with an electronic docket would have a distribution
list, which includes the presiding officer, as well as all of the
participants (such as the intervenor(s), applicant/licensee, interested
governmental participant(s), and NRC staff) participating
electronically in that specific proceeding. Upon receiving an initial
filing from a participant, the Secretary will add the participant to
the electronic distribution list, thereby providing the participant
access to documents that have been and will be filed in the proceeding
and enable it to electronically file and serve the presiding officer
and others on the distribution list.
G. Certificates of Service and Service List
For the following reasons, E-filing will require that submitters
attach a certificate of service, including a service list, to their
filings to inform the recipients of the entities who received the
filing and how they were served. This is because the EIE would not
create a list of the entities selected to receive the filing. Also, the
electronic distribution list may not be an all-inclusive list of the
participants in the proceeding because it would not include any
participants permitted to file by paper.
H. Signatures
All electronic documents would be signed and submitted
electronically using the digital ID certificate assigned to the
submitter of that document. Proposed Sec. 2.304 (d) provides two ways
for documents to be signed: with the assigned digital ID certificate or
with a typed ``Original signed by'' designation.
To sign a filing with a digital ID certificate, proposed Sec.
2.304 (d)(1)(I) requires that a signature page containing a signature
block be added to the electronic document before it is submitted. The
signature block would consist of the phrase ``Signed (electronically)
by,'' followed by the signer's name and the capacity in which the
person is signing. It would also contain the date of signature and the
signer's postal address, phone number, and e-mail address. The
participant would not need to sign a paper document if it chooses this
method of signature. The digital signature would be added at the time
of submittal to the EIE by the participant clicking the ``Click to
Digitally Sign Documents'' button. A person authorized by the owner of
the digital ID, such as a secretary or clerk, could type the signature
block and submit the document on the owner's behalf. To sign with a
typed-in ``Original signed by'' designation, the participant would add
a signature block, as described above, and type in the phrase
``Original signed by'' on the signature line of the signature block.
The participant would then sign a paper document and be required to
retain that copy of the filing with the original signature in its
records. The NRC staff could also use this method, but would type in
``/RA/,'' meaning ``Record Approved,'' which is the agency's current
method of signing digitally filed documents.
Documents signed under oath or affirmation, such as affidavits,
must be signed with the ``Original signed by'' designation. The
participant submitting these documents is required to retain the
original signed copy in its files.
I. Electronic Transmission
Under E-Filing, participants would convert their documents into the
appropriate electronic formats detailed by the E-Filing Guidance and
electronically transmit these documents to the presiding officer, the
other participants, and the Secretary of the Commission. E-Filing
Guidance would set technical standards for filing and service under the
proposed rule and would define the file sizes and formats for
electronic transmissions. By putting the technical provisions in the E-
Filing Guidance, the Commission would be able to update the electronic
transmission standards to keep pace with technology and the changing
needs of the NRC and the participants in its adjudication without
additional rulemaking. Exemptions to the electronic transmission
requirement are discussed below. (See section III.K.).
J. Electronic Document Requirements
Because the EIE system can accept documents only in specified
electronic formats, E-Filing, like the E-Rule and subpart J, would have
specific electronic document standards that would be enumerated in the
E-Filing Guidance. For the foreseeable future, the only acceptable
formats are certain types of PDFs. In addition, individual submissions
cannot exceed 50 megabytes (approximately 5000 pages of text), which
the NRC considers the upper limit for practical Internet transmissions.
Similar to the guidance for subpart J, E-Filing Guidance would
create three categories of documents: simple, large, and complex.
Simple documents would be documents filed in an acceptable PDF format
and could be transmitted to the EIE in a single transmission. Large
documents, meaning documents exceeding 50 megabytes, also would be in
an acceptable PDF format. The proposed E-Filing Guidance provides that
these documents should be segmented into smaller files that meet the
megabyte limit and then transmitted to the EIE, which reunites the
files into one document. Participants would also be asked to physically
deliver to all the participants in the proceeding OSMs containing the
large document in a unified form that could be used as a reference
copy. Complex documents would be those that (1) are not entirely in an
acceptable PDF format; (2) contain Classified National Security
Information or Safeguards Information; or (3) exceed the 50 megabyte
limit and could not be segmented. The E-Filing Guidance
[[Page 74954]]
would ask participants to electronically submit to the EIE the sections
of a complex document that are in PDF, do not contain Classified
National Security Information or Safeguards Information, and could be
segmented into less than 50 megabytes. The Guidance would also ask
participants to deliver the entire complex document on an OSM.
As was previously noted, the current version of the proposed E-
Filing Guidance considers only certain forms of PDF as qualifying
formats. In choosing PDF over other formats, the NRC considered
whether:
(1) The document format is of a type that can be entered as an
official agency record;
(2) The format behaves consistently over a broad range of operating
systems and platforms (meaning pagination remains identical regardless
of the printer used);
(3) The format can be easily accessed by most users;
(4) The format is one to which other document formats can be easily
converted;
(5) The format supports images, text, and other types of
documentary material that can be useful in a hearings context; and
(6) The format had text-searching and text-capture capabilities.
PDF has all of these features.
K. Exemptions From the Electronic Filing and Service Requirements
In recent years, almost all participants to NRC adjudications have
been filing and serving documents via e-mail in addition to submitting
paper copies, which are generally regarded as the ``official'' versions
of the documents. This use of e-mail submissions exists because a vast
majority of the participants in NRC proceedings have ready access to
computers, word processing programs, and the Internet. This trend has
led the NRC to conclude that almost all potential parties are ready to
take the next step and move to a fully electronic environment. The NRC
recognizes that implementing a rule governing electronic submission
could entail initial costs for some persons, since participants would
need ready access to a computer, software that will save/render
documents in PDF format, the Internet, and perhaps a scanner. The
participants might recoup these expenses, however, through cost savings
in labor, copying, and mailing paper documents to multiple
participants. The NRC is seeking comments from affected stakeholders,
particularly those with limited financial resources, about the
potential costs and savings of the electronic filing requirements of
this proposed rule.
(1) Good Cause Required for Exemption From Electronic Filing
Despite these advantages, the NRC recognizes that some individuals
may not be able to file electronically for a variety of reasons. The
NRC, therefore, would allow exemptions from the E-Filing rule for
certain participants in appropriate circumstances. A person who
requests an exemption from the electronic filing requirement should
submit a request for authorization from the presiding officer with its
first filing in the proceeding to participate using traditional paper
filing and service. ``Good cause'' for such an exemption would depend
on the party's circumstances and could include such matters as:
Disability, lack of readily-available Internet access, or the cost of
purchasing the necessary equipment or software. The presiding officer
would determine if a participant met the good cause burden on a case-
by-case basis.
A participant requesting an exemption after submitting its first
filing electronically, would, in addition to the requisite showing of
good cause, have to show that an unforeseen change in its circumstances
occurred leading to the late request for exemption and that granting
the exemption is in the interests of fairness. Until the presiding
officer rules on the request, the participant would continue to file
electronically.
E-Filing would provide exemptions from the requirement to send the
filing to the EIE electronically as well as from the requirement to
submit documents in computer file format. This is discussed below.
(2) Electronic Transmission Exemption
A participant willing to submit a document in PDF, but capable only
of delivering the document via OSM or e-mail, could request an
exemption from electronic transmission over the Internet to the EIE.
This participant's filings would be exempt from the requirement of
being sent to the EIE, and could deviate from the guidance that calls
for filings to be in PDF format as set forth in the E-Filing Guidance.
(3) Electronic Document Exemption
A participant can also request an exemption from the requirement to
file documents in PDF format as well as the electronic transmission
requirement through the EIE. This participant would physically file and
serve paper documents on the presiding officer and other participants
in a manner determined by the presiding officer. In return, the
presiding officer, other participants and the Secretary of the
Commission would physically serve paper documents on a participant with
this exemption.
Although these exemptions would be available for participants in
NRC proceedings, the NRC believes that the cost savings from electronic
filing will exceed electronic filing associated equipment/software/
Internet access procurement costs and, thus, encourages potential
participants to move to electronic filing and service, whenever
possible, rather than seeking an exemption. When a participant is
granted either a document exemption or a transmission exemption, E-
Filing would permit a mixed service proceeding, which is discussed in
the next section.
L. Mixed Service Proceedings and Computation of Time
The Commission recognizes the possibility that there could be a
proceeding in which a participant will receive an exemption permitting
the participant to file and serve paper copies, while the other
participants will file and serve documents electronically. As mentioned
previously, if an exemption from electronic filing and formatting is
granted, the NRC would prefer mixed service proceedings to traditional
proceedings that rely solely on paper. Mixed service proceedings would
be proceedings in which some but not all of the participants file and
serve by the same method. For example, rather than requiring that all
participants physically serve and file paper documents when one
participant to the proceeding is granted an electronic documents
exemption, mixed service proceedings would allow the exempted
participant to file, serve, and be served physically, while the rest of
the participants file and serve each other electronically according to
the standards in the E-Filing Guidance. Standards concerning timelines
and the number of days for service would be established by the
presiding officer who grants the electronic filing exemption on a case-
by-case basis as fairness and efficiency considerations dictate.
M. Completeness of Electronic Filings
Under proposed Sec. 2.302(d)(1), filing by electronic transmission
or e-mail is considered complete ``when the filer performs the last act
that it must perform to transmit a document electronically.'' For
electronic transmissions and e-mail, the ``last act'' would occur when
the participant hits the ``submit/transmission'' or ``send'' button.
The language in Sec. 2.302(d)(1)
[[Page 74955]]
and the meaning of ``last act'' are taken from the Advisory Committee
Notes to the 2002 amendments to Rule 25(c)(4) of the Federal Rules of
Appellate Procedure, which covers service requirements. The NRC
proposes to adopt the ``last act'' standard for several reasons. First,
the ``last act'' standard, which penalizes a party only for events
within its control, is fair. Upon hitting the send or transmit button,
a participant relinquishes all control over a document and cannot be
certain when the document will be received by the NRC's system. Making
completeness of filing dependent upon receipt of the transmission would
subject participants to the vagaries of electronic transmission, which
may include such problems as the filer's Internet connection being
slower on the day of filing, the filer's Internet service disconnecting
during transmission, or the filer's connection to the EIE server
failing to connect because the allotted time for connection ran out.
Second, the ``last act'' standard conceptually coincides with the
standard for filing by mail, when a filing is considered complete upon
depositing the document in a mailbox. In effect, the ``last act'' of
depositing the document in the mailbox is equivalent to hitting the
``submit/transmission'' or ``send'' button.
N. Completeness of Filing When Multiple Filing Methods Are Required
When two or more methods of filing are permitted in a mixed
proceeding, proposed Sec. 2.302(d)(4) indicates that filing is
complete when all the methods of filing used are complete. For example,
if a participant needs to make a filing consisting of three electronic
documents, one of which is entirely Classified National Security
Information, E-Filing Guidance would direct the filer to submit the two
non-classified documents by electronic transfer and all three documents
on an OSM. If the participant mails the OSM on Monday and performs the
electronic transfer on Tuesday, filing would be complete Tuesday.
Although the OSM mailed Monday would contain the entire filing, a
filing would not be complete until all required filing methods have
been performed.
O. Retrieving Documents Filed in a Proceeding
Upon receiving an electronic filing, the EIE would send an e-mail
notification to all persons selected by the submitter from the
electronic distribution list by the submitter. The e-mail would notify
those selected that a filing has been made in the proceeding and would
provide a link to the document. Each person would then click on the
link to access the document for viewing and/or saving in PDF compatible
software and could save the document to his or her own computer. By
doing so, to re-open the document, the person would be able to access
it from his or her own computer. Alternatively, once it is processed
into the agency's ADAMS system, a person could access the document by
logging onto the Electronic Hearing Docket (EHD) located in the
Electronic Reading Room, which is available at http://www.nrc.gov/reading-rm.html. The EHD is a publicly available Web site and no
digital ID certificate is required to retrieve documents from the EHD.
A link to the EHD will be available on the NRC Web site.
IV. Section-by-Section Analysis of Substantive Changes
Although significant changes are proposed for some sections in 10
CFR part 2 subpart C, other sections in Title 10 require only minor
modifications to language that currently provides only for paper
documents. The analysis below focuses on only the sections to which
significant changes are being proposed: Sec. Sec. 2.302, 2.304, 2.305,
2.306, 13.9, 13.26, 13.27, 110.89, and 110.90.
A. Section 2.302--Filing of Documents
Proposed Sec. 2.302 would contain the core of the E-Filing
requirements. Because the electronic transmission and format
requirements for filing would apply equally to service and to filing of
a document, the service requirements in proposed section Sec. 2.305
rely heavily upon the filing processes provided for in proposed Sec.
2.302.
1. A New Way To File
Proposed Sec. 2.302 (a) would introduce a new way to file
documents--by electronic submission. Accompanying E-Filing Guidance
would provide the technical standards for electronic submission to the
EIE.
2. New Certificate of Service and Service List Requirement
Proposed Sec. 2.302 (c) would require that certificates of service
be included with all filings to the agency regardless of the method of
filing. Participants would list all methods of service for each
participant served, because under E-Filing Guidance, some filings, such
as those containing Classified National Security Information or
Safeguards Information, would be partially served electronically over
the Internet as well as transmitted on a physically delivered OSM. In
such cases, the participant would serve the other participants to the
proceeding by both methods for service to be complete.
3. When Filings Are Complete
Proposed Sec. 2.302 (d)(1)-(4) would specify when filings by
various methods would be considered complete. For example, filing by
expedited delivery service (e.g., express or overnight mail) would be
complete when the document is deposited with the provider of the
service. For electronic transmissions, the filing would be complete
when the participant clicks the ``send'' or ``submit/transmission''
button.
4. Unsuccessful Transmissions of Filings
Proposed Sec. 2.302 (e) would require participants filing by
electronic transmission to make a good faith effort to transmit the
entire filing. Under 2.302 (e), if the filer ``knows or has reason to
know'' that the transmission was unsuccessful, then the filing would
not be considered complete. A filer, however, would not be required to
take any affirmative steps to ensure that an electronic transmission
was successful. Filing would not be complete under subsection (e) if,
for example, the filer's e-mail service notifies the filer that
delivery was unsuccessful or the system otherwise indicates that the
filing was not transmitted. In such cases, the good faith effort to
transmit the entire filing may include, but not be limited to, repeated
attempts by the same method, calls to applicable NRC technical help
lines, the use of alternate means of electronic transmission, and,
finally, if all else fails, the use of an expeditious form of physical
delivery or mail. Participants aware that a filing was unsuccessful
should notify the other participants immediately and explain what good
faith efforts they are conducting to submit the filing successfully.
5. Requesting a Digital ID Certificate
Under proposed Sec. 2.302(f), to electronically transmit documents
to the EIE, all participants or representatives, including NRC staff
and counsel, would need to request a digital ID certificate in advance
of its first electronic filing. The NRC would issue a digital ID
certificate that would provide access to the EIE. Application for a
digital ID certificate can be submitted on the NRC Web site at http://www.nrc.gov/site-help/eie.html.
6. Filing Rrequirements
Under E-Filing, most participants in NRC adjudications would file
according to the standards in proposed Sec. 2.302
[[Page 74956]]
(g)(1). Paragraph (g)(1) would direct participants to file documents in
an electronic format and transmit the documents electronically in
accordance with the E-Filing Guidance. Also, proposed Sec. 2.302
(g)(1) would establish that E-Filing Guidance sets out methods for
filing documents containing Classified National Security Information or
Safeguards Information, or electronic computer file formats that are
not accepted by the EIE.
7. Exemptions From the Filing Requirements
E-Filing would provide for two exemptions to the filing
requirements specified in paragraph (g)(1): the electronic transmission
exemption and the electronic document exemption. (See section III.K.).
B. Section 2.304--Formal Requirements for Documents; Signatures;
Acceptance for Filing
1. Requirements
Minor conforming amendments would be made to proposed Sec. 2.304
(b) to clarify that those requirements apply only to paper filings.
Proposed Sec. 2.304(c) would contain requirements that apply to all
methods of filing.
2. Signatures
Existing Sec. 2.304(c) would be amended in proposed Sec. 2.304(d)
to include two methods of signing electronic documents: digital ID
certificates or typed in designations. (See section III.H).
3. Multiple Copy Requirements Eliminated
The multiple copy requirement in the existing Sec. 2.304(d) would
be eliminated for electronic submissions to save participants time as
well as the reproduction and mailing expenses associated with multiple
copies. The multiple copy requirement in Sec. 2.304(b) for paper
filings would be retained.
C. Section 2.305--Service of Documents; Methods; Proof
1. Service of Documents by the Commission
Proposed Sec. 2.305(a) would require the Secretary of the
Commission to serve all documents issued by the Commission or the
presiding officer by using the same method that the participants to the
proceeding used when they filed and accepted service. Participants that
filed by electronic transmission would receive Commission and presiding
officer issuances by electronic transmission and would not receive
paper copies. Participants granted an exemption under proposed Sec.
2.302(g)(2) and (3) would receive service by the methods provided for
by their exemption. Thus, the same electronic service requirements
imposed upon the participants would apply to the Commission and the
presiding officer.
2. Method of Service Accompanying a Filing.
Proposed Sec. 2.305(c) would make several changes. First, it would
allow for electronic service of documents submitted through the EIE.
Also, proposed Sec. 2.305(c) would no longer require that a paper copy
accompany a filing served by e-mail because the documents would be
filed electronically.
In addition, proposed Sec. 2.305(c) would amend the mandate
currently given to presiding officers to require service by the most
expeditious means. Under proposed paragraph (c), a presiding officer
would be able to tailor service requirements to the individual
participants rather than utilize only the one method that all
participants are able to use.
Proposed Sec. 2.305(c)(1) would require a participant to serve the
other participants in the proceeding by the same method that those
participants filed, unless one of the exceptions in paragraphs (c)(2)
or (c)(3) applied.
Proposed Sec. 2.305(c)(2) would apply to a participant granted the
electronic transmission exemption under Sec. 2.302(g)(2). When a
participant has been excused from the electronic transmission
requirement, that participant would serve the participants in the
proceeding that filed electronically by physically delivering or
mailing OSMs and the other participants that did not file by electronic
transmission by the method in which they filed, for example, first-
class mail.
Proposed Sec. 2.305(c)(3) would apply to a participant granted the
electronic document exemption under Sec. 2.302(g)(3). When a
participant is relieved of both the electronic format and transmission
requirements, that participant would serve the other participants who
filed electronically either in person, by courier/express mail/
expedited delivery service, or by first-class mail, subject to any
orders of the presiding officer.
Proposed Sec. 2.305(c)(4) would require a certificate of service
and a service list for each filing served.
Proposed Sec. 2.305(c) would be patterned after the proof of
service requirement found in part 2, subpart J, and would include
electronic acknowledgment, affidavits, and certificates of counsel.
However, participants should be cautious when submitting an electronic
acknowledgment as proof of service. An electronic certificate cannot be
used as proof of service in mixed service proceedings when some, but
not all, of the participants are served electronically or when a filing
is partially electronically submitted and partially physically
delivered/mailed. In such mixed service proceedings, an electronic
acknowledgment would not establish that service by a method other than
electronic transmission to the EIE was made. Further, because the
timeliness of filing and service under E-Filing is determined by the
time that the electronic transmission begins rather than ends (see
proposed Sec. 2.302(d)), the electronic acknowledgment sent from the
EIE at the completion of the transmission would not necessarily
correspond to the time service was made.
3. Method of Service Not Accompanying a Filing
Proposed Sec. 2.305(d) governs material that typically may not be
part of a ``filing,'' such as demonstrative evidence (e.g., physical
exhibits or oversized maps or charts), pre-filed testimony, and
discovery documents exchanged among participants. For material that is
not filed with the agency, but is served upon other participants, as is
often the case now with discovery exchanges, the NRC proposes that the
participants should determine the most efficient and effective methods
for serving such documents on each other.
4. Service on the Secretary
Proposed Sec. 2.305 (e) would be the same as the existing Sec.
2.305 (d), except provision is made for electronic service of pleadings
and pre-filed testimony on the Secretary of the Commission.
5. When Service Is Complete
Proposed Sec. 2.305 (f) would create a completed service standard
for electronic submissions, as well as amend the standard for e-mail
and clarify the standard for expedited delivery service. The standards
for the completion of filing and service thus would be the same because
receipt of the electronic filing by the EIE triggers an e-mail
containing a link to the document that is considered to constitute
service of the document upon the presiding officer and the other
participants to the proceeding.
Proposed Sec. 2.305 (f)(4) would clarify that service by expedited
delivery service is complete when the document
[[Page 74957]]
is deposited at the expedited delivery provider, which is a method
analogous to service by mail.
Proposed Sec. 2.305 (f)(5) would amend the service completion
standards for e-mail by no longer requiring that a paper copy
containing a signature be transmitted to the Secretary. Proposed Sec.
2.305 (f)(5) would adopt the ``last act'' standard used for filing
completion in Sec. 2.302 (d)(1) as the service completion standard for
e-mail.
Proposed Sec. 2.305 (f)(7) would provide that when multiple
service methods are required, service would not be considered complete
until each method is complete pursuant to paragraphs (f)(1)-(6) of
proposed Sec. 2.305. For example, according to E-Filing Guidance, for
a large document, a participant would serve the complete document both
by electronic transmission and by physically delivering or mailing an
OSM. Therefore, the filing would be complete upon serving both the
electronic transmission of the entire document and the physical
delivery or mailing of an OSM. However, when a complex document
containing Safeguards Information is filed, only the portions that do
not contain the Safeguards Information would be electronically
transmitted, while the entire document would be transmitted by
physically delivering or mailing an OSM. In each instance, completion
of service is dependant on both electronic transmission and the
physical delivery or mailing of an OSM.
6. Service on the NRC Staff
Proposed Sec. 2.305 (g) would require that service on the NRC
staff be in the same or equivalent method as service upon the Secretary
or the presiding officer.
D. Section 2.306--Time Computation
The proposed changes made to Sec. 2.306 reflect two different
goals. One is to expedite proceedings; the other is to ensure that in
mixed service proceedings in which the filing participant serves some
electronically and others by physical delivery or mail, the times
provided for the other participants to respond do not cause unfairness.
1. Changes in the Number of Additional Days Allowed for Responding to
the Service of a Notice or Other Document
Current Sec. 2.306 grants an additional day for electronic filings
received after 5 p.m. in the time zone of the participant receiving the
filing. The proposed rule would eliminate that provision and grant no
additional days for documents filed electronically. All electronic
filings must be filed and served by midnight in the filer's time zone.
The proposed rule also would reduce from five days to three days
the number of additional days given to participants responding to
filings served by first-class mail. This amendment not only saves time
over the course of a proceeding, but would be consistent with the
Federal Rules of Civil Procedure. The concern that mail service in some
parts of the country is slower and may take more than three days is
ameliorated by a study of first-class mail service conducted by an
independent auditing firm. According to the study, the U.S. Postal
Service's cross-country service and service to and from rural areas is
efficient. See 2003 Comprehensive Statement on Postal Operations, Ch.
2, p. 59. Also, three additional days ``is thought to represent a
reasonable transmission time, and a fair compromise between the
harshness of measuring time strictly from the date of mailing and the
indefiniteness of attempting to measure from the date of receipt, which
in many cases would be unverifiable.'' See Charles Alan Wright and
Arthur R. Miller, Federal Practice and Procedure Sec. 1171 (3d ed.
2002).
2. How Mixed Service Proceedings and Multiple Service Methods Affect
the Number of Additional Days Granted for Responding to the Service of
a Notice or Other Document
To handle the special time computation problems involved in mixed
service proceedings, proposed Sec. 2.306(b)(4) would give the
Commission or presiding officer the authority to determine the proper
period of time necessary to ensure fairness and efficiency in a mixed
service proceeding.
E-Filing would provide for the use of multiple service methods when
necessary, such as in proceedings where large or complex documents are
filed. In these instances, response times would be computed according
to the fastest method used to serve the entire document. For example,
if a large document is filed, the filing would be complete upon sending
the electronic transmission, even though the participant must also send
an OSM containing the filing. However, when a complex document
containing Safeguards Information is filed, the response time will
depend on the physical delivery or mailing of an OSM, because that is
when the Safeguards material would be filed.
E. Part 13--Program Fraud Civil Remedies
1. Section 13.9 Answer
Proposed Sec. 13.9 indicates that answers should be electronically
filed in accordance with proposed Sec. 13.26.
2. Section 13.26 Filing and Service of Papers
The changes proposed to Sec. 13.26 would conform the filing and
service requirements of Part 13 to those in proposed Sec. Sec. 2.302
and 2.305.
3. Section 13.27 Computation of Time
Revised Sec. 13.27 (a) and (b) adopts the proposed wording of
Sec. 2.306 (a) and (b) regarding not counting Federal legal holidays
and emergency closures of the Federal government if they are the last
day of the period when computing the amount of time a participant would
have to file a response. Proposed Sec. 13.27 (c) adopts the same time
computation scheme as in proposed Sec. 2.306 (b).
Existing paragraph (c) would be withdrawn.
F. Part 110--Public Participation Procedures Concerning Export and
Import of Nuclear Equipment and Materials License Applications
1. Section 110.89 Filing and Service
The changes proposed to Sec. 110.89 would conform that section's
filing and service requirements to those in proposed Sec. Sec. 2.302
and 2.305.
2. Section 110.90 Computation of Time
Although Sec. 110.90 (a) would adopt the proposed wording of Sec.
2.306 (a), the substance of Sec. 110.90 (a) would not be altered. The
proposed language in paragraphs (a) and (b) of this section would no
longer count emergency closures of the Federal government if it is the
last day of the period when computing the amount of time a participant
would have to respond. Proposed Sec. 110.90 (c) adopts the same time
computation scheme as in proposed Sec. 2.306 (b). Existing paragraph
(d) would be withdrawn.
V. Minor Conforming Changes
Several sections in Title 10 of the Code of Federal Regulations
would require minor modifications to conform to the electronic filing
and service methods in E-Filing. Changes are proposed to the language
in Sec. Sec. 1.5, 2.340, 2.390, 2.346, and 2.808 as well as the
sections discussed above (e.g., Sec. 2.305 (b)) to provide for
electronic documents as well as for paper documents. The modifications
consist of changing the word ``paper'' to
[[Page 74958]]
``document'' or ``motion.'' Sections containing language that does not
exclude electronic documents, such as ``writing'' or ``written,'' would
not be modified because those sections already conform to the
electronic filing and service methods being proposed. In addition,
minor changes include amending the paragraph indexing when proposed
paragraphs would be inserted or current paragraphs deleted. If, as a
result of public comments or the NRC's review, it determines conforming
changes are needed to other sections of the NRC's regulations, the NRC
will incorporate those changes into the final rule.
VI. Voluntary Consensus Standards
The National Technology Transfer and Advancement Act of 1995,
Public Law 104-113, requires that Federal agencies use technical
standards that are developed by voluntary, private sector, consensus
standards bodies unless using such a standard is inconsistent with
applicable law or otherwise impractical. This proposed rule establishes
requirements and standards for the submission of filings to an
electronic docket in hearings under 10 CFR part 2 subpart C. Through
this rulemaking, the agency would implement the requirement in the
Government Paperwork Elimination Act, Public Law 105-277, that Federal
agencies allow electronic submissions of information where practicable;
therefore, this proposed rule does not constitute the establishment of
a Government-unique standard as defined in Office of Management and
Budget (OMB) Circular A-199 (1998).
VII. Environmental Impact: Categorical Exclusion
The proposed rule amends the filing and service procedures in 10
CFR part 2 subpart C and makes conforming changes to other parts of
Title 10 and, therefore, qualifies as an action eligible for the
categorical exclusion from environmental review under 10 CFR
51.22(c)(1). Therefore, neither an environmental impact statement nor
an environmental assessment has been prepared for this proposed
rulemaking.
VIII. Paperwork Reduction Act Statement
This proposed rule does not contain information collection
requirements and, therefore, is not subject to the requirements of the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
IX. Regulatory Analysis
A regulatory analysis has not been prepared for this rulemaking.
The amendments below will neither impose new, nor relax existing,
safety requirements and, thus, do not call for the sort of safety/cost
analysis described in the agency's regulatory analysis guidelines in
NUREG/BR-0058. Further, the NRC is required by the Government Paperwork
Elimination Act, Public Law 105-277 (44 U.S.C. 3505, note), to allow
electronic submissions when practicable. The proposed rule states the
requirements for electronic filing and service in all NRC hearings,
except those conducted on a high-level radioactive waste repository
application. The Commission, while strongly preferring that
participants file and serve their documents electronically, nonetheless
permits participants to submit paper filings if the participants can
offer good cause for taking this alternative approach. An analysis of
costs and benefits, therefore, would not alter the NRC's decision to
implement the policy embodied in this rule.
The NRC believes that this proposed rule would reduce the current
filing costs of persons who deal with the agency. Currently, most
submissions to the Commission are electronically mailed with a
conforming paper copy to follow. This rule would eliminate the need to
mail the paper copy. Because a majority of the participants in NRC
hearings electronically mail filings, they already have most, if not
all, of the requisite equipment. Also, the cost of the additional
equipment and software is minimal in relation to the savings expected
from eliminating the expenses of copying and postage. Although a
participant could purchase a scanner and a program that converts
documents to PDF format for approximately $100 each, the savings in
copying and postage costs could be hundreds, if not thousands, of
dollars.
X. Regulatory Flexibility Certification
As required by the Regulatory Flexibility Act of 1980, 5 U.S.C. 605
(b), the Commission certifies that this rule will not have a
significant economic impact on a substantial number of small entities.
It is probable that some poorly funded entities seeking to intervene
would be adversely affected by this Rule, but their number is too small
to necessitate the preparation of a Regulatory Flexibility
Certification. This rule applies in the context of Commission
adjudicatory proceedings concerning nuclear reactors or nuclear
materials. Reactor licensees are large organizations that do not fall
within the definition of a small business found in section 3 of the
Small Business Regulatory Enforcement Fairness Act of 1996, 15 U.S.C.
632, within the small business standards set forth in 13 CFR part 121,
or within the size standards adopted by the NRC (10 CFR 2.810). Based
upon the historically low number of requests for hearings involving
materials licensees, it is not expected that this rule would have any
significant economic impact on a substantial number of small
businesses.
XI. Backfit Analysis
The NRC has determined that the backfit rule does not apply to this
proposed rule because these amendments modify the procedures to be used
in NRC adjudicatory proceedings, and do not involve any provisions that
would impose backfits as defined in 10 CFR 50.109, 70.76, 72.62, and
76.76. Therefore, a backfit analysis has not been prepared for this
proposed rule.
List of Subjects
10 CFR Part 1
Organization and function (Government agencies).
10 CFR Part 2
Administrative practice and procedure, Antitrust, Byproduct
material, Classified information, Environmental protection, Nuclear
materials, Nuclear power plants and reactors, Penalties, Sex
discrimination, Source material, Special nuclear material, Waste
treatment and disposal.
10 CFR Part 13
Claims, Fraud, Organization and function (Government agencies),
Penalties.
10 CFR Part 110
Administrative practice and procedure, Classified information,
Criminal penalties, Export, Import, Intergovernmental relations,
Nuclear materials, Nuclear power plants and reactors, Reporting and
recordkeeping requirements, Scientific equipment.
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. 553; the NRC is proposing the
following amendments to 10 CFR parts 1, 2, 13, and 110.
[[Page 74959]]
PART 1--STATEMENT OF ORGANIZATION AND GENERAL INFORMATION
1. The authority citation for part 1 continues to read as follows:
Authority: Secs. 23, 161, 68 Stat. 925, 948, as amended (42
U.S.C. Sec. Sec. 2033, 2201); sec. 29, Pub. L. 85-256, 71 Stat.
579, Pub. L. 95-209, 91 Stat. 1483 (42 U.S.C. Sec. 2039); sec. 191,
Pub. L. 87-615, 76 Stat. 409 (42 U.S.C. 2241); secs. 201, 203, 204,
205, 209, 88 Stat. 1242, 1244, 1245, 1246, 1248, as amended (42
U.S.C. Sec. Sec. 5841, 5843, 5844, 5845, 5849); 5 U.S.C. Sec. Sec.
552, 553, Reorganization Plan No. 1 of 1980, 45 FR 40561, June 16,
1980.
2. In Sec. 1.5, paragraph (a) is revised to read as follows:
Sec. 1.5 Location of principal offices and Regional Offices.
(a) The principal NRC offices are located in the Washington, DC,
area. Facilities for the service of process and documents are
maintained in the State of Maryland at 11555 Rockville Pike, Rockville,
Maryland 20852-2738. The agency's official mailing address is U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001. The locations
of NRC offices in the Washington, DC area are as follows:
* * * * *
PART 2--RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND
ISSUANCE OF ORDERS
3. The authority citation for Part 2 is revised to read as follows:
Authority: Secs. 161, 181, 68 Stat. 948, 953, as amended (42
U.S.C. Sec. Sec. 2201, 2231); sec. 191, as amended, Pub. L. 87-615,
76 Stat. 409 (42 U.S.C. Sec. 2241); sec. 201, 88 Stat. 1242, as
amended (42 U.S.C. Sec. 5841); 5 U.S.C. Sec. 552; sec 1704, 112
Stat. 2750 (44 U.S.C. Sec. 3504 note).
4. Section 2.4 is amended to add in alphabetical order the
following definitions:
Sec. 2.4 Definitions.
Digital ID certificate means a file stored on a participant's
computer that contains the participant's name, e-mail address, and
participant's digital signature, proves the participant's identity when
filing documents and serving participants electronically through the
EIE, and contains public keys, which allow for the encryption and
decryption of documents so that the documents can be securely
transferred over the Internet.
E-Filing Guidance means the document issued by the Commission that
sets forth the transmission methods and formatting standards for filing
and service under E-Filing. The document can be obtained by visiting
the NRC's Web site at http://www.nrc.gov.
Electronic acknowledgment means a communication transmitted
electronically from the EIE to the submitter confirming receipt of
electronic filing and service.
Electronic Hearing Docket means the publicly available website
which houses a visual presentation of the docket and a link to its
files.
Electronic Information Exchange means the information system that
acts as a portal to receive electronic filings and documents and notify
participants that new filings have been received.
Optical Storage Medium means any physical computer component that
meets E-Filing Guidance standards for storing, saving, and accessing
electronic documents.
5. Section 2.302 is revised to read as follows:
Sec. 2.302 Filing of Documents.
(a) Documents filed in Commission adjudicatory proceedings subject
to this part shall be electronically transmitted through the EIE,
unless the Commission or presiding officer grants an exemption
permitting an alternative filing method or unless the filing falls
within the scope of paragraph (g)(1) of this section.
(b) Upon an order from the presiding officer permitting alternative
filing methods, or otherwise set forth in E-Filing Guidance, documents
may be filed by:
(1) First-class mail: Office of the Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemakings and Adjudications Staff;
(2) Courier, express mail, and expedited delivery services: Office
of the Secretary, Sixteenth Floor, One White Flint North, 11555
Rockville Pike, Rockville, MD 20852, Attention: Rulemakings and
Adjudications Staff; or
(3) E-mail: Office of the Secretary, U.S. Nuclear Regulatory
Commission, [email protected].
(c) All documents offered for filing must be accompanied by a
certificate of service stating the names and addresses of the persons
served as well as the manner and date of service.
(d) Filing is considered complete:
(1) By electronic transmission or e-mail when the filer performs
the last act that it must perform to transmit a document
electronically;
(2) By first-class mail as of the time of deposit in the mail;
(3) By courier, express mail, or expedited delivery service upon
depositing the document with the provider of the service; or
(4) If a filing must be submitted by two or more methods, such as a
filing that the E-Filing Guidance indicates should be transmitted
electronically as well as physically delivered or mailed on an optical
storage medium, the filing is complete when all methods of filing have
been completed.
(e) For filings by electronic transmission, the filer must make a
good faith effort to successfully transmit the entire filing.
Notwithstanding paragraph (c) of this section, a filing will not be
considered complete if the filer knows or has reason to know that the
entire filing has not been successfully transmitted.
(f) Digital ID Certificates.
(1) Through digital ID certificates, the NRC permits participants
in the proceeding to access the EIE to file documents, serve other
participants, and retrieve documents in the proceeding.
(2) Any participant or participant representative that does not
have a digital ID certificate shall seek one from the NRC before that
participant or representative intends to make its first electronic
filing to the EIE. A participant or representative may apply for a
digital ID certificate on the NRC Web site at http://www.nrc.gov/site-help/eie.html.
(3) Group ID Certificate. A participant wishing to obtain a digital
ID certificate valid for several persons may obtain a group digital ID
certificate. A Group ID cannot be used to file documents. The Group ID
provides access to the EIE for the individuals specifically identified
in the group's application to retrieve documents recently received by
the EIE. The Group ID also enables a group of people, all of whom may
not have individual digital ID certificates, to be notified when a
filing has been made in a particular proceeding.
(g) Filing Method Requirements.
(1) Electronic filing requirement. Unless otherwise provided by
order, all filings must be made as electronic submissions in a manner
that enables the NRC to receive, read, authenticate, distribute, and
archive the submission, and process and retrieve it a single page at a
time. Detailed guidance on making electronic submissions may be found
in the E-Filing Guidance and on the NRC Web site at http://www.nrc.gov/site-help/eie.html. If a filing contains sections of information or
electronic formats that may not be transmitted electronically for
security or other reasons, the portions not containing those sections
will be transmitted electronically to the EIE. In addition, an optical
storage medium (OSM) containing the entire filing must be physically
delivered or mailed. In such cases, the submitter does not need to
apply to the Commission or presiding
[[Page 74960]]
officer for an exemption to deviate from the requirements in paragraph
(g)(1) of this section.
(2) Electronic transmission exemption. Upon a finding of good
cause, the Commission or presiding officer can grant an exemption from
election transmission requirements found in paragraph (g)(1) of this
section to a participant who is filing electronic documents. The exempt
person is permitted to file electronic documents by physically
delivering or mailing an optical storage medium containing the
documents or by using another electronic transmission method, such as
e-mail. A participant granted this exemption would still be required to
meet the electronic formatting requirement in paragraph (g)(1) of this
section.
(3) Electronic document exemption. Upon a finding of good cause,
the presiding officer can exempt a participant from both the electronic
(computer file) formatting and electronic transmission requirements in
paragraph (g)(1) of this section. A participant granted such an
exemption can file paper documents either in person or by courier,
express mail, some other expedited delivery service, or first-class
mail, as ordered by the presiding officer.
(4) Requesting an exemption. A filer seeking an exemption under
paragraphs (g)(2) or (g)(3) of this section must submit the exemption
request with its first filing in the proceeding. In the request, a
filer must show good cause as to why he or she cannot file
electronically. The filer may not change its formats and delivery
methods for filing until a ruling on the exemption request is issued.
Exemption requests under paragraphs (g)(2) or (g)(3) of this section
sought after the first filing in the proceeding will be granted only if
the requestor shows that a significant change in circumstances makes
the electronic filing requirements onerous or if the interests of
fairness so require.
6. Section 2.304 is revised to read as follows:
Sec. 2.304 Formal requirements for documents; signatures; acceptance
for filing.
(a) Each document filed in an adjudication to which a docket number
has been assigned must show the docket number and title of the
proceeding.
(b) In addition to the requirements in this part, paper documents
must be stapled or bound on the left side; typewritten, printed, or
otherwise reproduced in permanent form on good unglazed paper of
standard letterhead size; signed in ink by the participant, its
authorized representative, or an attorney having authority with respect
to it; and filed with an original and two conforming copies.
(c) Each page in a document must begin not less than one inch from
the top, with side and bottom margins of not less than one inch. Text
must be double-spaced, except that quotations should be single-spaced
and indented. The requirements of this paragraph do not apply to
original documents, or admissible copies, offered as exhibits, or to
specifically prepared exhibits.
(d) The original of each document must be signed by the participant
or its authorized representative, or by an attorney having authority
with respect to it. The document must state the capacity of the person
signing; his or her address, phone number, and e-mail address; and the
date of signature. The signature of a person signing in a
representative capacity is a representation that the document has been
subscribed in the capacity specified with full authority, that he or
she has read it and knows the contents, that to the best of his or her
knowledge, information, and belief the statements made in it are true,
and that it is not interposed for delay. If a document is not signed,
or is signed with intent to defeat the purpose of this section, it may
be stricken.
(1) To sign an electronic document, the filing participant can
either use a digital ID certificate, or a typed in designation that the
original has been signed.
(i) When signing an electronic document using a digital ID
certificate, a signature page shall be added to the electronic
document. This signature page should contain a typed signature block
that includes: The phrase ``Signed (electronically) by,''; the name and
the capacity of the person signing; the person's address, phone number,
and e-mail address; and the date of signature.
(ii) When a group of people must sign a document, a typed-in
designation with the phrase ``Original signed by'' typed into the
signature line on the signature block indicating that the original has
been signed shall be submitted.
(2) Paper documents must be signed in ink.
(e) The first document filed by any participant in a proceeding
must designate the name and address of a person on whom service may be
made. This document must also designate the e-mail address, if any, of
the person on whom service may be made.
(f) Any document that fails to conform to the requirements of this
section may be refused acceptance for filing and may be returned with
an indication of the reason for nonacceptance. Any document that is not
accepted for filing will not be entered on the Commission's docket.
7. Section 2.305 is revised to read as follows:
Sec. 2.305 Service of documents; methods; proof.
(a) Service of documents by the Commission. Except for subpoenas,
the Commission shall serve all orders, decisions, notices, and other
documents to all participants, by the same delivery method those
participants file and accept service.
(b) Who may be served. Any document required to be served upon a
participant shall be served upon that person or upon the representative
designated by the participant or by law to receive service of
documents. When a participant has appeared by attorney, service shall
be made upon the attorney of record. For purposes of service of
documents, the staff of the Commission is considered a participant.
(c) Method of service accompanying a filing. Service must be made
electronically to the EIE. Upon an order from the presiding officer
permitting alternative filing methods under Sec. 2.302(g)(4), service
may be made by personal delivery, courier, expedited delivery service,
e-mail, or by first-class, express, certified or registered mail. If
service is made by e-mail, the original signed copy must be transmitted
to the Secretary by personal delivery, courier, expedited delivery
service, or by first-class, express, certified, or registered mail. As
to each participant that cannot serve electronically, the presiding
officer shall require service by the most expeditious means permitted
under this paragraph that are available to the participant, unless the
presiding officer finds that this requirement would impose undue burden
or expense on the participant.
(1) Unless otherwise provided in this paragraph(c)(1), a
participant will serve documents on the other participants by the same
method that those participants filed.
(2) A participant granted an exemption under Sec. 2.302(g)(2) will
serve the presiding officer, and the participants in the proceeding
that filed electronically, by physically delivering or mailing an
optical storage medium containing the electronic document.
(3) A participant granted an exemption under Sec. 2.302(g)(3) will
serve the presiding officer, and the other participants in the
proceeding, by physically delivering or mailing a paper copy.
[[Page 74961]]
(4) A certificate of service stating the names and addresses of the
persons served as well as the method and date of service must accompany
any paper served upon participants to the proceeding.
(5) Proof of service, which states the name and address of the
person served as well as the method and date of service, may be made as
required by law, by rule, or by order of the presiding officer.
(d) Method of service not accompanying a filing. Unless otherwise
provided in paragraph (c) of this section, a participant shall serve
pre-filed testimony on the presiding officer electronically and will
serve the other participants in the proceeding by the same method that
those participants filed documents. Service of demonstrative evidence,
e.g., maps and other physical evidence, may be made by first-class mail
in all cases, unless the presiding officer directs otherwise or the
participant desires to serve by a faster method. In instances when
service of a document under Sec. 2.336, such as a discovery document,
will not accompany a filing with the agency, the participant may use
any reasonable method of service to which the recipient agrees.
(e) Service on the Secretary. (1) All motions, briefs, pleadings,
and other documents must be served on the Secretary of the Commission
by the same or equivalent method, such as by electronic transmission or
first-class mail, that they are served upon the presiding officer, so
that the Secretary will receive the filing at approximately the same
time that it is received by the presiding officer to which the filing
is directed.
(2) When pleadings are personally delivered to a presiding officer
conducting proceedings outside the Washington, DC area, service on the
Secretary may be accomplished electronically to the EIE, as well as by
courier, express mail, expedited delivery service, or e-mail.
(3) Service of demonstrative evidence (e.g., maps and other
physical exhibits) on the Secretary of the Commission may be made by
first-class mail in all cases, unless the presiding officer directs
otherwise or the participant desires to serve by a faster method. All
pre-filed testimony shall be served on the Secretary of the Commission
by the same or equivalent method that it is served upon the presiding
officer to the proceedings, i.e., electronically to the EIE, personal
delivery or courier, express mail or expedited delivery service, or
electronic transmission.
(4) The addresses for the Secretary are:
(i) Internet: the EIE at http://www.nrc.gov.
(ii) First-class mail: Office of the Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemakings and Adjudications Staff.
(iii) Courier, express mail, and expedited delivery services:
Office of the Secretary, Sixteenth Floor, One White Flint North, 11555
Rockville Pike, Rockville, Maryland 20852, Attention: Rulemakings and
Adjudications Staff; and
(iv) E-mail addressed to the Secretary, U.S. Nuclear Regulatory
Commission, [email protected].
(f) When service is complete. Service upon a participant is
complete:
(1) By the EIE, when filing electronically to the EIE is considered
complete under Sec. 2.302 (c) and (d).
(2) By personal delivery, upon handing the document to the person,
or leaving it at his or her office with that person's clerk or other
person in charge or, if there is no one in charge, leaving it in a
conspicuous place in the office, or if the office is closed or the
person to be served has no office, leaving it at his or her usual place
of residence with some person of suitable age and discretion then
residing there;
(3) By mail, upon deposit in the United States mail, properly
stamped and addressed;
(4) By expedited service, upon depositing the document with the
provider of the expedited service;
(5) By e-mail, when the participant performs the last act that he
or she must perform to transmit the document electronically. Service
will not be considered complete, however, if the participant making
service knows or has reason to know that the document was not
successfully transmitted. Participants shall make a good faith effort
to successfully serve the presiding officer and the other participants;
or
(6) When service cannot be effected by a method provided by
paragraphs (f)(1)-(5) of this section, by any other method authorized
by law.
(7) When two or more methods of service are required, service is
considered complete when service by each method is complete under
paragraphs (f)(1)-(5) of this section.
(g) Service on the NRC staff.
(1) Service shall be made upon the NRC staff of all documents
required to be filed with participants and the presiding officer in all
proceedings, including those proceedings where the NRC staff informs
the presiding officer of its determination not to participate as a
participant. Service upon the NRC staff shall be by the same or
equivalent method as service upon the Office of the Secretary and the
presiding officer, e.g., electronically, personal delivery or courier,
express mail or expedited delivery service, or e-mail.
(2) If the NRC staff decides not to participate as a participant in
a proceeding, it shall, in its notification to the presiding officer
and participants of its determination not to participate, designate a
person and address for service of documents.
8. Section 2.306 is revised to read as follows:
Sec. 2.306 Computation of time.
(a) In computing any period of time, the day of the act, event, or
default after which the designated period of time begins to run is not
included. The last day of the period so computed is included unless it
is a Saturday, Sunday, or Federal legal holiday at the place where the
action or event is to occur, or emergency closure of the Federal
government in Washington, DC, during which the NRC Headquarters does
not open for business, in which event the period runs until the end of
the next day that is not a Saturday, Sunday, Federal legal holiday, or
emergency closure.
(b) Whenever a participant has the right or is required to do some
act within a prescribed period after the service of a notice or other
document upon him or her, no additional time is added to the prescribed
period except in the following circumstances:
(1) If a notice or document is served upon a participant, by first-
class mail only, three (3) calendar days will be added to the
prescribed period for all the participants in the proceeding.
(2) If a notice or document is served upon a participant, by
express mail or other expedited service only, two (2) calendar days
will be added to the prescribed period for all the participants in the
proceeding.
(3) If a document is to be served by multiple service methods, such
as partially electronic and entirely on an optical storage medium, the
additional number of days is computed according to the service method
used to deliver the entire document, excluding courtesy copies, to all
of the other participants in the proceeding.
(4) In mixed service proceedings when all participants are not
using the same filing and service method, the number of days for
service will be determined by the presiding officer based on
considerations of fairness and efficiency. The same number of
additional days will be added to the
[[Page 74962]]
prescribed period for all the participants in the proceeding with the
number of days being determined by the slowest method of service being
used in the proceeding.
(5) One (1) day will be added to the prescribed period for all the
participants in the proceeding:
(i) For a documents served in person or by expedited service, in a
document is received after 5 p.m. in the recipient's time zone; or
(ii) For a document served by the Hearings Network or by electronic
mail, if a document is transmitted by the sender on or after midnight
in the sender's time zone.
9. In Sec. 2.340, paragraph (f)(2) is revised to read as follows:
Sec. 2.340 Initial decision in contested proceedings on applications
for facility operating licenses; immediate effectiveness of initial
decision directing issuance or amendment of construction permit or
operating license.
* * * * *
(f) * * *
(2) Commission. Within sixty (60) days of the service of any
presiding officer decision that would otherwise authorize issuance of a
construction permit, the Commission will seek to issue a decision on
any stay motions that are timely filed. These motions must be filed as
provided by Sec. 2.341. For the purpose of this paragraph, a stay
motion is one that seeks to defer the effectiveness of a presiding
officer decision beyond the period necessary for the Commission action
described herein. If no stay motions are filed, the Commission will,
within the same time period (or earlier if possible), analyze the
record and construction permit decision below on its own motion and
will seek to issue a decision on whether a stay is warranted. However,
the Commission will not decide that a stay is warranted without giving
the affected participants an opportunity to be heard. The initial
decision will be considered stayed pending the Commission's decision.
In deciding these stay questions, the Commission shall employ the
procedures set out in Sec. 2.342.
* * * * *
10. In Sec. 2.346, the introductory text is revised to read as
follows:
Sec. 2.346 Authority of the Secretary.
When briefs, motions or other documents are submitted to the
Commission itself, as opposed to officers who have been delegated
authority to act for the Commission, the Secretary or the Assistant
Secretary is authorized to:
* * * * *
11. In Sec. 2.390, paragraph (b)(1)(iii) is revised to read as
follows:
Sec. 2.390 Public inspections, exemptions, requests for withholding.
* * * * *
(b) * * *
(1) * * *
(iii) In addition, an affidavit accompanying a withholding request
based on paragraph (a)(4) of this section must contain a full statement
of the reason for claiming the information should be withheld from
public disclosure. Such statement shall address with specificity the
considerations listed in paragraph (b)(4) of this section. In the case
of an affidavit submitted by a company, the affidavit shall be executed
by an officer or upper-level management official who has been
specifically delegated the function of reviewing the information sought
to be withheld and authorized to apply for its withholding on behalf of
the company. The affidavit shall be executed by the owner of the
information, even though the information sought to be withheld is
submitted to the Commission by another person. The application and
affidavit shall be submitted at the time of filing the information
sought to be withheld. The information sought to be withheld shall be
incorporated, as far as possible, into a separate document. The affiant
must designate with appropriate markings information submitted in the
affidavit as a trade secret, or confidential or privileged commercial
or financial information within the meaning of Sec. 9.17(a)(4) of this
chapter, and such information shall be subject to disclosure only in
accordance with the provisions of Sec. 9.19 of this chapter.
* * * * *
12. In Sec. 2.808, the introductory text is revised to read as
follows:
Sec. 2.808 Authority of the Secretary to rule on procedural matters.
When briefs, motions or other documents listed herein are submitted
to the Commission itself, as opposed to officers who have been
delegated authority to act for the Commission, the Secretary or the
Assistant Secretary is authorized to:
* * * * *
PART 13--PROGRAM FRAUD CIVIL REMEDIES
13. The authority citation for Part 13 continues to read as
follows:
Authority: Public Law 99-509, secs. 6101-6104, 100 Stat. 1874
(31 U.S.C. 3801-3812). Sections 13.13 (a) and (b) also issued under
section Pub. L. 101-410, 104 Stat. 890, as amended by section
31001(s), Pub. L. 104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 note.)
14. In Sec. 13.9, paragraph (a) is revised to read as follows:
Sec. 13.9 Answer.
(a) The defendant may request a hearing by filing an answer with
the reviewing official within thirty (30) days of service of the
complaint. Service of an answer shall be made by electronically
delivering a copy to the reviewing official in accordance with Sec.
13.26. An answer shall be deemed a request for hearing.
* * * * *
15. Section 13.26 is revised to read as follows:
Sec. 13.26 Filing and service of papers.
(a) Filing. (1) Unless otherwise provided by order, all filings
must be made as electronic submissions in a manner that enables the NRC
to receive, read, authenticate, distribute, and archive the submission,
and process and retrieve it a single page at a time. Detailed guidance
on making electronic submissions may be found in the E-Filing Guidance
and on the NRC Web site at http://www.nrc.gov/site-help/eie.html. If a
filing contains sections of information or electronic formats that may
not be transmitted electronically for security or other reasons,
portions not containing those sections will be transmitted
electronically to the EIE. In addition, an optical storage medium
containing the entire filing must be physically delivered or mailed. In
such cases, the submitter does not need to apply to the Commission for
an exemption to deviate from the requirements in paragraph (a) of this
section.
(2) Electronic transmission exemption. The ALJ may relieve a person
who is filing electronic documents of the transmission requirements in
paragraph (a) of this section. Such a person will file electronic
documents by physically delivering or mailing an optical storage medium
containing the documents or by another electronic transmission method,
such as e-mail. The electronic formatting requirement in paragraph (a)
of this section must be met. If service is made by e-mail, the original
signed copy must be transmitted to the Secretary by personal delivery,
courier, expedited delivery service, or by first-class, express,
certified, or registered mail.
(3) Electronic document exemption. The ALJ may relieve a
participant of both the electronic (computer file) formatting and
transmission requirements in paragraph (a)(1) of this section. Such a
participant will file
[[Page 74963]]
paper documents physically or by mail to the Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemakings and Adjudications Staff. Filing by mail is complete upon
deposit in the mail.
(4) Requesting an exemption. A participant seeking an exemption
under paragraph (a)(2) or (a)(3) of this section must submit the
exemption request with its first filing in the proceeding. In the
request, the requestor must show good cause as to why he or she cannot
file electronically. The filer may not change its formats and delivery
methods for filing until a ruling on the exemption request is issued.
Exemption requests submitted after the first filing in the proceeding
will be granted only if a significant change in circumstances makes the
electronic filing requirements onerous or if the interests of fairness
so require.
(5) Every pleading and paper filed in the proceeding shall contain
a caption setting forth the title of the action, the case number
assigned by the presiding officer, and a designation of the document
(e.g., motion to quash subpoena).
(6) Every pleading and document shall be signed by, and shall
contain the address and telephone number of the participant or the
person on whose behalf the paper was filed, or his or her
representative.
(7) All documents offered for filing must be accompanied by a
certificate of service stating the names and addresses of the persons
served as well as the methods and date of service.
(8) Filing is complete when the filer performs the last act that it
must perform to submit a document, such as hitting the send/submit/
transmit button for an electronic transmission or depositing the
document in a mailbox.
(b) Service. A participant filing a document with the ALJ shall at
the time of filing, serve a copy of such document on every other
participant. Service upon any participant of any document other than
those required to be served as prescribed in Sec. 13.8 shall be made
electronically to the EIE. When a participant is represented by a
representative, service shall be made upon such representative in lieu
of the actual participant. Upon an order from the ALJ permitting
alternative filing methods under paragraphs (a)(2) or (a)(3) of this
section, service may be made by e-mail, physical delivery, or mail. As
to each participant that cannot serve electronically, the ALJ shall
require service by the most expeditious means permitted under this
paragraph that are available to the participant, unless the ALJ finds
that this requirement would impose undue burden or expense on the
participant.
(1) Unless otherwise provided in this paragraph, a participant will
serve documents on the other participants by the same method that those
participants filed.
(2) A participant granted an exemption under paragraph (a)(2) of
this section will serve the participants in the proceeding that filed
electronically by physically delivering or mailing an optical storage
medium containing the electronic document.
(3) A participant granted an exemption under (a)(3) will serve the
other participants in the proceeding by physically delivering or
mailing a paper copy.
(4) A certificate of service stating the names and addresses of the
persons served as well as the method and date of service must accompany
any paper served upon participants to the proceeding.
(5) Proof of service, which states the name and address of the
person served as well as the method and date of service, may be made as
required by law, by rule, or by order of the Commission.
16. Section 13.27 is revised to read as follows:
Sec. 13.27 Computation of time.
(a) In computing any period of time under this part or in an order
issued thereunder, the time begins with the day following the act,
event, or default, and includes the last day of the period, unless it
is a Saturday, Sunday, Federal legal holiday at the place where the
action or event is to occur, or emergency closure of the Federal
government in Washington, DC, during which the NRC Headquarters does
not open for business, in which event it includes the next day that is
not a Saturday, Sunday, holiday or emergency closure.
(b) When the period of time allowed is less than seven (7) days,
intermediate Saturdays, Sundays, Federal legal holidays, and emergency
closures shall be excluded from the computation.
(c) Whenever an action is required within a prescribed period by a
document served pursuant to Sec. 13.26, no additional time is added to
the prescribed period except in the following circumstances:
(1) If a notice or document is served upon a participant, by first-
class mail only, three (3) calendar days will be added to the
prescribed period for all the participants in the proceeding.
(2) If a notice or document is served upon a participant, by
express mail or other expedited service only, two (2) calendar days
will be added to the prescribed period for all the participants in the
proceeding.
(3) If a document is to be served by multiple service methods, such
as partially electronic and entirely on an OSM, the additional number
of days is computed according to the service method used to deliver the
entire document, excluding courtesy copies, to all of the other
participants in the proceeding.
(4) In mixed service proceedings where all participants are not
using the same filing and service method, the same number of additional
days will be added to the prescribed period for all the participants in
the proceeding with the number of days being determined by the slowest
method of service being used in the proceeding.
(5) One (1) day will be added to the prescribed period for all the
participants in the proceeding:
(i) For a document served in person or by expedited service, if a
document is received after 5 p.m. in the recipient's time zone; or
(ii) For a document served by the Hearings Network or by electronic
mail, if a document is transmitted by the sender on or after midnight
in the sender's time zone.
PART 110--EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL
17. The authority citation for Part 110 continues to read as
follows:
Authority: Secs. 51, 53, 54, 57, 63, 64, 65, 81, 82, 103, 104,
109, 111, 126, 127, 128, 129, 161, 181, 182, 183, 187, 189, 68 Stat.
929, 930, 931, 932, 933, 936, 937, 948, 953, 954, 955, 956, as
amended (42 U.S.C. 2071, 2073, 2074, 2077, 2092-2095, 2111, 2112,
2133, 2134, 2139, 2139a, 2141, 2154-2158, 2201, 2231-2233, 2237,
2239); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 5,
Pub. L. 101-575, 104 Stat. 2835 (42 U.S.C. 2243); sec. 1704, 112
Stat. 2750 (44 U.S.C. 3504 note). Sections 110.1(b)(2) and
110.1(b)(3) also issued under Pub. L. 96-92, 93 Stat. 710 (22 U.S.C.
2403). Section 110.11 also issued under sec. 122, 68 Stat. 939 (42
U.S.C. 2152) and secs. 54c and 57d, 88 Stat. 473, 475 (42 U.S.C.
2074). Section 110.27 also issued under sec. 309(a), Pub. L. 99-440.
Section 110.50(b)(3) also issued under sec. 123, 92 Stat. 142 (42
U.S.C. 2153). Section 110.51 also issued under sec. 184, 68 Stat.
954, as amended (42 U.S.C. 2234). Section 110.52 also issued under
sec. 186, 68 Stat. 955 (42 U.S.C. 2236). Sections 110.80-110.113
also issued under 5 U.S.C. 552, 554. Sections 110.130-110.135 also
issued under 5 U.S.C. 553. Sections 110.2 and 110.42(a)(9) also
issued under sec. 903, Pub. L. 102-496 (42 U.S.C. 2151 et seq.).
18. Section 110.89 is revised to read as follows:
[[Page 74964]]
Sec. 110.89 Filing and service.
(a) Hearing requests, intervention petitions, answers, replies and
accompanying documents must be filed with the Commission electronically
through the EIE, unless one of the exemptions applies. Unless otherwise
provided, all filings must be made as electronic submissions in a
manner that enables the NRC to receive, read, authenticate, distribute,
and archive the submission, and process and retrieve it a single page
at a time. Detailed guidance on making electronic submissions may be
found in the E-Filing Guidance and on the NRC Web site at http://www.nrc.gov/site-help/eie.html. Filing by electronic transmission is
complete when the participant performs the last act that it must
perform to transmit a document electronically.
(1) If a filing contains sections of information or electronic
formats that are not to be transmitted electronically for security or
other reasons, portions not containing those sections will be
transmitted electronically to the EIE. In addition, an optical storage
medium containing the entire filing must be physically delivered or
mailed. In such cases, the submitter does not need to apply to the
Commission for an exemption to deviate from the requirements in
paragraph (a) of this section.
(2) Electronic transmission exemption. Upon a finding of good
cause, the Commission may relieve a person who is filing electronic
documents of the transmission requirements in paragraph (a) of this
section. Such a person will file electronic documents by physically
delivering or mailing an optical storage medium containing the
documents or by another electronic transmission method, such as e-mail.
The electronic formatting requirement in paragraph (a) of this section
must be met. If service is made by e-mail, the original signed copy
must be transmitted to the Secretary by personal delivery, courier,
expedited delivery service, or by first-class, express, certified, or
registered mail.
(3) Electronic document exemption. Upon a finding of good cause,
the Commission may relieve a participant of both the electronic
(computer file) formatting and transmission requirements in paragraphs
(a) and (a)(1) of this section. Such a participant will file paper
documents physically or by mail to the Secretary, U.S. Nuclear
Regulatory Commission, Washington, DC 20555-0001, Attention:
Rulemakings and Adjudications Staff. Filing by mail is complete upon
deposit in the mail.
(4) Requesting an exemption. A participant seeking an exemption
under paragraph (a)(2) or (a)(3) of this section must submit the
exemption request with its first filing in the proceeding. In the
request, the requestor must show good cause as to why he or she cannot
file electronically. The filer may not change its formats and delivery
methods for filing until a ruling on the exemption request is issued.
Exemption requests submitted by a participant after its first filing in
the proceeding will be granted only if a significant change in
circumstances makes the electronic filing requirements onerous or if
the interests of fairness so require.
(5) All documents offered for filing must be accompanied by a
certificate of service stating the names and addresses of the persons
served as well as the methods and date of service.
(6) The Department of State or other Executive Branch agencies may
file paper documents with the Commission and do not need to apply to
the Commission for an exemption to deviate from the requirements in
paragraph (a) of this section.
(b) All filings and Commission notices and orders must be served
upon the applicant; the General Counsel, U.S. Nuclear Regulatory
Commission, Washington, DC 20555; the Executive Secretary, Department
of State, Washington, DC 20520; and participants if any. Hearing
requests, intervention petitions, and answers and replies must be
served by the person filing those pleadings.
(c) Service must be made electronically to the EIE. Upon an order
from the Commission permitting alternative filing methods under
paragraph (a)(2) or (a)(3) of this section, service may be made by e-
mail, physical delivery, or mail. As to each participant that cannot
serve electronically, the Commission shall require service by the most
expeditious means permitted under this paragraph that is available to
the participant, unless the Commission finds that this requirement
would impose undue burden or expense on the participant.
(1) Unless otherwise provided in this subsection, a participant
will serve documents on the other participants by the same method that
those participants filed.
(2) A participant granted an exemption under paragraph (a)(2) of
this section will serve the participants in the proceeding that filed
electronically by physically delivering or mailing an optical storage
medium containing the electronic document.
(3) A participant granted an exemption under paragraph (a)(3) of
this section will serve the other participants in the proceeding by
physically delivering or mailing a paper copy.
(4) A certificate of service stating the names and addresses of the
persons served as well as the method and date of service must accompany
any paper served upon participants to the proceeding.
(5) Proof of service, which states the name and address of the
person served as well as the method and date of service, may be made as
required by law, by rule, or by order of the Commission.
(6) Service to the Executive Secretary, Department of State, is
completed by:
(i) Physically delivering the filing;
(ii) Depositing it in the United States mail, properly stamped and
addressed;
(iii) Electronically through the EIE in cases where the Executive
Secretary has obtained a digital ID; or
(iv) Any other method authorized by law, when service cannot be
made as provided in paragraphs (c)(6)(i) through (c)(6)(iii) of this
section.
19. Section 110.90 is revised to read as follows:
Sec. 110.90 Computation of time.
(a) In computing any period of time, the day of the act, event, or
default after which the designated period of time begins to run is not
included. The last day of the period so computed is included unless it
is a Saturday, Sunday, Federal legal holiday at the place where the
action or event is to occur, or emergency closure of the Federal
government in Washington, DC, during which the NRC Headquarters does
not open for business, in which event the period runs until the end of
the next day that is not a Saturday, Sunday, holiday, or emergency
closure.
(b) In time periods of less than seven (7) days, intermediate
Saturdays, Sundays, Federal legal holidays, and emergency closures are
not counted.
(c) Whenever an action is required within a prescribed period by a
document served under Sec. 110.89 of this part, no additional time is
added to the prescribed period except in the following circumstances:
(1) If a notice or document is served upon a participant, by first-
class mail only, three (3) calendar days will be added to the
prescribed period for all the participants in the proceeding.
(2) If a notice or document is served upon a participant, by
express mail or other expedited service only, two (2) calendar days
will be added to the prescribed period for all the participants in the
proceeding.
(3) If a document is to be served by multiple service methods, such
as
[[Page 74965]]
partially electronic and entirely on OSM, the additional number of days
is computed according to the service method used to deliver the entire
document, excluding courtesy copies, to all of the other participants
in the proceeding.
(4) In mixed service proceedings where all participants are not
using the same filing and service method, the same number of additional
days will be added to the prescribed period for all the participants in
the proceeding with the number of days being determined by the slowest
method of service being used in the proceeding.
(5) One (1) day will be added to the prescribed period for all the
participants in the proceeding:
(i) For a documents served in person or by expedited service, in a
document is received after 5 p.m. in the recipient's time zone; or
(ii) For a document served by the Hearings Network or by electronic
mail, if a document is transmitted by the sender on or after midnight
in the sender's time zone.
Dated at Rockville, Maryland, this 30th day of November, 2005.
For the Nuclear Regulatory Commission.
Annette Vietti-Cook,
Secretary of the Commission.
Note: This Appendix will not be printed in the Code of Federal
Regulations
Proposed Guidance for Submission of Electronic Docket Materials Under
10 CFR Part 2, Subpart C, 10 CFR Part 13, 10 CFR Part 110
Table of Contents
1.0 Introduction
1.1 Background
1.2 Scope
1.3 Exceptions to Electronic Submission
2.0 Applicable Submittal Types
3.0 Parameters for Electronic File Submission
3.1 File Formats
3.2 File Size Limitations
3.3 Segmentation of Large Documents
3.4 Transmittal Letter
3.5 Electronic File Naming Conventions
3.6 Security/Access Settings
3.7 Resolution
3.8 Files with Special Printing Requirements
3.9 File Linkages
3.10 Viruses
3.11 Copyrighted Information
3.12 Accessibility (Section 508)
3.13 Sensitive Information
3.14 Classified and Safeguards Information
3.15 Document Updates
4.0 EIE Submissions
5.0 Optical Storage Media Submissions
Attachment A--Settings
Attachment B--Glossary
Attachment C--Sample Transmittal Letters and Corresponding EIE Forms
Attachment D--Sample Files Describing ``BLOBS'' or Physical Objects
Attachment E--Types of Hyperlinks and Need for Disclaimers
1.0 Introduction
1.1 Background
On December 16, 2005, the Nuclear Regulatory Commission (NRC)
promulgated a final rule on electronic submission of filings to the
agency. This rule modified provisions of Title 10, parts 2, subpart C
(10 CFR part 2, subpart C), 13 (10 CFR part 13), and 110 (10 CFR part
110) to require that all filings submitted and all orders and decisions
issued during the course of most proceedings must be transmitted
electronically to participants in the proceeding, the presiding
officer, and the Office of the Secretary of the Commission (SECY). The
NRC maintains Electronic Hearing Dockets (EHDs), which contain the
official record of documents and materials submitted in the NRC's
electronic proceedings, for the electronic submission of filings. The
final rule stated that the NRC would issue specific guidance on
acceptable procedures for electronic submissions. That guidance is
contained in this document. This guidance document is the source of
information on the electronic submission of adjudicatory filings to the
NRC. The NRC plans to update this guidance periodically to reflect
changes in technology and agency experience by posting the latest
version of the document on the NRC's Web site at http://www.nrc.gov/sitehelp/eie.html. The NRC recommends that parties in proceedings
before the agency routinely check the NRC website before submitting
documents to the agency electronically to ensure they have the most
updated version of the guidance document. While the Commission mandates
the submission of electronic filings, exemptions are available to
submit paper documents if good cause is set forth by the requesting
party.
The NRC has analyzed and evaluated the capabilities of current
information technologies and the various document and record management
processes executed by the Agency to handle the anticipated submittals.
Based on those analyses, the NRC anticipates that some electronic
submittals in NRC adjudicatory proceedings could be ``large documents''
consisting of hundreds of pages of textual and graphic-oriented
materials with electronic file sizes more than several hundred
megabytes (MB). To provide for the integrity and accessibility of the
large and complex electronic documents in NRC proceedings, the NRC is
providing this guidance document to facilitate, (1) submittal
processing, (2) ready access to, and use of, such submittals by
participants in NRC proceedings, and (3) public access to the EHDs.
(Attachment B to this guidance presents a glossary of related terms.)
1.2 Scope
This guidance document contains the information on the electronic
transmission and submission of filings to the NRC by all participants
in adjudicatory proceedings conducted under 10 CFR part 2, subpart C,
10 CFR part 13, and 10 CFR part 110. This guidance does not apply to
any proceeding governed by 10 CFR part 2, subpart J (Procedures
Applicable to Proceedings for the Issuance of Licenses for the Receipt
of High-Level Radioactive Waste in a Geologic Repository).
This guidance includes the procedures for filing electronically
with the NRC via the Internet using the Electronic Information Exchange
(EIE) (section 4.0) and by Optical Storage Media (OSMs) (e.g., CD-ROM
(Compact Disk, Read Only Memory)) (section 5.0). Physical delivery of
OSM is permitted, in part, in recognition that it may not be practical
to submit some large and complex electronic files via the Internet.\1\
Any OSM delivered to the NRC should contain a complete copy of the
electronic submission, including any and all associated files that were
also transmitted by the EIE.
---------------------------------------------------------------------------
\1\ The following electronic files may not be suitable for
submission via the EIE:
Multimedia files (e.g., audio and/or video files,
simulations);
Executable programs, including database files,
spreadsheets;
Data files specific to commercially available software;
and
Data files specific to non-commercially available
software.
---------------------------------------------------------------------------
Electronic filings may contain textual documents, graphic-oriented
documents (e.g., maps, photographs, charts, handwritten documents), or
other large or complex electronic objects (e.g., computer programs,
computer simulations, spreadsheets, audio and/or video files, data
files). Examples of documents submitted or issued in adjudicatory
proceedings include:
Adjudicatory documents (e.g., intervention petitions,
motions, responses, transcripts, exhibits, decisions, and orders)
License Applications and supporting materials
Environmental Impact Statements
Responses to NRC requests for additional information
Generally, this guidance provides for service of adjudicatory
docket materials
[[Page 74966]]
via the Internet using the NRC's EIE (see section 4.0) in an electronic
format that ``locks down'' the content and pagination of documentary
material for ease of citation in the proceeding, thereby ensuring
document integrity when accessed by the users on their computer
desktops. The EIE system also uses a public key infrastructure and
digital signature certificate technology to authenticate documents and
validate the identity of the person submitting the information. That
is, the system ensures that the exchanged information is secure and
that the person submitting the material is, in fact, who is indicated.
It requires the use of digital signatures and certain software plug-
ins. Procedures for acquiring a digital signature certificate for
communicating with the NRC via the EIE and for acquiring the required
software can be found on the NRC's Web site at http://www.nrc.gov/site-help/eie.html.
Failure to comply with this guidance may result in the rejection of
the submittal.
1.3 Exceptions to Electronic Submissions
The following must not be submitted electronically via the Internet
using the EIE:
1. Classified Information (i.e., National Security Information and
Restricted Data), and Safeguards Information. This information may only
be submitted electronically in an OSM.
2. Documents served on the NRC as a participant in Federal Court
proceedings or in non-NRC administrative proceedings (such as
administrative reviews before the Merit Systems Protection Board),
unless electronic submission is authorized by rule or order issued by a
Federal Court or Agency.
2.0 Applicable Submittal Types
The NRC anticipates that electronic documentary submittals will
fall into three general categories based on the submittal type, size,
and characteristics. The following table describes these categories and
summarizes the applicable submission methods.
BILLING CODE 7590-01-P
[[Page 74967]]
[GRAPHIC] [TIFF OMITTED] TP16DE05.008
[[Page 74968]]
3.0 Parameters for Electronic File Submission
This section describes how documentary material should be
constructed for submission to the NRC.
3.1 File Formats
Electronic documentary materials submitted in NRC adjudicatory
proceedings should be submitted in PDF (a widely available format) or
otherwise meet the specifications delineated in this section. Scanning
of the best available copy of a paper document to create a Searchable
Image (Exact) PDF file creates an accurate electronic copy of the
original document.
The following table defines the particular PDF output file formats
and their use when submitting electronic documents to the NRC:
Preferred PDF Output File Format General Information Table
----------------------------------------------------------------------------------------------------------------
Filename
File format Version extension Recommended use
----------------------------------------------------------------------------------------------------------------
Adobe[supreg] Acrobat Portable Current or 2 previous*............ pdf.............. Textual documents
Document Format (PDF) Formatted converted from native
Text and Graphics (Formerly applications only **,
known as PDF Normal). Options ***.
should be set according to the
settings described in
Attachment A.
Adobe[supreg] Acrobat PDF Current or 2 previous*............ pdf.............. Textual documents
Searchable Image (Exact) converted from scanned
[formerly known as PDF Original documents.
Image with Hidden Text].
Options should be set according
to the settings described in
Attachment A.
Adobe[supreg] Acrobat PDF Image Current or 2 previous*............ pdf.............. Preferred format for
Only. Options should be set graphic-, image-, and
according to the settings forms-oriented
described in Attachment A. documents (cannot be
used for textual
documents because it
is not Section 508
compliant****).
----------------------------------------------------------------------------------------------------------------
\*\The acceptable versions of PDF output files include the current market (non-beta) version distributed by the
software vendor, the version distributed directly previous to the current version, and the version distributed
two versions previous to the current version.
\**\Textual documents scanned from original paper copies converted to PDF Formatted Text and Graphics result in
capture of only a text file that contains OCR conversion errors. This inaccurate representation of the
original document is not acceptable for capture by the NRC as an archival record. If the native format of a
document is not available for creating a PDF file, the NRC recommends that Searchable Image (Exact) PDF be
generated from a scanned image of the document. This will create a PDF file that contains a 100% accurate
representation of the original document which will be acceptable for transfer to the National Archives.
\***\Adobe'' PDF Formatted Text and Graphics files that contain embedded images of text will not be accepted.
These files are usually a result of cutting and pasting images of text instead of the text itself, from one
document to another while creating documents using word processing applications. This practice results in a
picture of the text being created that is not full text searchable. However, images of text that are intended
as a graphical representation only and are not meant to convey the information contained in the text will be
accepted.
\****\See Sec. 3.12 of this document for more section 508.
Note: Adobe has recently established a fourth PDF output file format (PDF Searchable Image (Compact)) that uses
compression techniques to reduce file sizes of images. This is not an acceptable format for submission to the
NRC.
Adobe[supreg] Distiller 6 provides various default optimizations
when creating the Formatted Text and Graphics PDF. The NRC has reviewed
these optimizations and has established a custom optimization that
strikes a balance between print and screen optimizations. This custom
optimization provides adequate retrieval response time for viewing
online while providing sufficient clarity and resolution for printing.
The settings contained within this custom optimization are in
Attachment A and can be saved locally for use on all submittals to the
NRC. The parameter values listed in Attachment A are specific to
Adobe[supreg] Distiller 6; however, when PDF creation software other
than Adobe[supreg] Distiller 6 is used, the PDF creation software
should be configured with parameter values equivalent to those listed
in Attachment A. All fonts should be embedded in the PDF file to ensure
compliance with NARA guidelines.
Images originally created in a Tagged Image File Format (TIFF) that
are primarily graphic-oriented in nature should be converted into PDF
for submission to NRC using the PDF Image Only format as described
above.
When submitting an electronic file using one of the acceptable
formats listed in the tables above, the file name should contain the
three-character default extension in which the file was created (e.g.,
a document prepared as ``license--amendment.pdf'' should be submitted
with the ``.pdf'' file extension).
Spreadsheet Formats
The NRC requires that the results of spreadsheet applications be
converted to one of the acceptable PDF file formats. The NRC staff may
also request spreadsheet data to perform additional calculations/
analyses. Spreadsheet data may be submitted using the following
acceptable formats.
Acceptable File Extensions General Information Table
----------------------------------------------------------------------------------------------------------------
Filename
File format Version extension Preferred use
----------------------------------------------------------------------------------------------------------------
Microsoft[supreg] Excel[supreg]. Current or 2 previous*............ xls.............. Spread Sheet
calculations.
Corel[supreg] QuattroPro........ Current or 2 previous*............ wb3.............. Spread Sheet
calculations.
Lotus[supreg] 1-2-3............. Current or 2 previous*............ wk3/wk4.......... Spread Sheet
calculations.
----------------------------------------------------------------------------------------------------------------
\*\The acceptable versions of spreadsheets include the current market (non-beta) version distributed by the
software vendor, the version distributed directly previous to the current version, and the version distributed
two versions previous to the current version.
[[Page 74969]]
Graphic-Oriented and Large and Complex Electronic Objects
To the extent practical, textual files, graphic-oriented files, and
other electronic objects (e.g., spreadsheets, audio and/or video files)
should be submitted electronically as PDF files. In rare instances PDF
conversion may not be successful due to technical reasons (e.g., fatal
hardware, software, or operating systems errors that prevent completion
of the conversion). In addition, if the applicable file size and
resolution restrictions (see sections 3.2, 3.7) cannot be met for a
given graphic-oriented file or other electronic object, users must not
submit that file or object in PDF. Submission of non-PDF files should
include a detailed statement for each file that explains why PDF is not
practical.
The NRC recommends submitting oversize image files that, for
technical reasons, do not successfully convert to PDF in a non-
proprietary format that does not utilize lossy compression (e.g.,
tagged image file format, also known as TIFF). Similarly, the NRC
recommends submitting video and audio files in a format compatible with
commercially available playback devices.
Electronic objects specific to highly specialized software
applications such as special-purpose computer programs, simulations,
and data files are acceptable in their native file format. Submission
of these specialized electronic objects that are specific to
commercially available software should include the following
information about the software:
Software title and version
Compatible computer operating system
Hardware requirements (including the minimum recommended
hardware configuration)
A list of user-controlled parameters used with the
software.
Submission of these specialized electronic objects that are
specific to non-commercially available software should include (1) a
freely distributable ``run-time'' version of all software components
that the submitter used to create the files, and (2) the following
information:
Compatible computer operating system
Software and hardware installation/configuration
parameters
Hardware requirements (including the minimum recommended
hardware configuration)
Other information to ensure seamless access to and review,
duplication, and printing of the files.
3.2 File Size Limitations
Large files create challenges for users when transmitting, viewing,
or downloading documents. Submitters should limit file sizes to 50 MB
for electronic submittals and divide larger electronic files into
segments of 50 MB or less at logical breaks in the document (e.g., at
individual chapters) as described in section 3.3.
Compression techniques that are not inherent in authoring software
used to produce PDF or TIFF files may not be used.
The 50 MB file size limitation will allow participants in the
adjudicatory proceeding and the general public to access electronic
files in the EHDs via the Internet. Test results indicate that 50 MB is
a reasonable file size for downloading files via the Internet. In
addition, larger files (greater than 50 MB) are difficult for end-users
to navigate.
While we do not recommend a minimum file size, small files that are
components of a larger document should be combined into one file to
facilitate efficient distribution and use of the documentary material.
For example, if a document consists of 15 separate 2 MB files, those 15
files should be combined to result in one 30 MB file.
3.3 Segmentation of Large Documents
Large documents with file sizes greater than 50 MB should be
divided in file segments of 50 MB or less at logical breakpoints such
as:
a. Chapters.
b. Sections.
c. Subsections.
d. Appendices.
e. Exhibits or attachments.
f. Charts; tables; formulae.
g. For large transcripts, the end of a witness' testimony or
session recess.
If the recommended file size cannot be achieved, consider moving
the graphics (which are often large files) to an appendix or
attachment. Any graphic or other Binary Large Object (BLOB) that
exceeds the 50 MB limit and that cannot logically be divided, should
not be segmented. In this case, the graphic or BLOB cannot be sent via
the EIE (see section 4.0) and should be provided on OSM in accordance
with guidance in section 5.0.
When OSM are submitted, use electronic folders to organize the
contents at the chapter level consistent with the file name guidance
outlined in Section 3.5. In addition to the limit on file name length,
the Joliet Extension to IS0 9660 allows an overall limit on length of
path of 255 characters, including the file name and extension.\2\ The
numeric portion of the file name should be sequential across all
folders. Therefore:
---------------------------------------------------------------------------
\2\ See Glossary on page B2 for an explanation of these terms.
---------------------------------------------------------------------------
Each Chapter will have its own folder which should then
contain all files associated with that Chapter, including sections,
subsections, and graphics (either embedded within those sections/
subsections or provided separately).
The sections/subsections should be placed in logical
sequential order within a folder.
Separate folders may be created for appendices, exhibits,
or attachments. Each item should have the file name reflect the folder
where it resides, if practical, in conjunction with complying with the
file name guidance in section 3.5.
If multiple OSM are submitted (either alone or as a supplement to
an EIE submission), place the Table of Contents for the entire
submission on each OSM in a multi-set submission. Place all files
submitted via the EIE on the first OSM and as many additional OSM as
required to store those files submitted via the EIE. Submit other
electronic objects such as computer programs, simulations, video,
audio, data files, etc., on separate OSM and include any special
software components, their configuration parameters, and any hardware
configuration requirements, as applicable.
3.4 Transmittal Letter
Include with each submittal, a transmittal letter \3\ (see
Attachment C) that provides explanatory information that will enable
the NRC to ensure the completeness and integrity of the submission. On
the first page of the transmittal letter submitters should provide the
following information:
---------------------------------------------------------------------------
\3\ A submittal of a single file less than 50 MB does not
require a transmittal letter.
---------------------------------------------------------------------------
Organization or Individual Name/Address (Author);
Docket Number (-
);
Subject Line (a non-sensitive, brief but descriptive
narrative of the subject of the submission); and
Any requests for withholding from public disclosure in
accordance with 10 CFR 2.390.
On the last page[s] of the transmittal letter, submitters should
provide:
The name, mailing and e-mail addresses, and phone number
of a point of contact that can resolve discrepancies in document
submittals should they arise;
A complete listing of the document components (electronic
files and/or
[[Page 74970]]
physical objects) that make up the submittal. The components should be
listed in the order in which they appear in the document, and if
applicable, the total number of OSM that are submitted by expedited
delivery (e.g., same day courier, overnight) (see section 3.5);
A detailed statement of any deviation from PDF (see
section 3.1);
A disclaimer statement for each file that may have links
to another file(s) or the Internet (see section 3.9); and
A list of parties served with the submission.
Each of the listed components should indicate the following
information:
The filename (as defined in section 3.5, including file
extension);
The size of the file;
Sensitivity level (e.g., publicly available, proprietary,
classified, etc.);
An indication of whether the component is being submitted
via the EIE and/or submitted on OSM; and
A file that provides a non-sensitive description of all
electronic components characterized as ``BLOBS'' or other physical
objects.\4\
---------------------------------------------------------------------------
\4\ Include any special instructions or information necessary to
view or use the information, such as special instructions regarding
the use of OSM, computer operating system or software requirements
for data files, computer models, etc. (See Attachment D.)
---------------------------------------------------------------------------
The NRC may reject any submittal if there are any inconsistencies,
including omission, between the transmittal letter and the files or
physical objects received. In such instances, the NRC will inform the
submitter of the rejection. In addition, if one or more of the optical
storage devices contain classified information (i.e., National Security
Information and Restricted Data), sensitive unclassified information,
or non-public documents, additional sensitive information requirements
apply as described later in section 3.13.
3.5 Electronic File Naming Conventions
OSM identified in a transmittal letter submitted via the EIE should
meet the ISO 9660 format. The Joliet Extension to ISO 9660 should be
followed. The file naming conventions, for consistency, are applicable
to files transmitted via the EIE as well as PDF files submitted on OSM.
The Joliet Extension allows file names of up to 64 characters;
however, documents submitted via the EIE are programmatically provided
a unique sequential number assigned to each of the files contained in
the submission and a date of receipt for each file. This is a 15-
character unique number. Documents submitted to the NRC should
therefore have filenames that are limited to 49 characters in length
(including the ``.'', spaces, and the three-character filename
extension). This 49 character limit is subject to the following
criteria:
The first three characters of the file name should always
be used to identify the sequence of the file in the organization of the
document. For example, a document may be comprised of 3 separate files.
The name of the first file for the document would start with ``001,''
the name of the second file that comprises the document would start
with ``002'' and so on for as many files as necessary to comprise the
document. For consistency, if a document is comprised of only one file,
the file name should still begin with ``001.''
The filenames should reflect, to the extent possible
within the remaining characters, the section number and title of the
file/segment being submitted, per the following:
`section number' `title'.pdf
(Where `section number' reflects the lowest level of document
breakpoint and `title' is a meaningful reference to the actual
document title.)
The default three-character file extension associated with
the format in which the document was created needs to be retained.
(Example: for files created to conform to PDF, ``.pdf'').
File Naming Example Table
------------------------------------------------------------------------
Document title File name
------------------------------------------------------------------------
Multiple File Documents
------------------------------------------------------------------------
Chapter 1, Section 1 Estimate of Long- 001--1.1 Estimate of Long-Term
Term Geo-chemical Behavior. Geochem Behavior.pdf.
Chapter 2, Section 2 Estimate of Long- 002--2.2 Estimate of Long-Term
Term Geo-chemical Behavior. Geochem Behavior.pdf.
Appendix A Estimate of Long-Term Geo- 003--Ap A Estimate--Long-Term
chemical Behavior. Geochem Behavior.pdf.
----------------------------------------
Single File Documents
------------------------------------------------------------------------
Attachment II, CAL-EBS-NU-000017 Rev 001--Att 2 CAL-EBS-NU-000017
003 Calculation, Radiolytic Specie R003.pdf.
Generation from Internal Waste Package
Criticality.
List and Schedule for Model Validation 001--List--Sched for MVRs
Reports related to Criticality. related to Criticality.pdf.
------------------------------------------------------------------------
3.6 Security/Access Settings
Submissions should not contain any security settings, password
protections, or any other attributes that will prevent full NRC access
to and use of the files. NRC's internal security and archival processes
will maintain the integrity of the materials that are submitted.
Encrypted documents are not acceptable for submittal to the NRC and
will be rejected.
3.7 Resolution
To meet the expectations of the document users, and to comply with
NARA Standards, PDF documents should be created using the following
resolution guidelines:
Bi-tonal (black and white) PDF resolution, not less than
300 dpi.
Color PDF resolution, not less than 300 dpi.
Grayscale PDF resolution, not less than 300 dpi.
Also see Attachment A for additional guidance on Adobe Acrobat
settings.
Adobe[supreg] Acrobat ``downsampling'' (an optimization option
available in Adobe Acrobat) may result in images with resolutions less
than acceptable for submission to the NRC. Therefore, its use is not
recommended.
The 300 dpi minimum resolution also applies to non-PDF graphic-
oriented electronic files (e.g., TIFF images).
3.8 Files With Special Printing Requirements
Documents that contain electronic files with special printing
requirements, such as requiring the use of a plotter or other special
equipment to print, oversize drawings or graphics that require a paper
size larger than 11 inches by 17 inches, or other enhancements such as
3D images, etc., may only be submitted electronically via OSM as
separate files. If special software components (e.g., printer
[[Page 74971]]
drivers) are necessary, include those components, their configuration
parameters, and any hardware configuration requirements on the same
OSM.
3.9 File Linkages
Files containing objects (e.g., pictures, tables, spreadsheets, and
images of text) using link protocols such as Object Linking and
Embedding (OLE), Dynamic Data Exchange (DDE), or any other object
linking between electronic files are not practicable for the NRC to
accept because the relationships among links in multiple file
submissions are lost when captured in ADAMS or other agency electronic
recordkeeping systems.
However, links within a single electronic PDF file are acceptable,
if those links are created using PDF authoring software. Multiple
linked PDF files may be combined into a single PDF file using utilities
often included in PDF authoring software.
Electronic submissions to the hearing docket cannot rely on the use
of any hyperlinks to other electronic files or Web sites to generate
additional documentary material. If the submittal contains such
hyperlinks, then it must include a disclaimer to the effect that the
hyperlinks are either inoperable or are not essential to the use of the
filing. However, hyperlinks within a single electronic PDF file are
acceptable and require no disclaimer provided that such links are
created with PDF rendering software. Attachment E illustrates the
various types of hyperlinks and the need for disclaimers.
If the submittal relies on Internet based material, then the
Internet based material must be submitted as part of the filing. If the
submittal contains hyperlinks to material in another electronic file,
and such hyperlinks are necessary to access that material, then either
a reference to the material must be provided or the material itself
must be submitted.
Required Disclaimers
For a submittal that consists of a single PDF of less than 50
megabytes, include the following in the body of the submittal if the
PDF contains hyperlinks to other PDFs or to the Internet:
``This PDF contains hyperlinks to other PDFs or to the Internet.
These hyperlinks are either inoperable or are not essential to the
use of the filing. Any material referenced by hyperlinks to the
Internet that was essential for use of this filing has been
submitted as part of the filing. Any material referenced by a
hyperlink to another PDF that was essential for the use of this
filing has either been included by reference or submitted as part of
this filing.''
For a submittal that consists of more than one PDF, include the
following in the transmittal memorandum if one or more PDFs contain
hyperlinks to other PDFs or to the Internet:
This submittal contains PDFs, one or more of which contains
hyperlinks to other PDFs or to the Internet. These hyperlinks are
either inoperable or are not essential to the use of the filing. Any
material referenced by hyperlinks to the Internet that was essential
for use of this filing has been submitted as part of the filing. Any
material referenced by a hyperlink to another PDF that was essential
for the use of this filing has either been included by reference or
submitted as part of this filing.
3.10 Viruses
Files received by the NRC will be checked for viruses prior to
acceptance. Macros in files such as Microsoft[reg] Excel are sometimes
detected as viruses. Therefore, the use of macros should be limited
because a file identified as having a virus will be rejected and the
submitter notified of the rejection.
3.11 Copyrighted Information
Submitting information electronically to the NRC shall be deemed to
constitute authority for the NRC to place a copy of the information on
its public document database and to reproduce and distribute sufficient
copies to carry out its official responsibilities. NRC use of the
information specified herein does not constitute authority for others
to use the information outside applicable requirements of copyright
law.
3.12 Accessibility (Section 508)
Section 508 of the Rehabilitation Act and the accessibility
standards set forth in implementing regulations requires that Federal
agencies' electronic and information technology is accessible to people
with disabilities. Tools and plug-ins are now available to allow PDF
files to comply with section 508, but care must be taken in developing
documents and converting them to PDF to ensure that the author has
constructed the documents and used the appropriate tools with
accessibility in mind. The submitter should consider accessibility
issues during document authoring. The use of simple layouts, consistent
application of styles, accessible table formats, and the inclusion of
alternate text for images improves the ability of people with
disabilities to use the information.
3.13 Sensitive Information
This section does not apply to documents containing Safeguards
Information, which are discussed in section 3.14, below. If a document
contains information that is deemed sensitive unclassified,
proprietary, such as trade secrets, privileged, company confidential or
financial information, personal privacy, or other official-use-only
information, it may be submitted via the EIE. The document must be
clearly marked (e.g., watermark or header/footer) and the transmittal
letter must indicate the sensitivity for each document.
If it is not practical to submit a large document containing
sensitive unclassified information via the EIE (see section 1.2, 3.3,
3.4), submit the document via OSM. Submissions made on OSM must be
accompanied by a transmittal letter (see section 3.4) that contains
information regarding the sensitivity level of the transmitted
documents. This letter should contain a listing of each file contained
in the submission, with a description and the sensitivity for each file
clearly marked.
When submitting documents via OSM that contain both publicly and
non-publicly available files, all of the files should be included. In
addition, separate OSM must be provided that contains only the publicly
available files. Each OSM must be clearly labeled indicating its
availability. Files contained on OSM labeled as ``Publicly Available''
will be released to the public.
If sensitive unclassified, classified, or safeguards documents are
appended to filings in the adjudicatory proceeding, the submitter shall
seek an appropriate order from the presiding officer pursuant to 10 CFR
part 2, subpart C, part 13, or part 110, or follow the procedures for
Classified Information in 10 CFR part 2, subpart I.
3.14 Classified or Safeguards Information
Documents containing Classified or Safeguards Information may not
be submitted via the EIE. OSM containing Classified Information must be
processed and produced on systems approved under the provisions of 10
CFR 95.49. Each OSM must be clearly labeled as containing classified
information. The mailing package containing OSM with documents
comprised of Safeguards, proprietary, or Privacy Act information must
be processed, marked and transmitted in accordance with the
requirements set forth in 10 CFR 2.390(b), 73.21(e), 73.21(g), and
73.21(h), as appropriate. Documents containing Safeguards Information
may not be submitted via the EIE. OSM containing Classified Information
(i.e., National Security Information or Restricted Data), must be
packaged and submitted to the NRC in
[[Page 74972]]
accordance with the requirements contained in 10 CFR 95.37, 95.39, and
95.41. If sensitive unclassified, classified, or safeguards documents
are appended to filings in the adjudicatory proceeding, the submitter
shall seek an appropriate order from the presiding officer pursuant to
10 CFR part 2, subpart C, part 13, or part 110, or follow the
procedures for Classified Information in 10 CFR part 2, subpart I.
3.15 Document Updates
Document component updates will not be accepted. If changes to the
submitted document are necessary, the entire document (including all of
the electronic files and electronic objects that comprise the
document), and all OSM sets in their entirety, should be re-submitted
as that version will become a new document. The subsequent transmittal
letter should indicate the part(s) (e.g., chapter, section, or graphic)
that has been changed as well as the general scope of the change. The
submittal guidelines given in section 3.4 of this guidance should once
again be followed. The document should be identified as a new version
and file identification information submitted accordingly.
4.0 EIE Submissions
Each individual that plans to transmit electronic filings via the
EIE needs to obtain a digital signature certificate (digital ID
certificate) and software plug-ins downloaded and installed on the
user's computer. The NRC EIE Web page (located on the Internet at
http://www.nrc.gov by choosing ``Site Map'' followed by ``Electronic
Information Exchange'') has detailed information about the EIE and
instructions on how to obtain a digital ID.
All EIE users will be assigned a digital ID certificate
necessary to use the EIE. A digital ID certificate is used to submit
and digitally sign the form for the submission of electronic documents
and will be required in order to access the EIE external server to
retrieve documents, if appropriate. The EIE system requires the use of
an NRC-issued digital ID certificate.
All EIE system users will need to download and install
software plug-ins. The specific plug-ins required are the Internet Form
Viewer, which is a required plug-in regardless of the browser used, a
signaturing plug-in for Netscape users, and a separate viewer plug-in
for Microsoft[reg] Internet Explorer users.
Documents are submitted using the NRC's EIE form. The EIE
form is a document based on Extensible Mark-up Language (XML). It
allows participants to sign, enclose, submit, and verify documents via
the Internet. The document to be submitted must be presented as an
attachment to the form. Once the form is displayed, users will need to
fill in the fields on the form and attach the document(s) for
transmission to the NRC. After the fields have been filled in and the
intended documents are attached, the form must be digitally signed.
Large documents greater than 50 MB must be sent in separate segments.
NRC regulations require that some documents be filed under
oath or affirmation. There are currently two acceptable methods for
providing this oath using the EIE processes.
1. Documents requiring oath or affirmation may use the EIE to
digitally sign the affirmation on the document. Using this process, the
document must conclude with a statement to this effect:
I declare under penalty of perjury that the foregoing is true
and correct. Executed on [date]''.
The electronic document must be digitally signed by the person
affirming this statement. This person may then transmit the document
directly to the NRC using EIE or may forward the document to someone
else (e.g., the attorney for the sponsoring party) for transmission to
the NRC. In the latter case, the transmitter must also sign the
document to authorize the electronic transmission.
Except as set forth below, multiple documents requiring individual
digital signatures by different persons cannot be sent in a single EIE
transmission. Therefore, the NRC recommends that the method described
below in item 2 be used for submissions that require multiple oath and
affirmations.
Note: When digitally signing a document, the submitter is
actually digitally signing the EIE transmission form, not the
document. Signing the form is the equivalent of signing the
document.
2. Oath or affirmation affidavits may also be signed with an
``Original signed by'' designation. The original paper copy must be
retained by the submitter. The NRC staff may use a typed in ``/RA/''
meaning ``Record approved'' designation, rather than ``Original signed
by.''
Note: Although there are other methods available to
electronically sign documents using word processing and other
software, these are not currently acceptable for use in signing
documents for submission to the NRC because they do not provide the
levels of authentication, certification, and non-repudiation that
are present in the EIE process.
Verification of Receipt: The NRC EIE form must be
digitally signed. Any submission sent via the EIE that is successfully
received will receive a date/time stamp and the EIE will return a
``message received'' confirmation. In the absence of this confirmation,
it is the submitter's responsibility to follow-up and verify that the
submittal was received. The NRC will compare the files delivered to the
list identified in the transmittal letter to ensure that all files have
been delivered. The NRC will reject the submittal and notify the
submitter in the following situations:
If a period of 8 hours has elapsed between the beginning
of the transmittal of the first file of a given EIE submission and
notification of receipt of the last file of the same EIE submission,
and the EIE system has not yet received all files. This time limit is
intended to address the transmittal of multiple EIE forms and their
attachments in situations where the size of the submission requires
more than one EIE transmission to accomplish delivery of all
attachments that comprise the submission.
In the event that the NRC identifies discrepancies between
the transmittal letter and the files actually received via the EIE
(e.g., a file is listed but not included, an unidentified file is sent,
or the total number of attachments stated does not equal the number
actually received).
If the OSM received do not contain all of the files
described in the transmittal letter.
If the OSM do not arrive within the time specified in
section 5.0.
The processes and steps described above are specific to both
Netscape Navigator/Communicator 4.6 or higher and Microsoft Internet
Explorer 5.0 or higher. Other browser types, such as AOL or Mosaic, are
not currently supported for use in the EIE system. The recommended
workstation configuration requires a Pentium 900 MHZ processor (or
higher) with a minimum of 128 MB of RAM, adequate available disk
space,\5\ a device for creating and/or reading OSM, and access to the
World Wide Web (web) through an Internet Service Provider (ISP). The
operating system should be either Windows NT or Windows 95 (or higher).
---------------------------------------------------------------------------
\5\ The requirement for disk space is dependent on the volume of
material the participant intends to submit and/or retrieve. To
calculate required disk space, multiply the size of the submittal or
retrieval by 2, for example, a 33 MB file will require 66MB of
available disk space.
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[[Page 74973]]
5.0 Optical Storage Media Submissions
OSM should be used in the following circumstances:
The documentary material cannot be transmitted via the EIE
(e.g., file size, complex document).
The EIE submittal exceeds 50 MB and is comprised of
multiple segmented files.
A document segment cannot be submitted via the EIE
although the remaining document portions could be transmitted via the
EIE.
The document contains sensitive unclassified information
(i.e., Safeguards information) or classified information (i.e.,
National Security information and Restricted Data).
In addition:
The transmittal letter should be included on the OSM (see
section 3.4 for transmittal letter guidelines).
NRC regulations require that some documents be filed under
oath or affirmation.
If such a document is submitted on OSM, either the
transmittal letter or the first page of the document contained on the
OSM must contain the oath and the signature of the person swearing to
the accuracy of the information submitted. Specifically, the letter
must include the following statement with the signature of the person
affirming it:
``I declare under penalty of perjury that the foregoing is true
and correct. Executed on [date]''.
If the oath or affirmation is submitted on the transmittal letter,
it must contain the ``Original signed by'' designation of the person
swearing to the accuracy of the information or, in the case of the NRC
staff, an ``/RA/'' designation.
Include the entire submission (i.e., all files submitted
separately through the EIE and those submitted only on OSM). Place
files submitted through the EIE on an OSM that is separate from the OSM
containing the files submitted only on OSM.
Software used to produce the OSM should be configured to ensure
that the OSM is ``read only'' prior to its delivery to NRC.
All OSM content should be readable either by commercially available
software, or by providing, where appropriate, executable programs that
are located on the OSM.
The OSM should be labeled with the Transfer Media Configuration
(e.g., drive transfer rate) as well as any numbering, exterior marking,
or labeling that should reference the submittal provided through the
EIE. If appropriate, the version number may also be included.
As stated in sections 3.3 and 3.5, the acceptable OSM format must
be compliant with ISO-9660, using the Joliet Extension.
Submitters should transmit the OSM, along with a paper copy of the
transmittal letter, by expedited delivery service. Given the paramount
importance of submittal and document integrity and fidelity, expedited
delivery of the OSM is essential to ensure proper coordination of the
companion submittals transmitted via the EIE and on OSM. In addition,
to ensure that all intended information has been received, the NRC will
not deem a submittal complete, ``in-hand,'' or ready for further
processing and staff review until the agency has received the last
document/segment.
Subsequent to the anthrax mailings in late September 2001, incoming
mail addressed to the Federal government is irradiated prior to
delivery. Irradiation of electronic information media may result in
damage to the media and its contents. Therefore, packages containing
OSM submission should be clearly marked ``Contents Contain Optical
Storage Media Do Not Irradiate.''
The following address is to be used for delivering OSM to the NRC:
Courier, express mail, and expedited delivery services: Office of
the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville
Pike, Rockville, MD 20852, Attention: Rulemakings and Adjudications
Staff.
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Attachment B--Glossary
Agencywide Documents Access and Management System (ADAMS)
ADAMS is the NRC's primary records management system that contains
the bibliographic header (metadata) about a record, searchable text,
and an image of a record (either in PDF or TIFF formats). Two access
methods for the public are offered today:
Through the Citrix server (which provides client/server-
type access to ADAMS);
A Web browser based interface to publicly available
records.
Bibliographic Header
A structured description of a document, file, or object.
Binary Large Object File (BLOB)
A large file, typically an image or sound file, that must be
handled (for example, uploaded, downloaded, or stored in a database) in
a special way because of its size.
Complex Document
A document that consists (entirely or in part) of electronic files
having substantial portions that are neither textual nor image in
nature, and graphic or other Binary Large Objects that exceed 50
megabytes and cannot logically be divided.
Courtesy Copy
A non-required copy of a document provided as a useful reference
copy of an official document.
Document
A document is any written, printed, recorded, magnetic, graphic
matter, or other documentary material, regardless of form or
characteristic.
Documentary Material
Documentary material means any information upon which a party,
potential party, or interested governmental participant intends to rely
and/or to cite in support of its position in the proceeding.
Electronic Information Exchange (EIE)
Electronic Information Exchange is the electronic transfer
mechanism established by the NRC for electronic transmission of
documents to the agency via the Internet, where the documents are
transmitted in a verifiable and certifiable mode that includes digital
signatures. EIE is a Public Key Infrastructure (PKI) system using RSA
Labs' 128-bit encryption, Verisign's Public Key Certificate Services
(PKCS), and PureEdge's Extensible Forms Definition Language (XFDL)
webform.
File Format
A file format is the layout of a file in terms of how the data
within the file is organized. A program that uses the data in a file
must be able to recognize and access data within the file. A particular
file format is often indicated as part of a file's name by a file name
extension (suffix). Conventionally, the extension is separated by a
period from the name and contains three or four letters that identify
the format. Examples are: (1) Word processing (.doc for MS[supreg]
Word, .wpd for Corel[supreg] WordPerfect), (2) spreadsheet (.xls for
MS[supreg] Excel, .wb3 for Corel[supreg] Quattro Pro), (3) ``generic''
(.pdf for Adobe[supreg] Systems' Acrobat).
Length of Path (ISO 9660, Joliet Extension)
The Joliet Extension to ISO 9660 allows filenames of 64 characters
in length and is the least restrictive interchangeable format. However,
the ISO 9660 standard imposes a limit on length of path to each file
that cannot exceed 255 characters. Length of path is the sum of the
lengths of all relevant directories, the length of the file name and
extension, and the number of relevant directories.
Macro
A symbol, name, or key that represents a list of commands, actions,
or keystrokes. For example, in Microsoft Word and other programs, a
macro is a saved sequence of commands or keyboard strokes that can be
stored and then recalled with a single command or keyboard stroke.
Optical Character Recognition (OCR)
Optical Character Recognition is the recognition of printed or
written text characters by a computer. This involves the photo scanning
of the text character-by-character, the analysis of the scanned-in
image, and then translation of the character image into character
codes, such as ASCII. The scanned-in image is analyzed for light and
dark areas in order to identify each alphabetic letter or numeric
digit. When a character is recognized, it is converted into an ASCII
code. OCR can be accomplished either through software alone, or through
a combination of specialized hardware and software.
Portable Document Format (PDF)
This is Adobe[supreg] Systems, Incorporated's Acrobat document
publishing software package output format. The PDF standard, though it
is proprietary to Adobe, has been published, is freely available, and
the capability to create PDF documents has been integrated into many
other software applications. PDF documents can be generated from any
application that can generate Postscript printer files (a popular
printing language standard); thus, anything that can be printed can be
represented in PDF. When files are converted from standard applications
to PDF, the information and pagination are ``locked down'' for the
general user, who can access the content through the use of PDF viewer
software. The following are definitions of the various types of PDFs:
Formatted Text & Graphics.
Formerly known as ``PDF Normal''. This type of PDF is a popular
output file format created when materials have been produced on a word
processing or publishing system. It contains the full text of the page
with appropriate coding to define fonts, sizes, etc. The files are
relatively small and screen display and printed versions are comparable
in readability of content.
Searchable Image.
Formerly known as ``PDF Original Image with Hidden Text.'' When a
document is created in this type of PDF, the resultant file consists of
two layers: a bit-mapped layer and a hidden text layer. The bitmapped
layer maintains the visual representation of the original document. The
text layer is created through optical character recognition software
(OCR). There are two ``flavors'' of this type of PDF:
Searchable Image (Exact).
Formally known as 'PDF Image + Hidden Text.' This creates the
largest file size, but is the more accurate of the two ``flavors''.
When the plug-in is launched, a layer of text is placed behind the
image, making the page appear exactly as it did when scanned, but now
it is searchable. Thus, the Searchable Image (Exact) preserves the look
of the original scanned image, making it an ideal format for meeting
legal requirements. Therefore, NRC will only accept PDF documents in
this ``flavor''.
Searchable Image (Compact).
This captures the same image as searchable image (exact), producing
smaller files sizes than the Exact method. The general look and feel of
the image is retained and it becomes searchable. The quality is not
quite as good as the Exact method, as the compression routines used are
``lossy'' techniques. Because of the lossy techniques used here, the
NRC will not accept any documents created in this format. This decision
is consistent with guidance from NARA.
Image Only.
[[Page 74977]]
This type of PDF is essentially a scanned image of the page in a
PDF wrapper and contains no searchable text. There is no ability for
text searching. The image quality is dependent on the quality of the
source materials and the quality of the scanning operation. The NRC
cannot accept text documents in this type of PDF because the format is
not ADA 508 compliant.
Segment
A segment is subpart, or subunit, of a document usually created at
a logical division such as a chapter, section, or subsection of a large
document.
Submittal
An information package delivered to the NRC for a specific purpose
and may consist of one or more documents.
Target File
A file required by most electronic document management systems to
store and retrieve bibliographic header information.
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