[Federal Register Volume 70, Number 241 (Friday, December 16, 2005)]
[Proposed Rules]
[Pages 74949-74986]
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Commission is also seeking comment on draft guidance on how to submit 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.

---------------------------------------------------------------------------

[[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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[FR Doc. 05-24081 Filed 12-15-05; 8:45 am]
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