[Federal Register Volume 91, Number 44 (Friday, March 6, 2026)]
[Rules and Regulations]
[Pages 10939-10954]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2026-04475]
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Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
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Federal Register / Vol. 91, No. 44 / Friday, March 6, 2026 / Rules
and Regulations
[[Page 10939]]
NUCLEAR REGULATORY COMMISSION
10 CFR Part 9
[NRC-2024-0044]
RIN 3150-AL14
Freedom of Information Act Implementing Regulations
AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its
regulations that implement the Freedom of Information Act (FOIA) to
provide clarity, promote agency accountability, improve efficiency in
responding to FOIA requests, update roles and responsibilities, and
align the regulations with current Federal best practices for
implementing FOIA. This final rule addresses the Department of Justice
(DOJ) recommendation that the NRC update its FOIA regulations and
incorporate the DOJ's model language for FOIA regulations, where
appropriate. The NRC is not soliciting public comment for these changes
because the change is limited to an agency rule of procedure and
practice.
DATES: This final rule is effective on March 6, 2026.
ADDRESSES: Please refer to Docket ID NRC-2024-0044 when contacting the
NRC about the availability of information for this action. You may
obtain publicly available information related to this action by any of
the following methods:
Federal Rulemaking Website: Electronically at https://www.regulations.gov. Search for Docket ID NRC-2024-0044. Address
questions about NRC dockets to Helen Chang; telephone: 301-415-3228;
email: [email protected]. For technical questions, contact the
individual listed in the FOR FURTHER INFORMATION CONTACT section of
this document.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may obtain publicly available documents online in the
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin ADAMS Public Search.''
For problems with ADAMS, please contact the NRC's Public Document Room
(PDR) reference staff at 1-800-397-4209, at 301-415-4737, or by email
to [email protected]">PDR.[email protected]. For the convenience of the reader,
instructions about obtaining materials referenced in this document are
provided in the ``Availability of Documents'' section of this document.
NRC's PDR: The PDR, where you may examine and order copies
of publicly available documents, is open by appointment. To make an
appointment to visit the PDR, please send an email to
[email protected]">PDR.[email protected] or call 1-800-397-4209 or 301-415-4737, between 8
a.m. and 4 p.m. eastern time, Monday through Friday, except Federal
holidays.
FOR FURTHER INFORMATION CONTACT: Amy McKenna, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001; telephone: 301-415-7000, email:
[email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Order 14300: Ordering the Reform of the Nuclear
Regulatory Commission
II. Background
III. Discussion
IV. Rulemaking Procedure
V. Regulatory Flexibility Certification
VI. Regulatory Analysis
VII. Backfitting and Issue Finality
VIII. Plain Writing
IX. National Environmental Policy Act
X. Paperwork Reduction Act
XI. Executive Orders
XII. Congressional Review Act
XIII. Availability of Guidance
XIV. Availability of Documents
I. Executive Order 14300: Ordering the Reform of the Nuclear Regulatory
Commission
On May 23, 2025, President Donald J. Trump signed Executive Order
(E.O.) 14300, ``Ordering the Reform of the Nuclear Regulatory
Commission.'' Section 5, ``Reforming and Modernizing the NRC's
Regulations,'' requires the NRC to undertake a review and wholesale
revision of its regulations and guidance documents as guided by the
policies set forth in section 2 of the E.O. Though rulemaking to update
the NRC's Freedom of Information Act regulations began in 2024, the
Commission directed staff to include it as part of the NRC's
comprehensive review and reform of its regulations in accordance with
E.O. 14300.
II. Background
The NRC promulgated its initial regulations implementing the
Freedom of Information Act (FOIA) (Public Law 90-23, 5 U.S.C. 552) on
June 29, 1967 (32 FR 9214) in title 10 of the Code of Federal
Regulations (10 CFR) part 9, ``Public Records.'' Since that time, the
NRC has updated these regulations several times, including updates for
fee adjustments; changes to the appeal process; and complying with the
Privacy Act of 1974, the Freedom of Information Reform Act of 1986, the
Electronic Freedom of Information Act of 1996, and the FOIA Improvement
Act of 2016. Among these updates, the NRC reorganized its requirements
in 10 CFR part 9 by creating several new subparts, including subpart A,
which is exclusively used for its FOIA regulations.
On September 16, 2020, the National Archives and Records
Administration (NARA) Office of Government Information Services (OGIS)
published their compliance assessment of the NRC FOIA program. OGIS
stated in Finding 2 of that assessment that the ``NRC's regulations and
official guidance for administering the FOIA are out of date and do not
consistently or accurately reflect the agency's practices for
implementing the statute.'' OGIS recommended that the NRC ``update its
FOIA regulations, FOIA Management Directive, and FOIA Desk Guide to
ensure they are plainly written and reflect current processes and
statutory requirements.'' OGIS also noted that the ``NRC should reform
its administrative appeals process to conform with [U.S. Department of
Justice (DOJ)] guidance.'' On December 2, 2022, the DOJ Office of
Information Policy published a FOIA regulation template that (1)
contains guidelines addressing key elements to be addressed in each
section of FOIA regulations, (2) is updated as needed by the Office of
Information Policy to reflect changes in law and policy, and (3)
provides sample language for
[[Page 10940]]
agencies to use as they publish and update their regulations.
On March 20, 2024, the NRC staff submitted to the Commission via
SECY-24-0024 a rulemaking plan that would address the recommended
revisions identified in the OGIS report and incorporate the DOJ
template language into the NRC's FOIA regulations, as appropriate. On
April 24, 2024, in SRM-SECY-24-0024, the Commission approved the NRC
staff's recommendation to initiate a rulemaking to revise the NRC's
FOIA regulations.
III. Discussion
This final rule amends 10 CFR part 9, subpart A, ``Freedom of
Information Act Regulations,'' to align with the Department of
Justice's (DOJ) ``Template for Agency FOIA Regulations,'' as well as
revises language for clarity and re-organizes the content and names of
sections for consistency with other agencies.
Additionally, this final rule includes more specific actions for
NRC's FOIA Public Liaison. Generally, under the current regulations,
the liaison is responsible for assisting in reducing delays, increasing
transparency and understanding of the status of requests, and assisting
in the resolution of disputes. In this final rule, the NRC specifically
details that its FOIA Public Liaison will: (1) ensure that NRC's
website of posted records is reviewed and updated on an ongoing basis;
(2) assist requesters in determining the appropriate fee category,
formatting requests, or resolving any problems that arise prior to
submitting a request or during the processing of a request; (3) assist
requesters when the statutory 20-day time limit to respond to requests
will be extended for unusual circumstances; (4) assist requesters when
the NRC grants requests in full or in part, or when the NRC denies
requests in full or in part; and (5) assist requesters in reformulating
a request to meet the requester's needs at a lower cost.
Overall, this final rule assists the public with locating relevant
provisions to submit their FOIA requests with greater ease and
introduces customer service principles addressed by the FOIA Public
Liaison that will be codified in relevant sections of the rule.
This final rule will apply to future FOIA requests submitted to and
processed by NRC. It amends the following areas, as outlined in the DOJ
template that reflect changes in law and policy and sets forth
requirements for Federal agencies:
Revision of Sec. 9.11--Scope of Subpart
This final rule revises Sec. 9.11 to include references to the
Uniform Freedom of Information Act Fee Schedule and Guidelines
published by the Office of Management and Budget. It also incorporates
references to Privacy Act requests and considerations for processing
these requests, as outlined in 10 CFR part 9, subpart B, ``Privacy Act
Regulations.'' These changes clarify that there is a separate subpart
addressing requirements for individuals seeking records about
themselves, which is a common type of request received by the NRC.
Renaming Sec. 9.21--Publicly Available Records and Proactive
Disclosures
This final rule renames Sec. 9.21 from ``Publicly available
records'' to ``Publicly available records and proactive disclosures.''
It also revises the section to provide clarity and re-organize content
to align with the structure of the statutory language at 5 U.S.C.
552(a)(1-3). More specifically, this section clarifies: (1) how the NRC
makes public information available, (2) how the NRC makes information
available for public inspection in electronic format, and (3) how the
NRC addresses requests for records and makes records promptly available
to any person. In addition, the final rule requires the NRC to review
and update its website of posted records on an ongoing basis. Finally,
it adds requirements for offering requesters the assistance of the
NRC's FOIA Liaison Officer in locating posted materials.
Section 9.23--Requirements for Making Requests
This final rule renames Sec. 9.23 from ``Requests for records'' to
``Requirements for making requests.'' It revises the section to provide
clarity and re-organize content to set forth the instructions and
requirements for submitting FOIA requests to the NRC and what occurs if
the requests do not reasonably describe the records sought. This
section is critical to the public understanding of what to include and
how to submit a FOIA request. This final rule revises this section to
include modern and frequently used methods for request submissions,
such as email and online portals. Moreover, this section adds
requirements to: (1) allow the requester to specify the proposed format
of requested records, (2) offer resources of the FOIA Public Liaison to
aid the requester in making a request and to assist requesters in
correcting a request that does not reasonably describe the records
sought, (3) describe the agency's obligation to inform the requester
why a particular request is insufficient, and (4) describe the
consequences to the requester for failing to reasonably describe the
records.
Section 9.25--Responsibility for Responding to Requests
This final rule renames Sec. 9.25 from ``Initial disclosure
determination'' to ``Responsibility for responding to requests.'' It
revises the section to clarify and re-organize its content to align
with DOJ guidance. This final rule revises this section to: (1)
designate a standard end-date for searches, (2) describe handling of
misdirected requests, (3) describe how to handle requests involving
classified information, and (4) include the use of record exclusions.
Section 9.26--Timing of Responses to Requests
This final rule adds Sec. 9.26, titled ``Timing of responses to
requests.'' It relocates certain requirements from Sec. 9.23,
``Requests for records,'' and Sec. 9.25, ``Initial disclosure
determination,'' to consolidate timeline considerations into a single
section. This section addresses when the NRC considers a request as
received, specifies the timeline for initial disclosures and multi-
track processing, and outlines extensions for unusual circumstances,
expedited processing, and exceptional circumstances. Integrating all
these topics under one section heading simplifies and clarifies the
method of identifying timeline requirements.
Section 9.27--Responses to Requests
This final rule renames Sec. 9.27 from ``Form and content of
responses'' to ``Responses to requests.'' It revises this section to
align with statutory language by making clarifying changes and re-
organizing content. This final rule revises this section to add: (1)
details to the requirements for content of denials that includes an
estimate of the volume of records withheld, (2) a description of the
appeal requirements, and (3) additional information on the assistance
available from the NRC's FOIA Public Liaison. Additionally, this final
rule revises this section to include a detailed description of adverse
determinations of requests and markings on released documents.
Section 9.28--Requests for Business Information Provided to the NRC
This final rule renames Sec. 9.28 from ``Predisclosure
notification procedures for information containing trade secrets or
confidential commercial or financial information'' to ``Requests for
business
[[Page 10941]]
information provided to the NRC.'' It revises this section to align
with DOJ guidance and statutory language by making clarifying changes
and re-organizing content. Moreover, this final rule revises this
section to introduce the concept that entities that submit business
information must make a good faith effort to designate withholding
considerations at the time of submission, or at a reasonable time
thereafter. In addition, this final rule revises this section to
stipulate that the withholding considerations will expire 10 years
after the date of submission unless the submitter requests and provides
justification for a longer designation period. Also, this final rule
revises this section to introduce exceptions to predisclosure
notification procedures.
Section 9.29--Administrative Appeals
This final rule renames Sec. 9.29 from ``Appeal from initial
determination'' to ``Administrative appeals.'' It updates this section
to align with DOJ guidance in addition to clarifying NRC's
administrative appeal process.
Section 9.35--Duplication Fees for Documents in the Public Document
Reading Room and for NRC Advisory Committee Proceedings
This final rule renames Sec. 9.35, ``Duplication fees,'' to
``Duplication fees for documents in the Public Document Reading Room
and for NRC Advisory Committee proceedings.'' While the content of the
section remains unchanged, the new title more accurately reflects the
specific types of duplication services the fees cover.
Section 9.37--Fees for Processing NRC FOIA Requests
This final rule renames Sec. 9.37, ``Fees for search and review of
agency records by NRC personnel,'' to ``Fees for processing NRC FOIA
requests.'' It consolidates and replaces six other fee-related sections
including Sec. 9.33, ``Search, review, and special service fees'';
Sec. 9.34, ``Assessment of interest and debt collection''; Sec. 9.35,
``Duplication fees''; Sec. 9.39, ``Search and duplication provided
without charge''; Sec. 9.40, ``Assessment of fees''; Sec. 9.41,
``Requests for waiver or reduction of fees''; and Sec. 9.43,
``Processing requests for a waiver or reduction of fees.'' The updated
Sec. 9.37 ensures that FOIA-related searches, reviews, and
duplications are handled efficiently and cost-effectively, outlines
payment procedures, and provides clear information on duplication
practices for FOIA responses.
Section 9.38--Preservation of Records
This final rule adds Sec. 9.38 and titles it ``Preservation of
Records.'' This section addresses the preservation of all
correspondence associated with a request until disposition or
destruction is authorized pursuant to 44 U.S.C. 33 or the General
Records Schedule 4.2.
Section 9.41--Other Rights and Services
This final rule replaces Sec. 9.41, ``Requests for waiver or
reduction of fees,'' with ``Other rights and services.'' It revises the
section to clarify that individuals are not entitled, as a matter of
right, to services or disclosures beyond what FOIA provides. Provisions
related to fee waivers or reductions are relocated to Sec. 9.37.
IV. Rulemaking Procedure
Under the Administrative Procedure Act (5 U.S.C. 553(b)(A)) (APA),
notice and comment requirements do not apply ``to interpretive rules,
general statements of policy, or rules of agency organization,
procedure, or practice.'' Because this revision affects the NRC's rules
of agency procedure and practice, the notice and comment provisions of
the APA do not apply. Moreover, the final rule does not change the
substantive responsibilities of any person or entity regulated by the
NRC.
The amendments are effective upon publication in the Federal
Register. Good cause exists under 5 U.S.C. 553(d) to dispense with the
usual 30-day delay in the effective date of the final rule because the
amendments are of administrative and non-substantive in nature dealing
with changes to internal agency procedure and practice and do not
require action by any person or entity regulated by the NRC.
V. Regulatory Flexibility Certification
In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C.
605(b)), the NRC certifies that this rule will not have a significant
economic impact on a substantial number of small entities. This rule
will affect those who make requests for access to information under the
provisions of the FOIA. This rulemaking would align the NRC's FOIA
regulations with the DOJ template consistent with other agencies. These
are considered minor, non-substantive amendments and will not have an
economic impact on NRC licensees or the public.
VI. Regulatory Analysis
A regulatory analysis has not been prepared because this final rule
amends the NRC's FOIA regulations to incorporate language and guidance
from the Department of Justice Template for Agency FOIA Regulations.
The amendments in this final rule improve the clarity of existing
regulations and are considered procedural, minor, non-substantive
amendments. Further, these amendments do not have an economic impact on
NRC licensees or members of the public.
VII. Backfitting and Issue Finality
This final rule amends the NRC's FOIA implementing regulations to
improve clarity by using plain language, promote agency accountability,
improve efficiency in responding to FOIA requests, update roles and
responsibilities, and align the regulations with current Federal best
practices for implementing FOIA. The final rule does not meet the
definition of backfitting in 10 CFR 50.109, 70.76, 72.62, or 76.76, or
affect issue finality of an approval issued under 10 CFR part 52.
Therefore, the NRC has determined that this final rule does not
constitute a backfit or affect issue finality for any approvals issued
under 10 CFR part 52.
VIII. Plain Writing
The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal
agencies to write documents in a clear, concise, and well-organized
manner. The NRC has written this document to be consistent with the
Plain Writing Act as well as the Presidential Memorandum, ``Plain
Language in Government Writing,'' published June 10, 1998 (63 FR
31885).
IX. National Environmental Policy Act
The NRC has determined that this final rule is the type of action
eligible for categorical exclusion because it meets the criterion
described in Sec. 51.22(c)(1). Therefore, neither an environmental
impact statement nor environmental assessment has been prepared for
this final rule.
X. Paperwork Reduction Act
This final rule contains new or amended collections of information
subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.). The NRC is not changing the burden estimates associated with
each of the current information collection requirements. However,
because the information collection requirements are being revised, and
in some cases relocated to a different section, the NRC has developed a
supporting statement for this rulemaking. Please refer to the
Availability of Documents section of this notice to view the supporting
statement. The collections of information were approved by the Office
of Management and Budget, under approval number 3150-0043.
[[Page 10942]]
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless the document requesting
or requiring the collection displays a currently valid OMB control
number.
XI. Executive Orders
A. Executive Order 12866: Regulatory Planning and Review (as Amended by
Executive Order 14215, Ensuring Accountability for All Agencies)
The Office of Information and Regulatory Affairs (OIRA) has
determined that this final rule is not significant regulatory action.
B. Executive Order 14154: Unleashing American Energy
NRC has examined this final rule and has determined that it is
consistent with the policies and directives outlined in E.O. 14154.
C. Executive Order 14270: Zero-Based Regulatory Budgeting To Unleash
American Energy
E.O. 14270, ``Zero-Based Regulatory Budgeting to Unleash American
Energy,'' requires the NRC to insert a conditional sunset date into all
new or amended NRC regulations provided the regulations are (1)
promulgated under the Atomic Energy Act of 1954, as amended (AEA), the
Energy Reorganization Act of 1974, as amended (ERA), and the Nuclear
Waste Policy Act of 1982, as amended (NWPA); (2) not statutorily
required; and (3) not part of the NRC's permitting regime. The NRC
determined that the regulatory changes in this rule are necessary for
compliance with the Freedom of Information Act. Therefore, the NRC
views this rulemaking to be outside the scope of Executive Order 14270
and did not insert conditional sunset dates for the regulatory changes
in this final rule.
XII. Congressional Review Act
This final rule is a rule as defined in the Congressional Review
Act (5 U.S.C. 801-808). However, the Office of Management and Budget
has found that it does not meet the criteria at 5 U.S.C. 804(2).
XIII. Availability of Guidance
The NRC will not be issuing guidance for this rulemaking. The
amendments in this final rule would not necessitate creating new public
guidance on the FOIA process.
XIV. Availability of Documents
The documents identified in the following table are available to
interested persons through one or more of the following methods, as
indicated.
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ADAMS Accession No./ web
Document link/Federal Register
citation
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Rulemaking document
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OMB Supporting Statement for this final ML24303A096.
rule.
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NRC documents
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SECY-24-0024, ``Rulemaking Plan for Freedom ML24026A182.
of Information Act Regulations, 10 CFR
Part 9, Subpart A,'' dated March 20, 2024.
SRM-SECY-24-0024, ``Rulemaking Plan for ML24117A183.
Freedom of Information Act Regulations, 10
CFR Part 9, Subpart A,'' dated April 26,
2024.
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Legislative documents
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Freedom of Information Act, Public Law 90- https://www.govinfo.gov/
23, 5 U.S.C. 552, 81. Stat. 54 (1967). content/pkg/STATUTE-81/pdf/
STATUTE-81-Pg54.pdf.
Privacy Act of 1974, Public Law 93-579, 5 https://www.govinfo.gov/
U.S.C.552a, 88 Stat. 1896(1974). content/pkg/STATUTE-88/pdf/
STATUTE-88-Pg1896.pdf.
Freedom of Information Reform Act of 1986, https://www.govinfo.gov/
Public Law 99-570, 100 Stat. 3207 (1986). content/pkg/STATUTE-100/
pdf/STATUTE-100-
Pg3207.pdf.
Electronic Freedom of Information Act of https://www.govinfo.gov/app/
1996, Public Law 104-231, 110 Stat. 3048 details/PLAW-104publ231.
(1996).
FOIA Improvement Act of 2016, Public Law https://www.govinfo.gov/app/
114-185, 130 Stat. 538 (2016). details/PLAW-114publ185.
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Other documents
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Federal Register Notice, ``Availability to 32 FR 9214.
the Public of AEC Information and
Records,'' dated June 29, 1967.
Executive Order 12866, ``Regulatory 58 FR 51735.
Planning and Review,'' October 4, 1993.
Executive Order 14154, ``Unleashing 90 FR 8353.
American Energy,'' January 29, 2025.
Executive Order 14215, ``Ensuring 90 FR 10447.
Accountability for All Agencies,''
February 24, 2025.
Executive Order 14300, ``Ordering the 90 FR 22587.
Reform of the Nuclear Regulatory
Commission,'' May 29, 2025.
National Archives and Records ML24038A042.
Administration Office of Government
Information Services compliance assessment
of the NRC FOIA program, dated September
16, 2020.
Department of Justice Office of Information ML24038A025.
Policy FOIA regulation template, dated
December 2, 2022.
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The NRC may post materials related to this document, including
public comments, on the Federal rulemaking website at https://www.regulations.gov under Docket ID NRC-2024-0044. In addition, the
Federal rulemaking website allows members of the public to receive
alerts when changes or additions occur in a docket folder. To
subscribe: (1) navigate to the docket folder (NRC-2024-0044); (2) click
the ``Subscribe''
[[Page 10943]]
button; and (3) enter an email address and click on the ``Subscribe''
button.
List of Subjects in 10 CFR Part 9
Administrative practice and procedure, Courts, Criminal penalties,
Freedom of information, Government employees, Privacy, Reporting and
recordkeeping requirements, Sunshine Act.
For the reasons set out in the preamble and under the authority of
the Atomic Energy Act of 1954, as amended; the Energy Reorganization
Act of 1974, as amended; and 5 U.S.C. 552 and 553, the NRC is amending
10 CFR part 9 as follows:
PART 9--PUBLIC RECORDS
0
1. The authority citation for part 9 continues to read as follows:
Authority: Atomic Energy Act of 1954, sec. 161 (42 U.S.C.
2201); Energy Reorganization Act of 1974, sec. 201 (42 U.S.C. 5841);
44 U.S.C. 3504 note.
Subpart A also issued under 31 U.S.C. 9701.
Subpart B also issued under 5 U.S.C. 552a.
Subpart C also issued under 5 U.S.C. 552b.
Subpart E also issued under 42 U.S.C. 405 note.
Sec. 9.6 [Amended]
0
2. In Sec. 9.6:
0
a. In the first sentence, remove the phrase ``facsimile to (301) 415-
5130 or email to [email protected]'' and add in its place the phrase ``email
to [email protected]''; and
0
b. In the third sentence, remove the phrase ``the NRC's website at
http://www.nrc.gov/site-help/e-submittals.html; by email to'' and add
in its place the phrase ``the NRC's website at https://www.nrc.gov/site-help/e-submittals.html; by email to''.
0
3. In Sec. 9.8, revise paragraph (b) to read as follows:
Sec. 9.8 Information collection requirements: OMB approval.
* * * * *
(b) The approved information collection requirements contained in
this part appear in Sec. Sec. 9.23, 9.25, 9.26, 9.28, 9.29, 9.37,
9.53, 9.54, 9.55, 9.65, 9.66, and 9.67.
0
4. Revise and republish subpart A to read as follows:
Subpart A--Freedom of Information Act Regulations
Sec.
9.11 Scope of subpart.
9.13 Definitions.
9.15 Availability of records.
9.17 Agency records exempt from public disclosure.
9.19 Segregation of exempt information and deletion of identifying
details.
9.21 Publicly available records; proactive disclosures.
9.23 Requirements for making requests.
9.25 Responsibility for responding to requests.
9.26 Timing of responses to requests.
9.27 Responses to requests.
9.28 Requests for business information provided to the NRC.
9.29 Administrative appeals.
9.30 Contact for dispute resolution services.
9.35 Duplication fees for documents in the NRC Public Document Room
and for NRC Advisory Committee proceedings.
9.37 Fees for processing NRC FOIA requests.
9.38 Preservation of records.
9.39 Annual report to the Attorney General of the United States and
Director of the Office of Government Information Services.
9.41 Other rights and services.
Sec. 9.11 Scope of subpart.
This subpart prescribes procedures for making Nuclear Regulatory
Commission (NRC or Commission) agency records available to the public
for inspection and copying pursuant to the provisions of the Freedom of
Information Act (FOIA) (5 U.S.C. 552) and provides notice of procedures
for obtaining NRC records otherwise publicly available. This subpart
should be read in conjunction with the text of the FOIA and the Uniform
Freedom of Information Fee Schedule and Guidelines published by the
Office of Management and Budget (OMB Guidelines). Requests made by
individuals for records about themselves under the Privacy Act of 1974
(5 U.S.C. 552a) are processed in accordance with NRC's Privacy Act
regulations at subpart B of this part. This subpart does not affect the
dissemination or distribution of NRC-originated, or NRC contractor-
originated, information to the public under any other NRC public,
technical, or other information program or policy.
Sec. 9.13 Definitions.
As used in this part:
Agency record means a record in the possession and control of the
NRC that is associated with Government business. Agency record does not
include records such as--
(1) Publicly-available books, periodicals, or other publications
that are owned or copyrighted by non-Federal sources;
(2) Records solely in the possession and control of NRC
contractors;
(3) Personal records in possession of NRC personnel that have not
been circulated, were not required to be created or retained by the
NRC, and can be retained or discarded at the author's sole discretion,
or records of a personal nature that are not associated with any
Government business; or
(4) Non-substantive information in logs or schedule books of the
Chairman or Commissioners, uncirculated except for typing or recording
purposes.
Business information means commercial or financial information
obtained by the NRC from a submitter that may be protected from
disclosure under Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4).
Commercial-use request means a request made under Sec. 9.23 and
for information for a use or purpose that furthers a commercial, trade,
or profit interest of the requester, which can include furthering those
interests through litigation. The NRC's decision to place a requester
in the commercial use category will be made on a case-by-case basis
based on the requester's intended use of the information.
Compelling need means--
(1) That a failure to obtain requested records on an expedited
basis could reasonably be expected to pose an imminent threat to the
life or physical safety of an individual; or
(2) With respect to a request made by a person primarily engaged in
disseminating information, urgency to inform the public concerning
actual or alleged Federal Government activity.
Direct costs mean the expenditures that an agency incurs in
searching for and duplicating agency records. For a commercial-use
request, direct costs include the expenditures involved in reviewing
records to respond to the request. Direct costs include the salary of
the employee category performing the work based on that basic rate of
pay plus 16 percent of that rate to cover fringe benefits and the cost
of operating duplicating machinery. The NRC will charge the requester
for the actual direct costs of conducting an electronic records search,
including computer search time, runs, and output. The NRC will also
charge time spent by computer operators or programmers who conduct or
assist in the conduct of an electronic records search.
Duplication means the process of making a copy of a record, or of
the information contained in it, necessary to respond to a request made
under Sec. 9.23. Copies may take the form of paper copy, microform,
audio-visual materials, or electronic records, among others. The NRC
will honor a requester's preference for receiving a record in a
particular form or format where it can readily reproduce it in the form
or format requested.
[[Page 10944]]
Educational institution means an institution that operates a
program or programs of scholarly research. Educational institution
refers to a preschool, a public or private elementary or secondary
school, an institution of graduate higher education, an institution of
undergraduate higher education, an institution of professional
education, or an institution of vocational education. A requester in
this fee category must show that the request is made in connection with
their role at the educational institution. The NRC may seek
verification from the requester that the request is in furtherance of
scholarly research.
Freedom of Information Act and Privacy Act Officer means the NRC
official designated to fulfill the responsibilities for implementing
and administering the Freedom of Information Act and the Privacy Act as
specifically designated under the regulations in this part.
Noncommercial scientific institution means an institution that is
not operated on a commercial basis, as the term is referred to in the
definition of commercial-use request, and is operated solely for the
purpose of conducting scientific research, the results of which are not
intended to promote any particular product or industry. A requester in
this category must show that the request is authorized by and is made
under the direction of a qualifying institution and that the records
are sought to further scientific research and are not for a commercial
use.
Office, unless otherwise indicated, means all offices, boards,
panels, and advisory committees of the NRC.
Other requester refers to a requester that does not fall within the
fee categories of Commercial use, Educational institution,
Noncommercial scientific institution, or Representative of the news
media, as described in this section.
Record means any information that would be an agency record subject
to the requirements of the Freedom of Information Act when maintained
by the NRC in any format, including an electronic format. Record also
includes a book, paper, map, drawing, diagram, photograph, brochure,
punch card, magnetic tape, paper tape, sound recording, pamphlet,
slide, motion picture, or other documentary material regardless of form
or characteristics. Record does not include an object or article such
as a structure, furniture, a tangible exhibit or model, a vehicle, or
piece of equipment.
Representative of the news media means any person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public, uses its editorial skills to turn the
raw materials into a distinct work, and distributes that work to an
audience. The term ``news'' means information that is about current
events or that would be of current interest to the public. Examples of
news media entities include television or radio stations broadcasting
``news'' to the public at large, and publishers of periodicals (but
only in those instances when they can qualify as disseminators of
``news'') who make their products available for purchase or
subscriptions by the general public. Other examples of news media
entities include online publications and websites that regularly
deliver news content to the public. These examples are not all-
inclusive. Moreover, as methods of news delivery evolve (for example
the adoption of the electronic dissemination of newspapers through
telecommunications services), such alternative media will be considered
to be news-media entities. A freelance journalist will be regarded as
working for a news-media entity if the journalist can demonstrate a
solid basis for expecting publication through that entity, whether or
not the journalist is actually employed by the entity. A publication
contract would present a solid basis for such an expectation; the NRC
may consider the past publication of the requester in making such a
determination.
Review means the time devoted to examining records located in
response to a request to determine whether any portion is exempt from
disclosure. Review consists of the time for processing any record for
disclosure, including ensuring that the records produced are
responsive; de-duplicating records, redacting the record and marking
the appropriate exemptions; conducting inter-agency or business
submitter consultations; and obtaining and considering any formal
objection to disclosure made by a confidential commercial information
submitter. Review costs are properly charged even if a record
ultimately is not disclosed. Review does not include time spent
resolving general legal or policy issues regarding the application of
exemptions.
Search means the time devoted to looking for agency records
responsive to requests. This includes a page-by-page or line-by-line
identification of responsive information within the records and the
reasonable efforts expended to locate and retrieve information from
electronic records.
Submitter means any person from whom the NRC obtains business
information, directly or indirectly. The term includes, without
limitation, corporations, State, local or Tribal governments, and
foreign governments.
Unusual circumstances means--
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records demanded in a single
request; or
(3) The need for consultation, which will be conducted with all
practical speed, with another agency having a substantial interest in
the determination of the request or among two or more components of the
NRC having substantial subject-matter interest therein.
Sec. 9.15 Availability of records.
The NRC will make available for public inspection and copying any
reasonably described agency record in the possession and control of the
NRC under the provisions of this subpart, and upon request by any
person. Records will be made available in any form or format requested
by a person if the record is readily reproducible by NRC in that form
or format. The NRC will make reasonable efforts to maintain its records
in forms or formats that are reproducible. The NRC will make reasonable
efforts to search for records in electronic form or format when
requested, except when these efforts would significantly interfere with
the operation of any of the NRC's automated information systems.
Records that the NRC routinely makes publicly available are described
in Sec. 9.21. Procedures and conditions governing requests for records
are set forth in Sec. 9.23.
Sec. 9.17 Agency records exempt from public disclosure.
(a) The FOIA provides for public access to information and records
developed or maintained by Federal agencies.
(b) The following types of agency records are exempt from public
disclosure under 5 U.S.C. 552(b):
(1) Records--
(i) That are specifically authorized under criteria established by
an Executive order to be kept secret in the interest of national
defense or foreign policy, and
(ii) That are in fact properly classified pursuant to such
Executive order;
(2) Records related solely to the internal personnel rules and
practices of the agency;
(3) Records specifically exempted from disclosure by statute (other
than 5 U.S.C. 552b), provided that the statute--
[[Page 10945]]
(i) Requires that the matters be withheld from the public in a
manner that leaves no discretion on the issue; or
(ii) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld;
(4) Trade secrets and commercial or financial information obtained
from a person that are privileged or confidential;
(5) Interagency or intra-agency memorandums or letters that would
not be available by law to a party other than an agency in litigation
with the agency, provided that the deliberative process privilege would
not apply to records created 25 years or more before the date on which
the records were requested;
(6) Personnel and medical files and similar files, the disclosure
of which would constitute a clearly unwarranted invasion of personal
privacy;
(7) Records or information compiled for law enforcement purposes,
but only to the extent that the production of these law enforcement
records or information--
(i) Could reasonably be expected to interfere with enforcement
proceedings;
(ii) Would deprive a person of a right to a fair trial or an
impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a State, local, or foreign agency or
authority, or any private institution which furnished information on a
confidential basis, and, in the case of a record or information
compiled by a criminal law enforcement authority in the course of a
criminal investigation, or by an agency conducting a lawful national
security intelligence investigation, or information furnished by a
confidential source;
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions, if the disclosure could
reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical
safety of any individual;
(8) Matters contained in or related to examination, operating, or
condition reports prepared by, on behalf of, or for the use of any
agency responsible for the regulation or supervision of financial
institutions; or
(9) Geological and geophysical information and data, including
maps, concerning wells.
(c) Nothing in this subpart authorizes withholding of information
or limiting the availability of records to the public except as
specifically provided in this part, nor is this subpart authority to
withhold information from Congress.
(d)(1) The NRC will withhold information under this subpart only
if--
(i) The NRC reasonably foresees that disclosure would harm an
interest protected by an exemption described in paragraph (b) of this
section; or
(ii) Disclosure is prohibited by law.
(2) Nothing in this subpart requires disclosure of information that
is otherwise prohibited from disclosure by law, or otherwise exempted
from disclosure under 5 U.S.C. 552(b)(3).
(e) Whenever a request is made that involves access to agency
records described in paragraph (b)(7) of this section, the NRC may,
during only the time as that circumstance continues, treat the records
as not subject to the requirements of this subpart when--
(1) The investigation or proceeding involves a possible violation
of criminal law; and
(2) There is reason to believe that--
(i) The subject of the investigation or proceeding is not aware of
its pendency; and
(ii) Disclosure of the existence of the records could reasonably be
expected to interfere with enforcement proceedings.
Sec. 9.19 Segregation of exempt information and deletion of
identifying details.
(a) For records required to be made available under 5 U.S.C.
552(a)(2), the NRC will delete information that is exempt under one or
more of the exemptions cited in Sec. 9.17. The amount of information
deleted will be indicated on the released portion of the record, unless
providing this information would harm an interest protected by the
exemption(s) under which the matter has been withheld.
(b) In responding to a request for information submitted under
Sec. 9.23, in which it has been determined to withhold exempt
information, the NRC will segregate--
(1) Information that is exempt from public disclosure under Sec.
9.17 from nonexempt information; and
(2) Factual information from advice, opinions, and recommendations
in predecisional records unless the information is inextricably
intertwined, or is contained in drafts, legal work products, and
records covered by the attorney-client privilege, or is otherwise
exempt from disclosure.
(c) In denying a request for records, in whole or in part, the NRC
will make a reasonable effort to estimate the volume of any information
requested that is denied and provide the estimate to the person making
the request, unless providing the estimate would harm an interest
protected by the exemption(s) under which the information has been
denied.
(d) When entire records or portions thereof are denied and
deletions are made from parts of the record by computer, the amount of
information deleted will be indicated on the released portion of the
record, unless providing this indication would harm an interest
protected by the exemption(s) under which the matter has been denied.
Sec. 9.21 Publicly available records; proactive disclosures.
(a) Publication in the Federal Register. The NRC will separately
state, publish and maintain current in the Federal Register for the
guidance of the public the following information:
(1) Descriptions of its headquarters and regional organization and
the established place at which, the persons from whom, and the methods
whereby, the public may obtain information, make submissions or
requests, or obtain decisions;
(2) Statements of the general course and method by which its
functions are channeled and determined, including the nature and
requirements of all formal and informal procedures available;
(3) Rules of procedure, descriptions of forms available or the
places at which forms may be obtained, and instructions as to the scope
and contents of all papers, reports, or examinations;
(4) Substantive rules of general applicability adopted as
authorized by law, and statements of general policy or interpretations
of general applicability formulated and adopted by the NRC and
available for public disclosure if subject to the Executive Order 12866
OIRA review process; and
(5) Each amendment, revision, or repeal of matters referred to in
paragraphs (a)(1) through (4) of this section.
(b) Public inspection. Subject to the application of the FOIA
exemptions and exclusion in 5 U.S.C. 552(b) and (c) and Sec. 9.17, the
NRC will make available for public inspection in an electronic format,
including by posting on the NRC's website, https://www.nrc.gov, the
following information:
(1) Final opinions, including concurring and dissenting opinions,
and orders of the NRC issued as a result of adjudication of cases;
(2) Those statements of policy and interpretations that have been
adopted by the NRC but are not published in the Federal Register;
[[Page 10946]]
(3) NRC rules and regulations;
(4) NRC manuals and instructions to NRC personnel that affect any
member of the public; and
(5) Copies of all records made publicly available pursuant to this
section.
(c) Indexes. Individual indexes to publicly available records,
including those records specified in this section, may be created by
using the search features of the Agencywide Documents Access and
Management System (ADAMS), located at the NRC website, https://www.nrc.gov/reading-rm/adams.html.
(d) Information made available online and assistance from the FOIA
Public Liaison. The NRC will ensure that its website of posted records
is reviewed and updated on an ongoing basis. The NRC has a FOIA Public
Liaison who can assist individuals in locating particular records, in
accordance with Sec. 9.30.
(e) NRC publications. Single copies of NRC publications in the
NUREG series, NRC Regulatory Guides, and Standard Review Plans as well
as NRC issuances can be purchased from the National Technical
Information Service, 5285 Port Royal Road, Springfield, Virginia 22161.
(f) NRC Public Document Room. For the convenience of persons who
may wish to inspect without charge, or purchase copies of a record or a
limited category of records for a fee, publicly available records of
the NRC's activities described in paragraph (a) of this section are
also made available at the Public Document Room located at One White
Flint North, 11555 Rockville Pike, Rockville, Maryland 20852-2738, by
appointment.
(1) A person may request access to publicly available records in
person, by telephone at 1-800-397-4209 or 301-415-4737, by email at
[email protected]">PDR.[email protected], or by U.S. mail from the NRC Public Document
Room, One White Flint North, 11555 Rockville Pike, Rockville, Maryland
20852-2738.
(2) Each record requested must be described in sufficient detail to
enable the NRC Public Document Room staff to locate the record.
(3) To obtain copies of records expeditiously, a person may open an
account with the NRC Public Document Room reproduction contractor.
Payment for reproduction services will be made directly to the
contractor in accordance with Sec. 9.35.
(g) Disclosures of records frequently requested. As provided in
this section, the NRC will make publicly available all records
regardless of form or format that have been released previously under 5
U.S.C. 552(a)(3) and this section, and that the NRC determines have
become or are likely to become the subject of subsequent requests for
the same, or substantially the same, records.
Sec. 9.23 Requirements for making requests.
(a) In general. Subject to the application of the FOIA exemptions
and exclusions (5 U.S.C. 552(b) and (c)), the NRC will promptly make
its records available to any person pursuant to a request that conforms
to the rules and procedures of this section.
(b) Form of request. A request will receive the quickest possible
response if it is addressed to the NRC and addressed as a ``Freedom of
Information Act Request.'' A request for records of the NRC must be
made in writing and may be submitted in one of the following ways:
(1) By mail or delivery service to the U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001;
(2) By email to FOIA.[email protected], or other electronic means
described on the FOIA page of the NRC's website (https://www.nrc.gov);
or
(3) Electronically to the National FOIA Portal at https://www.foia.gov.
(c) Content of the request. (1) To ensure the NRC's ability to
respond in a timely manner, a requester must describe each record
sought in sufficient detail to enable NRC personnel knowledgeable about
the subject matter to locate the record with a reasonable amount of
effort. To the extent possible, requesters should include specific
information that may help the NRC identify the requested records, such
as the date, title or name, author, recipient, subject matter of the
record, case number, docket number, file designation, or other
reference number.
(2) If after receiving a request the NRC determines that it does
not reasonably describe the records sought, the NRC will inform the
requester what additional information is needed or why the request is
otherwise insufficient. If a request does not reasonably describe the
records sought, the agency's response to the request may be delayed.
(3) To ensure the NRC's ability to communicate effectively with a
requester, a request must include contact information for the
requester, including the name of the requester and, to the extent
available, a mailing address, telephone number, and email address at
which the NRC may contact the requester regarding the request.
(4) A requester may specify the preferred form or format (including
an electronic format) for the records they seek. The NRC will
accommodate the requester's preference if the record is readily
reproducible in that form or format.
(5) A requester must indicate in the request whether the requester
is a commercial user, an educational institution, a non-commercial
scientific institution, a representative of the news media, or
``other'' requester as those terms are defined in Sec. 9.13, and the
basis for claiming that fee category as described in Sec. 9.37.
(6) If a requester seeks a waiver or reduction of fees associated
with processing a request, then the request must include a statement to
that effect as required by Sec. 9.37.
(7) If a requester seeks expedited processing of a request, then
the request must include a statement to that effect as required by
Sec. 9.26.
(d) Perfected requests; effect of request deficiencies. For
purposes of computing its deadline to respond to a request, the NRC
will deem a request to have been received only if, and on the date
that, it receives a request that complies with paragraphs (b) and (c)
of this section. If a request is deficient in any material respect,
then the NRC may return it to the requester and if it does so, it will
advise the requester in what respect the request is deficient, and what
additional information is needed to respond to the request. A
determination by the NRC that a request is deficient in any respect is
not a denial of a request for records and such determinations are not
subject to appeal. If a requester fails to respond within 30 days after
the NRC's notification that a request is deficient, the NRC will deem
the request withdrawn.
(e) Requests for NRC records pertaining to the requester. An
individual who wishes to inspect or obtain copies of records of the NRC
that pertain to that individual must provide identity verification in
accordance with Sec. 9.54.
(f) Requests for NRC records pertaining to an individual other than
the requester. Where a request for records pertains to a third party, a
requester may receive greater access by submitting either a notarized
authorization signed by that individual or a declaration made in
compliance with the requirements set forth in 28 U.S.C. 1746 by that
individual authorizing disclosure of the records to the requester, or
by submitting proof that the individual is deceased (e.g., a copy of a
death certificate or an obituary). As an exercise of administrative
discretion, the NRC may require a requester to supply additional
information if needed to verify that a particular individual has
consented to disclosure.
[[Page 10947]]
(g) Assistance from FOIA Public Liaison. Requesters may contact the
NRC's FOIA Public Liaison to seek assistance in determining the
appropriate fee category, formatting of requests, or resolving any
problems that arise prior to submitting a request or during the
processing of a request, in accordance with Sec. 9.30.
(h) Requests for records not in NRC control or possession. In
determining which records are responsive to a request, the NRC
ordinarily will include only records in its possession as of the date
the NRC begins its search for the records. If any other date is used,
the NRC will inform the requester of that date. A FOIA request covers
only agency records that are in existence on the date the perfected
request is received under this section and does not cover agency
records destroyed, discarded, or transferred to the National Archives
and Records Administration before receipt of the request, or which are
created after the date of the request.
Sec. 9.25 Responsibility for responding to requests.
(a) Authority to grant or deny a request for records. (1) Except as
provided in paragraphs (a)(2) through (4) of this section, the head of
the responsible NRC office, or their delegate, will make the initial
determination either to grant or to deny in whole or in part requests
for records. If disclosure is authorized, the head of the office or
their delegate will furnish the agency records to the Freedom of
Information Act and Privacy Act Officer, who will notify the requester
of the determination.
(2) For records originated by, or located in, the files of the
Office of the Inspector General, the Assistant Inspector General for
Investigations, or their delegate, will make the initial determination
either to grant or to deny in whole or in part requests for records. If
disclosure is authorized, the Assistant Inspector General for
Investigations will furnish the agency records to the Freedom of
Information Act and Privacy Act Officer, who will notify the requester
of the determination.
(3) For records originated by, or transmitted to, the Commission, a
Commissioner, or records originated by, or for which the Office of the
Secretary or an Advisory Committee has primary responsibility, the
Deputy Secretary of the Commission, or their delegate, will make the
initial determination either to grant or to deny in whole or in part a
request for records. If disclosure is authorized, the head of the
office will furnish the agency records to the Freedom of Information
Act and Privacy Act Officer, who will notify the requester of the
determination.
(4) For records originated by, or for which the Office of the
General Counsel has principal responsibility, the General Counsel will
make the initial determinations either to grant or to deny in whole or
in part requests for records. If disclosure is authorized, the head of
the office will furnish the agency records to the Freedom of
Information Act and Privacy Act Officer, who will notify the requester
of the determination.
(b) Content of the response. (1) If the NRC determines that the
request for records should be denied in whole or in part, then the
requester will be notified by mail or by email. The letter of
notification will:
(i) State the exemptions relied upon to deny the request in part or
in whole;
(ii) If technically feasible, indicate the amount of information
deleted and the exemptions under which the deletion is made at the
place in the record where such deletion is made (unless providing such
indication would harm an interest protected by the exemption relied
upon to deny such material);
(iii) Set forth the name and title or position of the responsible
official;
(iv) Advise the requester of the right to seek dispute resolution
services from the NRC's FOIA Public Liaison, or the Office of
Government Information Services (OGIS) in accordance with paragraph (c)
of this section;
(v) Advise the requester of the right to an administrative appeal
in accordance with Sec. 9.29; and
(vi) Specify the official or office to which such an appeal will be
submitted.
(2) If the NRC determines, after a reasonable search for records,
that no responsive records have been found to exist, the NRC will
notify the requester of the determination in writing or by email. The
notification will also advise the requester of the right to
administratively appeal the NRC's determination that no responsive
records exist (i.e., to challenge the adequacy of the NRC's search for
responsive records) in accordance with Sec. 9.29. The response will
specify the official or office to which the appeal will be submitted.
(c) Resolution of disputes. The NRC is committed to efficiently
resolving disputes during the request process. The following resources
are available to requesters to resolve any disputes that may arise
during the request process:
(1) FOIA Public Liaison. Any request-related questions or concerns
should be directed to the FOIA Public Liaison, who is responsible for
reducing delays, increasing transparency and understanding of the
status of requests, and assisting in the resolution of disputes.
Contact the NRC FOIA Public Liaison in accordance with Sec. 9.30.
(2) Dispute resolution. OGIS offers non-compulsory, non-binding
dispute resolution services to help resolve FOIA disputes. A requester
may contact OGIS by mail, email, telephone, or fax as described at its
web page, https://www.archives.gov/ogis. Contact OGIS in accordance
with Sec. 9.30.
(d) Use of record exclusions. (1) In the event that the NRC
identifies records that may be subject to exclusion from the
requirements of the FOIA pursuant to 5 U.S.C. 552(c) or Sec. 9.17(e),
the NRC may confer with the Department of Justice, Office of
Information Policy, to obtain approval to apply the exclusion.
(2) The NRC will maintain an administrative record of the process
of invocation and approval of the exclusion by the Department of
Justice, Office of Information Policy.
(e) Consultation, referral, and coordination. When reviewing
records located by the NRC in response to a request, the NRC will
determine whether another agency of the Federal Government is better
able to determine whether the record is exempt from disclosure under
the FOIA. As to any such record, the agency must proceed in one of the
following ways:
(1) Consultation. When records that originated with the NRC are
responsive to a request but contain within them information of interest
to another agency, the NRC ordinarily will consult with that other
entity prior to making a release determination.
(2) Referral. (i) When the NRC believes that a different agency is
best able to determine whether to disclose the record, the NRC
ordinarily will refer the responsibility for responding to the request
regarding that record to that agency because the agency that originated
the record is presumed to be the best agency to make the disclosure
determination. However, if the NRC and the originating agency jointly
agree that the NRC is in the best position to respond regarding the
record, then the record may be handled as a consultation.
(ii) Whenever the NRC refers any part of the responsibility for
responding to a request to another agency, the NRC will document the
referral, maintain a copy of the record that it refers, and notify the
requester of the referral, informing the requester of the name(s) of
the agency to which the record was referred, including that agency's
FOIA contact information.
(3) Coordination. The standard referral procedure is not
appropriate
[[Page 10948]]
where disclosure of the identity of the agency to which the referral
would be made could harm an interest protected by an applicable
exemption, such as the exemptions that protect personal privacy or
national security interests. For example, if a non-law enforcement
agency responding to a request for records on a living third party
locates within its files records originating with a law enforcement
agency, and if the existence of that law enforcement interest in the
third party was not publicly known, then to disclose that law
enforcement interest could cause an unwarranted invasion of the
personal privacy of the third party. Similarly, if the NRC locates
within its files material originating with an Intelligence Community
agency, and the involvement of that agency in the matter is classified
and not publicly acknowledged, then to disclose or give attribution to
the involvement of that Intelligence Community agency could cause
national security harms. In such instances, to avoid harm to an
interest protected by an applicable exemption, the NRC will coordinate
with the originating agency to seek its views on the disclosability of
the record. The NRC will then convey the release determination for the
record that is the subject of the coordination to the requester.
(f) Disclosure review. (1) On receipt of any request potentially
involving information exempt from disclosure (e.g., nonpublic
information), the NRC will determine whether the information is exempt
from disclosure under Sec. 9.17. Whenever a request involves a record
containing information that may be exempt from disclosure, but the
responsible office, as specified in paragraph (a) of this section,
determines that, although exempt, the disclosure of the agency records
will not be contrary to the public health and safety, will not be
harmful to the common defense or security, and will not affect the
rights of any person, the responsible office may authorize disclosure
of the agency records. If the responsible office authorizes disclosure
of the agency records, the head of the office will furnish the agency
records to the Freedom of Information Act and Privacy Act Officer, who
will notify the requester of the determination in the manner provided
in Sec. 9.27.
(2) Whenever a request involves a record containing information
that has been classified or may be appropriate for classification by
another agency under any applicable executive order concerning the
classification of records, the NRC will refer the responsibility for
responding to the request regarding that information to the agency that
classified the information, or that should consider the information for
classification. Whenever an agency's record contains information that
has been derivatively classified (e.g., when it contains information
classified by another agency), the NRC will refer the responsibility
for responding to that portion of the request to the agency that
classified the underlying information.
(g) Timing of responses to consultations and referrals. All
consultations and referrals received by the NRC will be handled
according to the date that the first agency received the perfected FOIA
request as described in Sec. 9.23.
(h) Agreements regarding consultations and referrals. The NRC may
establish agreements with other agencies to eliminate the need for
consultations or referrals with respect to particular types of records.
Sec. 9.26 Timing of responses to requests.
(a) In general. The NRC does not consider a request as received
until the date it is received by the Freedom of Information Act and
Privacy Act Officer. When NRC personnel determine that a request was
misdirected within the agency, the request will be routed promptly to
the Freedom of Information Act and Privacy Act Officer. If a Freedom of
Information Act request is misdirected, the response time provided by
this section will begin on the date that the request is received by the
Freedom of Information Act and Privacy Act Officer, but in any event
not later than 10 working days, as defined in Sec. 9.3, after the
request is first received.
(b) Time for initial disclosure determination. In determining which
records are responsive to a request, the NRC ordinarily will include
only records in its possession as of the date the NRC begins its search
for the records. If any other date is used, the NRC will inform the
requester of that date. A record that is excluded from the requirements
of the FOIA pursuant to 5 U.S.C. 552(c) is not considered responsive to
a request. Except as provided in paragraphs (d) and (e) of this
section, the NRC will notify a requester within 20 working days of its
determination.
(c) Multitrack processing. (1) To ensure the most equitable
treatment possible of all requesters, the NRC will seek to respond to
requests according to their order of receipt within each track of the
multitrack processing system. The NRC has designated processing tracks
that distinguish between expedited, simple, and complex requests based
on the estimated time it will take to process the request.
(2) The NRC will advise a requester of the track into which their
request falls and, when appropriate, will offer the requester an
opportunity to narrow the scope of their request so that it can be
placed in a different processing track. The NRC will notify the
requester in writing if subsequent information substantially changes
the estimated time to process a request. A requester may modify the
request to allow it to be processed faster or to reduce the cost of
processing. The NRC may provide partial or interim responses to
requester, as appropriate.
(3) The NRC uses a three-track system.
(i) The first track is for expedited processing. The NRC will
process a FOIA request on an expedited basis when a requester satisfies
the requirements for expedited processing as set forth in paragraph (g)
of this section.
(ii) The second track is for simple requests (e.g., requests
involving possible records from two or three offices and/or various
types of files of moderate volume, of which, some are expected to be
exempt).
(iii) The third track is for complex requests that, because of
their unusual volume or other complexity, are expected to take more
than 30 working days to complete (e.g., requests involving several
offices, regional offices, another agency's records, classified records
requiring declassification review, records for business information
that are required to be referred to the submitter for their proprietary
review prior to disclosure, records in large volumes which require
detailed review because of the sensitive nature of the records such as
investigative records or legal opinions and recordings of internal
deliberations of agency staff).
(d) Extension of time limit in unusual circumstances. (1) Whenever
the NRC cannot meet the statutory time limit for processing a request
because of ``unusual circumstances,'' as defined in Sec. 9.13, and the
NRC extends the time limit on that basis, the NRC will, before
expiration of the 20-day period to respond, notify the requester in
writing of the unusual circumstances involved and of the date by which
the agency estimates processing of the request will be completed. Where
the extension exceeds 10 working days, the NRC will, as described by
the FOIA, provide the requester with an opportunity to modify the
request or arrange an alternative time period for processing the
original or modified request. The NRC will make available its FOIA
Public Liaison for
[[Page 10949]]
this purpose in accordance with Sec. 9.25(c).
(2) In unusual circumstances, the NRC may extend the time limit
prescribed in paragraph (b) of this section by not more than 10 working
days. The extension may be made by written notice to the person making
the request to explain the reasons for the extension and indicate the
date on which a determination is expected to be made. The NRC may
consider the following factors in determining whether ``unusual
circumstances,'' as defined in Sec. 9.13, apply:
(i) The need to search for and collect the requested records from
three or more offices within NRC's headquarters and/or regional
offices;
(ii) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records demanded in a single
request;
(iii) The need for consultation with another Government agency
having a substantial interest in the determination of the request;
(iv) The need to undertake a declassification review of records;
(v) The need to refer records to a licensee or other business
submitter under Sec. 9.28; or
(vi) The need to retrieve records from Federal Records Centers or
other off-site facilities.
(e) Aggregating requests. To satisfy unusual circumstances under
the FOIA, the NRC may aggregate requests in cases where it reasonably
appears that multiple requests, submitted either by a requester or by a
group of requesters acting in concert, constitute a single request that
would otherwise involve unusual circumstances. The NRC will not
aggregate multiple requests that involve unrelated matters.
(f) Exceptional circumstances. (1) If the NRC cannot act upon the
request within the time periods described in paragraph (b) or (c) of
this section due to exceptional circumstances, the NRC will provide the
requester with the reasons for the delay and provide a projected
response date.
(2) A requester will be provided an opportunity to limit the scope
of the request so that it may be processed in a shorter amount of time,
or to agree to a reasonable alternative time frame for processing. When
notifying a requester under this paragraph (f), the NRC will make
available its FOIA Public Liaison to assist in the resolution of any
disputes between the requester and the agency and will notify the
requester of the requester's right to seek dispute resolution services
from the Office of Government Information Services within the National
Archives and Records Administration. See Sec. 9.25(c).
(3) For the purposes of this paragraph (f), ``exceptional
circumstances'' do not include delays that result from the normal
predictable workload of FOIA requests or a failure by the NRC to
exercise due diligence in processing the request. A requester's
unwillingness to agree to reasonable modification of the request or an
alternative time for processing the request may be considered as
factors in determining whether exceptional circumstances exist and
whether the agency exercised due diligence in responding to the
request.
(g) Expedited processing. (1) The NRC may take requests and appeals
out of order and give expedited treatment if the NRC determines that
such requests or appeals involve a compelling need as defined in Sec.
9.13.
(2) A request for expedited processing must:
(i) Be made in writing;
(ii) Be labelled ``Expedited Processing Requested'';
(iii) Be submitted as part of a request for records in accordance
with Sec. 9.23; and
(iv) Include a statement certifying the compelling need given to be
true and correct to the best of their knowledge and belief. The NRC may
waive the certification requirement as a matter of administrative
discretion.
(3) The Freedom of Information Act and Privacy Act Officer, or
their delegate, will make the initial determination whether to grant or
deny a request for expedited processing and will notify a requester
within 10 calendar days after the request has been received whether
expedited processing will be granted.
(4) If the NRC grants a request for expedited processing, then the
NRC will give the expedited request priority over non-expedited
requests and will process the expedited request as soon as practical.
(5) If the NRC denies a request for expedited processing, then the
requester will have the right to submit an appeal to the denial
determination in accordance with Sec. 9.29. The NRC will communicate
this appeal right as part of its written notification to the requester
denying expedited processing. The requester will label its appeal
request ``Appeal for Expedited Processing.''
Sec. 9.27 Responses to requests.
(a) In general. The NRC, to the extent practical, will communicate
electronically with requesters having access to the internet, through
online platforms such as email or web portal.
(b) Acknowledgment of requests. The NRC will acknowledge the
request in writing and assign it an individualized tracking number if
it will take longer than 10 working days, as defined in Sec. 9.3, to
process. The acknowledgment letter will contain the following
information:
(1) The applicable tracking number;
(2) The date of receipt, as determined in accordance with Sec.
9.23;
(3) A brief statement identifying the subject matter of the
request; and
(4) Confirmation, with respect to any fees that may apply to the
request pursuant to Sec. 9.37, that the requester has sought a waiver
or reduction in such fees, has agreed to pay any and all applicable
fees, or has specified a higher limit that the requester is willing to
pay in fees to process the request.
(c) Estimated dates of completion and interim responses. Upon
request, the NRC will provide an estimated date by which the agency
expects to provide a response to the requester. If a request involves a
voluminous amount of material, or searches in multiple locations, the
NRC may provide interim responses, releasing the records on a rolling
basis.
(d) Grants of requests. Once the NRC determines it will grant a
request in full or in part, it will notify the requester in writing.
The NRC will also inform the requester of any fees charged under Sec.
9.37 and disclose the requested records to the requester promptly upon
payment of any applicable fees.
(e) Adverse determinations of requests. The NRC will notify the
requester, in writing, if the NRC makes an adverse determination
denying a request in any respect, and include in its decisions that:
the requested record is exempt, in whole or in part; the request does
not reasonably describe the records sought; the information requested
is not a record subject to the FOIA; the requested record does not
exist, cannot be located, or has been destroyed; or the requested
record is not readily reproducible in the form or format sought by the
requester. Adverse determinations also include denials involving fees
or fee waiver matters or denials of requests for expedited processing.
(f) Content of denial. The denial must be signed by the Freedom of
Information Act and Privacy Act Officer or designee and must include:
(1) The name and title or position of the person responsible for
the denial;
(2) A brief statement of the reasons for the denial, including any
FOIA exemption applied by the head of the office recommending denial of
the record;
[[Page 10950]]
(3) An estimate of the volume of any records or information
withheld, such as the number of pages or some other reasonable form of
estimation, although such an estimate is not required if the volume is
otherwise indicated by deletions marked on records that are disclosed
in part or if providing an estimate would harm an interest protected by
an applicable exemption;
(4) A statement that the denial may be appealed under Sec. 9.29,
and a description of the appeal requirements; and
(5) A statement notifying the requester of the assistance available
from the agency's FOIA Public Liaison, and the dispute resolution
services offered by OGIS in accordance with Sec. 9.25(c).
(g) Markings on released documents. Records disclosed, in part,
will be marked to show the amount of information deleted and the
exemption under which the deletion was made unless doing so would harm
an interest protected by an applicable exemption. The location of the
information deleted must also be indicated on the record, if
technically feasible.
(h) Discretionary disclosures. Even though a FOIA exemption may
apply to records requested, the NRC may, if not precluded by law, elect
not to apply the exemption. The fact that the exemption is not applied
by the NRC in response to a particular request will have no
precedential significance in processing other requests.
Sec. 9.28 Requests for business information provided to the NRC.
(a) In general. Business information provided to the NRC by a
business submitter will not be disclosed pursuant to a FOIA request
except in accordance with this section.
(b) Designation of business information. A submitter of business
information must use good faith efforts to designate by appropriate
markings, at the time of submission or a reasonable time thereafter,
any portion of its submission that it considers to be protected from
disclosure under Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4). These
designations expire 10 years after the date of the submission unless
the submitter requests and provides justification for a longer
designation period.
(c) Notice to submitters. (1) The NRC will provide a submitter with
notice of receipt of a request or appeal whenever:
(i) The information has been designated in good faith by the
submitter as information considered protected from disclosure under
Exemption 4 of the FOIA; or
(ii) The NRC has reason to believe that the information may be
protected from disclosure under Exemption 4 of the FOIA.
(2) The notice requirements of this paragraph (c) will not apply
if:
(i) The NRC determines that the information is exempt under the
FOIA;
(ii) The information lawfully has been published or otherwise made
available to the public;
(iii) Disclosure of the information is required by statute (other
than the FOIA) or by a regulation issued in accordance with the
requirements of Executive Order 12600; or
(iv) The designation made by the submitter under paragraph (d)(1)
of this section appears obviously frivolous, except that, in such a
case, the NRC will, within a reasonable time prior to a specified
disclosure date, give the submitter written notice of any final
decision to disclose the information.
(d) Opportunity to object to disclosure before release. (1) The
submitter will be allowed 30 calendar days from the date of the notice
described in paragraph (c) of this section to object to the disclosure
of records containing its confidential business information prior to
NRC disclosing it. If a submitter has any objection to the disclosure,
the submitter must provide a detailed written statement. The statement
must specify all grounds that support why the information is a trade
secret or commercial or financial information that is privileged or
confidential.
(2) If a submitter fails to respond to the notice within the time
specified in the notice, the submitter will be considered to have no
objection to the disclosure of the information. Information provided by
the submitter that is received after the specified date for a response
will not be considered unless that date is extended by the Freedom of
Information Act and Privacy Act Officer upon request by the submitter.
(e) Notice of final decision to disclose. The NRC will consider a
submitter's objections and specific grounds for nondisclosure prior to
determining whether to disclose business information. Except as
otherwise prohibited by law, when notice is given to a submitter under
this section, the requester will be advised that such notice has been
given to the submitter. Whenever the NRC decides to disclose business
information over the objection of a submitter, the NRC will forward to
the submitter a written notice that will include:
(1) A statement of the reasons for which the submitter's disclosure
objections were not sustained;
(2) A description of the business information to be disclosed; and
(3) A specified disclosure date that is not less than 30 calendar
days after the notice of the final decision to release the requested
information has been sent, by mail or email, to the submitter, after
which the information will be made available to the public.
(f) Notice of FOIA lawsuit. Whenever a requester files a lawsuit
seeking to compel disclosure of business information, the NRC will
promptly notify the submitter.
Sec. 9.29 Administrative appeals.
(a) Grounds for administrative appeals. A requester may
administratively appeal an adverse NRC determination on their initial
request, including--
(1) Denial of a Freedom of Information Act request for access, in
whole or part, to agency records;
(2) Denial of a request for waiver or reduction of fees, including
a denial to assign a requester to a particular fee category; or
(3) Denial of a request for expedited processing.
(b) Not grounds for administrative appeals. A requester may not
file an administrative appeal for the lack of a timely response.
(c) Requirements for filing an administrative appeal. To ensure a
timely response to an appeal:
(1) The appeal must be made in writing;
(2) An appeal, other than an appeal of the denial of an expedited
processing request, must be postmarked or submitted electronically
within 90 calendar days of the date of an adverse determination;
(3) An appeal of a denial of an expedited processing request must
be made within 10 calendar days of the date of an adverse
determination;
(4) If an appeal is submitted by mail or delivery service, it must
be addressed as set forth on the NRC's website;
(5) The appeal must be labelled ``Freedom of Information Act
Appeal'';
(6) If an appeal is submitted by electronic means, it must be
addressed as set forth on the NRC's website, https://www.nrc.gov/reading-rm/foia/foia-privacy.html. The appeal must be labelled
``Freedom of Information Act Appeal'';
(7) The appeal must set forth contact information for the
requester, including to the extent available, a mailing address,
telephone number, or email address at which the NRC may contact the
requester regarding the appeal; and
(8) The appeal must specify the applicable request tracking number,
the date of the initial request, and the date of the initial
determination; and, where
[[Page 10951]]
possible, enclose a copy of the initial request and the initial
determination being appealed.
(d) Processing of administrative appeals. The receipt of the appeal
will be acknowledged by the NRC and the requester will be advised of
the date the appeal was received, the appeal tracking number, and the
expected date of response.
(e) Nondisclosed information. On receipt of any appeal involving
nondisclosed exempt information, the NRC will take appropriate action
in accordance with Sec. 9.25(f).
(f) Determinations to grant or deny administrative appeals. (1) The
Chief Information Officer, or their delegate, will act on the appeal,
except that the Inspector General will act on any appeal where the
Assistant Inspector General for Investigations has made the initial
determination being appealed; and the Secretary of the Commission, or
their delegate, will act on any appeal where the Deputy Secretary of
the Commission or General Counsel has made the decision being appealed.
(2) The official authorized to act on an appeal will decide whether
to reverse the initial determination (in whole or in part), or to
remand the initial determination to the Freedom of Information Act and
Privacy Act Officer for further action, and will notify the requester
of this decision in writing within 20 working days, as defined in Sec.
9.3, after the date of receipt of the appeal, unless extended pursuant
to Sec. 9.26(d) and (f).
(3) If the appeal is denied (in whole or in part), the requester
will be:
(i) Notified in writing of the denial;
(ii) Notified of the reasons for the denial, including which of the
FOIA exemptions were relied upon;
(iii) Notified of the name and title or position of the official
responsible for the determination on appeal;
(iv) Provided with a statement that judicial review of the denial
is available in the United States District Court for the judicial
district in which the requester resides or has a principal place of
business, the judicial district in which the requested records are
located, or the District of Columbia in accordance with 5 U.S.C.
552(a)(4)(B); and
(v) Provided with notification that dispute resolution services are
available to the requester as a non-exclusive alternative to litigation
through the Office of Government Information Services in accordance
with 5 U.S.C. 552(h)(3). Dispute resolution is a voluntary process. If
the NRC agrees to participate in the dispute resolution services
provided by the Office of Government Information Services, it will
actively engage as a partner to the process in an attempt to resolve
the dispute. See Sec. 9.30 for OGIS contact information.
(4) If an initial determination is remanded or modified on appeal,
the requester will be notified of that determination in writing. The
NRC will then further process the request in accordance with that
appeal determination and will respond directly to the requester.
(g) When an appeal is required. Before seeking review by a court of
an adverse determination, a requester generally must first submit a
timely administrative appeal.
(h) Adjudication of administrative appeals of requests in
litigation. An appeal ordinarily will not be adjudicated if the request
becomes a matter of FOIA litigation.
Sec. 9.30 Contact for dispute resolution services.
(a) NRC's FOIA Public Liaison:
(1) By mail--11555 Rockville Pike, Rockville, MD 20852; and
(2) By email--FOIAPublicLiaison .[email protected].
(b) Office of Government Information Services within National
Archives and Records Administration:
(1) By mail--8601 Adelphi Road-OGIS, College Park, MD 20740;
(2) By facsimile--202-741-5769; and
(3) By [email protected].
Sec. 9.35 Duplication fees for documents in the NRC Public Document
Room and for NRC Advisory Committee proceedings.
(a)(1) The charges by the duplicating service contractor for the
duplication of records made available under Sec. 9.21 at the NRC
Public Document Room (PDR), One White Flint North, 11555 Rockville
Pike, Room OWFN-P1 B35, Rockville, Maryland, may be found on the NRC's
website at https://www.nrc.gov/reading-rm/pdr/copy-service.html, by
calling the PDR at 1-800-397-4209 or 301-415-4737, or by email at
[email protected]">PDR.[email protected] and are as follows:
(i) Paper-to-paper reproduction is $0.30 per page for standard size
(up to and including 11'' x 14'' reduced). Pages 11'' x 17'' are $0.30
per page. Pages larger than 11'' x 17'', including engineering
drawings, are $1.50 per square foot.
(ii) Pages larger than 11'' x 17'' are $1.50 per square foot.
(iii) Microfiche-to-paper reproduction is $0.30 per page. Aperture
card blowback to paper is $3.00 per square foot.
(iv) Microfiche card duplication is $5.00 per card; CD-ROM
duplication is $10.00 each.
(v) The charges for Electronic Full Text (EFT) (ADAMS documents)
copying are as follows:
(A) Electronic Full Text (EFT) copying of ADAMS documents to paper
(applies to images, OCR TIFF, and PDF text) is $0.30 per page.
(B) EFT copying of ADAMS documents to CD-ROM is $5.00 per CD plus
$0.15 per page.
(C) CD-ROM-to-paper reproduction is $0.30 per page.
(vi) Priority rates (rush processing) are as follows:
(A) The priority rate offered for standard size paper-to-paper
reproduction is $0.35, microfiche-to-paper reproduction is $0.40, EFT
copying of ADAMS documents to paper, and CD-ROM-to-paper production is
$0.35 per page.
(B) The priority rate for aperture cards is $3.50 per square foot.
The priority rate for copying EFT to CD-ROM is $6.00 per CD-ROM plus
$0.20 per page.
(vii) Facsimile charges are $1.00 per page for local calls; $2.00
per page for U.S. long distance calls, and $6.00 per page for foreign
long-distance calls, plus the regular per page copying charge.
(2) A requester may submit mail-order requests for contractor
duplication of NRC records made by writing to the NRC Public Document
Room. The charges for mail-order duplication of records are the same as
those set out in paragraph (a)(1) of this section, plus mailing or
shipping charges.
(3) A requester may open an account with the duplicating service
contractor. A requester may obtain the name and address and billing
policy of the contractor from the NRC Public Document Room.
(4) Any change in the costs specified in this section will become
effective immediately pending completion of the final rulemaking that
amends this section to reflect the new charges. The Commission will
post the charges that will be in effect for the interim period at the
NRC Public Document Room. The Commission will publish a final rule in
the Federal Register that includes the new charges within 15 working
days, as defined in Sec. 9.3, from the beginning of the interim
period.
(b) The NRC will assess the following charges for copies of records
to be duplicated by the NRC at locations other than the NRC Public
Document Room located at One White Flint North, 11555 Rockville Pike
(first floor), Rockville, Maryland.
(1) Sizes up to 8\1/2\ x 14 inches made on office copying
machines--$0.20 per page of copy; and
(2) The charge for duplicating records other than those specified
in paragraphs
[[Page 10952]]
(a) and (b) of this section is computed on the basis of NRC's direct
costs.
(c) In compliance with the Federal Advisory Committee Act, a
requester may purchase copies of transcripts of testimony in NRC
Advisory Committee proceedings, which are transcribed by a reporting
firm under contract with the NRC directly from the reporting firm at
the cost of reproduction as provided for in the contract with the
reporting firm. A requester may also purchase transcripts from the NRC
at the cost of reproduction as set out in paragraphs (a) and (b) of
this section.
(d) Copyrighted material may not be reproduced in violation of the
copyright laws. Requesters will be given the citation to any
copyrighted publication and advised to contact the NRC Public Document
Room to arrange to view the publication.
Sec. 9.37 Fees for processing NRC FOIA requests.
(a) In general. The NRC may charge fees for processing a FOIA
request. The NRC will determine whether and to what extent to charge a
requester the fees described in this paragraph by determining a fee
category for the requester (see paragraph (b) of this section) and then
by charging the requester those fees applicable to the assigned
category (see paragraph (c) of this section), unless circumstances
exist (see paragraph (d) of this section) that render fees inapplicable
or unless the requester has requested and the NRC has granted a
reduction in or waiver of fees (see paragraph (e) of this section).
(1) The NRC will generally respond to a request electronically.
Except where a requester specifically asks that the NRC provide
released records in paper format, or where the records must be scanned
to process the records, the NRC will ordinarily not charge duplication
fees. However, where a requester asks that the NRC provide released
records in paper format, or where scanning records into a digital
format is necessary to process the records, the NRC will charge a
requester the fees for the cost of printing or copying records at the
rate of $0.20 per page.
(2) The NRC will charge the following hourly rates for search and
review of agency records by NRC personnel, rounded up to the nearest
full hour:
(i) Clerical search and review at a salary rate that is equivalent
to a GG-9/step 7, plus 16 percent fringe benefits;
(ii) Professional/managerial search and review at a salary rate
that is equivalent to a GG-14/step 7, plus 16 percent fringe benefits;
and
(iii) Senior executive or Commissioner search and review at a
salary rate that is equivalent to an ES-Maximum, plus 16 percent fringe
benefits.
(3) Search costs will be assessed even if no records are located,
or, if records are located, all are exempt from disclosure.
(4) The NRC will honor the requester's preference for receiving
records in a particular format whenever the NRC can readily reproduce
the record in that format.
(b) Categories of requesters. (1) Within 20 calendar days of the
receipt of a request, the NRC will determine the proper fee category
that applies to a requester. The NRC will inform the requester of the
determination in writing. Where the NRC has reasonable cause to doubt
the use to which a requester will put the records sought or where that
use is not clear from the request itself, the NRC will seek additional
clarification before assigning the requester to a specific category.
(2) The requester will have the right to submit an appeal of the
NRC's determination of fee category in accordance with Sec. 9.29. The
NRC will communicate this appeal right as part of its written
determination of one of the following fee categories:
(i) Commercial user.
(ii) Educational institution.
(iii) Noncommercial scientific institution.
(iv) Representative of the news media.
(v) Other requester.
(c) Fees applicable to each category of requester. The following
fee schedule applies to requests processed under the FOIA. Specific
levels of fees are prescribed for each category of requester identified
in paragraph (b)(2) of this section.
(1) Commercial users will be charged the full direct costs of
searching for, reviewing, and duplicating the requested records.
(i) When a request is received for a disclosure that is primarily
in the commercial interest of the requester, the NRC will not consider
a request for a waiver or reduction of fees based upon the assertion
that disclosure would be in the public interest. The NRC may recover
the cost of searching for and reviewing records even when there is
ultimately no disclosure of records or no records are located.
(ii) The NRC will not charge commercial use requesters for review
at the administrative appeal stage of exemptions applied at the initial
review stage. However, any costs associated with an agency's re-review
of withheld information may be assessed as review fees.
(2) Educational and non-commercial scientific institution
requesters will be charged only for the cost of duplicating records
they request, except that the NRC will provide the first 100 pages of
duplication free of charge.
(3) Representatives of the news media will be charged only for the
cost of duplicating the records they request, except that the NRC will
provide the first 100 pages of duplication free of charge.
(4) Other requesters who do not fit any of the categories described
in paragraphs (c)(1) through (3) of this section will be charged the
full direct cost of searching for and duplicating records that are
responsive to the request, except that the NRC will provide the first
100 pages of duplication and the first two hours of search time free of
charge.
(i) For copies of records produced on tapes, disks, or other media,
the NRC will charge the direct costs of producing the copy, including
operator time. The NRC may recover the cost of searching for records
even if there is ultimately no disclosure of records, or no records are
located.
(ii) Requests from persons for records about themselves filed in
the NRC's systems of records will be assessed fees as provided under
the fee provisions in Sec. 9.85.
(d) Other circumstances when fees are not charged. The NRC may not
charge a requester certain FOIA processing fees in the following
situations:
(1) If the cost of collecting a fee would be equal to or greater
than the total FOIA processing fee, taking into account any free
services to which the requester is entitled under this section, then
the NRC will not charge a requester the FOIA processing fees.
(2) If the NRC has waived or reduced FOIA processing fees in
accordance with paragraph (e) of this section, then the NRC will not
charge the portion of the FOIA processing fees that has been waived or
reduced.
(3) If the NRC fails to comply with any time limit under Sec.
9.26, then the NRC will not assess search fees.
(4) If the requester is a representative of the news media or an
educational or noncommercial scientific institution, then the NRC will
not assess duplication fees, unless:
(i) A court has determined that exceptional circumstances, as
defined by the FOIA, exist; or
(ii) The NRC has determined that unusual circumstances, as defined
under Sec. 9.13 and referenced in Sec. 9.26, apply to the processing
of the request; and
[[Page 10953]]
(A) Provided timely written notice to the requester of the unusual
circumstances in accordance with Sec. 9.26;
(B) Determined that more than 5,000 pages are necessary to respond
to the request; and
(C) Discussed with the requester (or made not less than three good
faith attempts to do so) how the requester could effectively limit the
scope of the request.
(5) If the NRC determines, as a matter of administrative
discretion, that waiving or reducing the fees would serve the interest
of the United States Government.
(e) Waiver or reduction of fees. (1) A requester may seek from the
NRC a waiver or reduction in the fees otherwise applicable to a FOIA
request provided the requester:
(i) Requests such waiver or reduction of fees in writing as part of
the FOIA request;
(ii) Labels the request for waiver or reduction of fees ``Fee
Waiver or Reduction Requested'' on the FOIA request; and
(iii) Demonstrates that the fee reduction or waiver is in the
public interest because:
(A) Furnishing the information is likely to contribute
significantly to public understanding of the operations or activities
of the Government; and
(B) Furnishing the information is not primarily in the commercial
interest of the requester.
(2) However, a requester may submit a fee waiver request at a later
time, so long as the underlying record request is pending or on
administrative appeal.
(3) When a requester who has committed to pay fees subsequently
asks for a waiver of those fees and that waiver is denied, the
requester must pay any costs incurred up to the date the fee waiver
request was received.
(f) Advance notice and prepayment of fees. (1) Subject to
paragraphs (f)(2) through (4) of this section, for requests other than
those described in Sec. 9.26(d) and (f), the NRC will not require the
requester to make an advance payment before work is commenced or
continued on a request. However, payment owed for work already
completed (i.e., payment before a response is issued to a requester) is
not an advance payment.
(2) When the NRC determines or estimates that a total fee to be
charged under this section will exceed $250.00, the NRC will require
that the requester make an advance payment up to the amount of the
entire anticipated fee before beginning to process the request.
(3) Where a requester has previously failed to pay a properly
charged FOIA fee to the NRC within 30 calendar days of the billing
date, the NRC will require that the requester pay the full amount due,
plus any applicable interest on that prior request, and make an advance
payment of the full amount of any estimated fee before the NRC begins
to process a new request or continues to process a pending request or
any pending appeal. Where the NRC has a reasonable basis to believe
that a requester has misrepresented the requester's identity to avoid
paying outstanding fees, the NRC may require that the requester provide
proof of identity.
(4) In situations in which the NRC requires advance payment, the
request will not be considered received and further work will not be
completed until the required payment is received. If the requester does
not pay the advance payment within 30 calendar days after the date of
the agency's fee determination, the request will be closed.
(g) Notice of anticipated fees in excess of $25.00. (1) When the
NRC determines or estimates that the fees to be assessed in accordance
with this section will exceed $25.00, the NRC will notify the requester
of the actual or estimated amount of the fees, including a breakdown of
the fees for search, review or duplication, unless the requester has
indicated a willingness to pay fees as high as those anticipated.
(i) If only a portion of the fee can be estimated readily, the NRC
will advise the requester accordingly.
(ii) If the request is for a noncommercial use, the notice will
specify that the requester is entitled to the statutory entitlements of
100 pages of duplication at no charge.
(iii) If the requester is charged search fees, two hours of search
time will be provided at no charge, and the NRC will advise the
requester whether those entitlements have been provided.
(2) If the NRC notifies the requester that the actual or estimated
fees are in excess of $25.00, the request will not be considered
received and further work will not be completed until the requester
commits in writing to pay the actual or estimated total fee, or
designates some amount of fees the requester is willing to pay, or in
the case of a noncommercial use requester who has not yet been provided
with the requester's statutory entitlements, designates that the
requester seeks only that which can be provided by the statutory
entitlements. The requester must provide the commitment or designation
in writing, and must, when applicable, designate an exact dollar amount
the requester is willing to pay. The NRC will not accept payments in
installments.
(3) If the requester has indicated a willingness to pay some
designated amount of fees, but the NRC estimates that the total fee
will exceed that amount, the agency will toll (pause) the processing of
the request when it notifies the requester of the estimated fees in
excess of the amount the requester has indicated a willingness to pay.
The agency will inquire whether the requester wishes to revise the
amount of fees the requester is willing to pay or modify the request.
Once the requester responds, the time to respond will resume from where
it was at the date of the notification.
(4) The NRC FOIA Public Liaison is available to assist any
requester in reformulating a request to meet the requester's needs at a
lower cost. Contact the NRC FOIA Public Liaison in accordance with
Sec. 9.30.
(h) Charges for other services. (1) Although not required to
provide special services, if the NRC chooses to do so as a matter of
administrative discretion, the direct costs of providing the service
will be charged. Examples of such services include certifying that
records are true copies, providing multiple copies of the same
document, or sending records by means other than first class mail.
(2) For requests that require the retrieval of records stored by
the NRC at a Federal records center operated by the National Archives
and Records Administration (NARA), the NRC will charge additional costs
in accordance with the Transactional Billing Rate Schedule established
by NARA.
(i) Charging interest. (1) The NRC will charge interest on any
unpaid bill starting on the 31st day following the date the billing was
sent to the requester in accordance with the NRC's regulations set out
in Sec. 15.37 of this chapter. Interest charges will be assessed at
the rate provided in 31 U.S.C. 3717 and will accrue from the billing
date until payment is received by the agency.
(2) The NRC will use its debt collection procedures that are in
part 15 of this chapter for any overdue fees.
(j) Form of payment. Payment may be tendered as set forth on
https://www.nrc.gov/reading-rm/foia/foia-privacy.html.
(k) Aggregating requests. When the NRC reasonably believes that a
requester or a group of requesters is attempting to divide a single
request into a series of requests for the purpose of avoiding fees, the
NRC may aggregate those requests and charge accordingly. The NRC may
presume that multiple
[[Page 10954]]
requests of this type made within a 45-day period have been made to
avoid fees. For requests separated by a longer period, the NRC will
aggregate them only where there is a reasonable basis for determining
that aggregation is warranted in view of all the circumstances
involved. Multiple requests involving unrelated matters will not be
aggregated.
Sec. 9.38 Preservation of records.
The NRC will preserve all correspondence pertaining to the requests
that it receives under this subpart, as well as copies of all requested
records, until disposition or destruction is authorized pursuant to
title 44 of the United States Code or the General Records Schedule 4.2
of the National Archives and Records Administration. Records described
in this section will not be disposed of or destroyed while they are the
subject of a pending request, appeal, or lawsuit under the FOIA.
Sec. 9.39 Annual report to the Attorney General of the United States
and Director of the Office of Government Information Services.
(a) On or before February 1 of each year, the NRC will submit a
report covering the preceding fiscal year to the Attorney General of
the United States and to the Director of the Office of Government
Information Services that will include the information required by 5
U.S.C. 552(e)(1).
(b) The NRC will make its annual FOIA reports available to the
public at the NRC website, https://www.nrc.gov.
Sec. 9.41 Other rights and services.
Nothing in this subpart will be construed to entitle any person, as
of right, to any service or to the disclosure of any record to which
such person is not entitled under the FOIA.
Dated: March 4, 2026.
For the Nuclear Regulatory Commission.
Carrie Safford,
Secretary of the Commission.
[FR Doc. 2026-04475 Filed 3-5-26; 8:45 am]
BILLING CODE 7590-01-P