TN: DT-09-01

To: All NRC Employees

Subject: Transmittal of Management Directive 3.4, “Release of

Information to the Public”

Purpose: Directive and Handbook 3.4 are being revised to reflect

guidance on the timing of release of documents to the

public, to add consolidated guidance on the withdrawal of

documents from the Agencywide Documents Access and

Management System (ADAMS) Public Library, and to

reflect the agency’s revised policy on protection and

disclosure of information.

No change bars have been used because of the extent of

the revision.

Office and 

Division of Origin: Office of Information Services

Information and Records Services Division

Contact: Thomas E. Smith, 301-415-7043

Date Approved: December 1, 1999 (Revised: February 6, 2009)

Volume: 3 Information Management

Part: 1 Publications, Mail, and Information Disclosure

Directive: 3.4 Release of Information to the Public

U.S. NUCLEAR REGULATORY COMMISSION

DIRECTIVE TRANSMITTAL

OFFICE OF ADMINISTRATION
- 2 -

Availability: Rulemaking, Directives, and Editing Branch

Office of Administration

Michael T. Lesar, 301-492-3663

Christy Moore, 301-492-3675
Release of Information

to the Public

Directive

3.4
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 iii

(Revised: February 6, 2009)

Contents

Policy ....................................................... 1

Objectives ................................................... 1

Organizational Responsibilities and Delegations of

Authority .................................................. 3

Chairman . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Deputy Executive Director for Information Services and Chief Information

Officer (DEDIS/CIO) .......................................... 4

Director, Computer Security Office (CSO) and Chief Information Security

Officer (CISO) .............................................. 4

Director, Office of Information Services (OIS) ......................... 5

Secretary of the Commission, Office of the Secretary of the Commission

(SECY) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

General Counsel (GC), Office of the General Counsel (OGC) ............ 7

Inspector General (IG) ........................................... 7

Director, Office of Enforcement (OE) ................................ 8

Director, Office of Investigations (OI) ............................... 8

Director, Office of Nuclear Security and Incident Response (NSIR) ........ 9

Director, Office of Federal and State Materials and Environmental

Management Programs (FSME) ................................ 9

Director, Office of Public Affairs (OPA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Office Directors and Regional Administrators . . . . . . . . . . . . . . . . . . . . . . . . . 10

Inspectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Agency Allegation Advisor, Assistant Agency Allegation Advisor,

and Allegation Coordinators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

NRC Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Guidance Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Approved: December 1, 1999 1

(Revised: February 6, 2009)

U. S. Nuclear Regulatory Commission

Volume: 3 Information Management

Part: 1 Publications, Mail, and Information

Disclosure

OIS

Release of Information to the Public

Directive 3.4

Policy

(3.4-01)

The U.S. Nuclear Regulatory Commission makes as much

information as possible available to the public relating to its health

and safety mission, in accordance with its legal responsibilities to

protect specific types of information. It is the intent of NRC to

routinely make information publicly available that is anticipated to

be of interest to the public to make it unnecessary for persons to

file a request for the information under the Freedom of Information

Act (FOIA). Also, this directive requires review of Commission

Decision Documents (SECY papers [SECYs], Commission

memoranda [COMs], and staff requirements memoranda [SRMs])

for mandatory release under the FOIA, 5 U.S.C. 552(a)(1) and

(a)(2). (011)

This directive and handbook do not govern public disclosure of

information requested under the FOIA, or information subject to

disclosure under the Privacy Act, the Government in the Sunshine

Act, the Federal Advisory Committee Act, or NRC management

directives (MDs) that govern the release of other types of

documents and information. (012) 

Objectives

(3.4-02)

• To provide the NRC staff with general policy guidance on the

release of agency information to the public, including draft and

predecisional documents and information. (021)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

2 Approved: December 1, 1999

(Revised: February 6, 2009)

Objectives

(3.4-02) (continued)

• To ensure that documents will not be provided to a licensee or

a member of the public unless they can be made available

generally through the Agencywide Documents Access and

Management System (ADAMS) Publicly Available Records

System (PARS) (referred to as the ADAMS Public Library in

this directive and handbook), to all persons, except under the

conditions described in Part II, Sections (A) and (B), of

Handbook 3.4. (022)

• To ensure that staff documents are developed and issued

without improper influence, real or perceived, by special

interest groups, applicants, licensees, permittees, or their

subcontractors or agents (hereafter referred to as

“licensees”). (023)

• To ensure that sufficient flexibility is provided to office directors

and regional administrators so that they and their staffs will be

able to disseminate appropriate Safeguards Information and

Sensitive Unclassified Non-Safeguards Information (SUNSI) to

licensees. (024)

• To provide guidance to the NRC staff about the types of

documents that should be released to the public through the

ADAMS Public Library. A SUNSI review is performed before

public release of a document through the ADAMS Public

Library to determine if the document contains information the

loss, misuse, modification, or unauthorized access of which

could reasonably be foreseen to harm the public interest, the

commercial or financial interest of the entity or individual to

whom the information pertains, the conduct of NRC and

Federal programs, or the personal privacy of individuals. (025)

Additional guidance from the Fuel Cycle Safety and Safeguards

Division, Office of Nuclear Material Safety and Safeguards

(NMSS/FCSS), on the release of information pertaining to

domestic fuel cycle facilities regulated by NRC can be found in

ADAMS (ML072840477).
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 3

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03)

Chairman

(031)

May request the Inspector General to conduct reviews of the

agency’s information disclosure policies and practices, the results

of which may be released to the public at the Chairman's

discretion.

Commission

(032)

• Approves the release of documents created by, communicated

to, or received from the Commissioners and their staffs. Note:

OGC makes decisions on documents generated by former

Commissioners. (a)

• Approves new requests to remove a particular document type

or class of information that has formerly been made public and

directs such documents be withdrawn from ADAMS or the

Public Document Room (PDR) when such requests raise policy

issues. (b)

Executive Director for

Operations (EDO)

(033)

• Approves the release of any draft inspection report or

enforcement document to any organization or person outside

of the NRC. (a)

• Approves the release of Agency Action Review Meeting

(AARM) information. (b)

• Approves new requests to remove a particular document type

or class of information that has formerly been made public and
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

4 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Executive Director for

Operations (EDO)

(033) (continued)

directs such documents be withdrawn from ADAMS or the PDR

if that action does not raise policy issues. (c)

Deputy Executive Director for

Information Services and Chief

Information Officer (DEDIS/CIO)

(034)

Provides oversight and policy direction for releasing information to

the public.

Director, Computer Security Office (CSO)

and Chief Information Security Officer (CISO)

(035)

Directs, administers, and oversees NRC’s Computer Security

Program.

• Develops information technology security policy. (a)

• Oversees NRC information systems to ensure an appropriate

level of security is implemented. (b)

• Reviews and approves information system sensitivity levels. (c)

• Serves as the focal point for the NRC for receiving, resolving,

tracking, monitoring, and reporting of computer security

incidents. (d)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 5

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Director, Computer Security Office (CSO)

and Chief Information Security Officer (CISO)

(035) (continued)

• Authorizes removal of documents from ADAMS resulting from

a computer security incident. (e)

Director, Office of Information

Services (OIS)

(036)

• Develops NRC policy relating to release of information to the

public. (a)

• Provides policy guidance to other offices on the release of

information to the public. (b)

• Develops policies and procedures for placing documents into

ADAMS and provides oversight of ADAMS operations. (c)

• Develops policies and procedures for providing members of the

public access to NRC's publicly available records through the

ADAMS Public Library and through the NRC public Web site.

(d)

• Ensures that public records are available in the ADAMS Public

Library and that pre-ADAMS legacy public records are

available through the PDR. (e)

• Maintains the FOIA Web page identifying and providing agency

documents subject to the mandatory disclosure provisions of

the FOIA, 5 U.S.C. 552(a)(1) and (a)(2). (f)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

6 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Director, Office of Information

Services (OIS)

(036) (continued)

• When documents are inadvertently released in the ADAMS

Public Library or the PDR, ensures that the agency policy is

implemented regarding withdrawal of the documents. (g)

• Directs, administers, and oversees NRC's development and

implementation of NRC policy and procedures on SUNSI. (h)

• Provides guidance on the actions that should be taken to

withdraw a document that is inadvertently released to the

public when the document contains SUNSI (e.g., proprietary

information, Personally Identifiable Information [PII]). (i)

• Maintains the “Guidance for Determining the Public Availability

of NRC Documents” and updates it consistent with office

requests. (j)

• Conducts annual assessments of the accuracy with which NRC

staff are applying the agency’s criteria for designating records

as public or non-public. (k)

Secretary of the Commission, Office of

the Secretary of the Commission (SECY)

(037)

• Identifies Commission Decision Documents (SECYs, COMs,

and SRMs) subject to mandatory release under the FOIA,

5 U.S.C. 552(a)(1) and (a)(2), and determines whether any

portions should be redacted before public release because

they fall within the scope of an FOIA exemption. (a)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 7

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Secretary of the Commission, Office of

the Secretary of the Commission (SECY)

(037) (continued)

• Identifies and provides documents generated by former

Commissioners to the Office of the General Counsel for

release determination. (b)

General Counsel (GC), Office of the

General Counsel (OGC)

(038)

• Provides legal advice as needed to SECY and OIS regarding

whether a document must be released to the public, or other

persons or organizations, and how to handle such releases. (a)

• Approves release of documents generated by former

Commissioners. (b)

Inspector General (IG)

(039)

• Approves the release of IG investigative records to any

organization or person outside of the NRC. (a)

• Approves the placement of Investigative Event Inquiries to be

released to the public on the OIG page of the NRC public Web

site. (b)

• Ensures all draft audit and special evaluation reports are

stamped “Draft - Official Use Only - Sensitive Information” and

maintained in the official files. (c)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

8 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Inspector General (IG)

(039) (continued)

• Approves the placement of the final audit and special

evaluation reports in ADAMS and the release of these reports

to the public through the ADAMS Public Library. (d)

Director, Office of Enforcement (OE)

(0310)

• Approves the release of enforcement information in appropriate

circumstances, including settlements and other agreements.

(a)

• Approves the release of the Office of Investigations (OI) reports

to licensees or interested parties in advance of enforcement

action after consultation with the Director of OI and, as

warranted, with the Department of Justice. (b)

Director, Office of Investigations (OI)

(0311)

• Approves the release of OI investigative records to any

organization or person outside of the NRC. (a)

• Approves the release of redacted copies of OI investigative

records to the public through the ADAMS Public Library. (b)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 9

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Director, Office of Nuclear Security and

Incident Response (NSIR)

(0312)

• Plans, develops, establishes, and administers policies,

standards, and procedures for the NRC Classified Information

Security Program and the NRC Safeguards Information

Security Program. (a)

• Advises and assists authorized classifiers with classifying,

declassifying, and downgrading NRC-originated classified

or potentially classifiable information requested under the

FOIA. (b)

• Provides guidance on the actions that should be taken to

withdraw a document that is inadvertently released to the

public when the document contains classified information,

Safeguards Information, or proprietary information. (c)

Director, Office of Federal and State

Materials and Environmental

Management Programs (FSME)

(0313)

Approves, in coordination with the Office of the General Counsel

(OGC), and as appropriate, the EDO, the IG, Directors of OE or

OI, or the Agency Allegation Advisor, the release to Agreement

States of documents that are not publicly available.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

10 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Director, Office of Public Affairs (OPA)

(0314)

• Distributes electronically via NRC’s public Web site NRC press

releases, speeches, fact sheets, statements for the record,

brochures, and videos to the public and the media. (a)

• Ensures that if a video news release is developed by the

agency, it is clearly identified as an NRC product and is

reviewed and approved by the Office of Public Affairs, in

consultation with the Office of the General Counsel, before it is

issued. (b)

Office Directors and

Regional Administrators

(0315)

• Implement the policies and procedures in this directive and

handbook for the release of information to the public. (a)

• Provide additional guidance or procedures specific to the

requirements of their offices or regions, as necessary. (b)

• Protect draft and predecisional information from being

inadvertently released. (c)

• Grant permission for the release of draft or predecisional

information, as appropriate, and maintain a written record

of the release, except that certain information generated during

the development of an inspection or enforcement document

should not be released. Note that draft or predecisional

information related to inspection findings or potential

enforcement actions should not be released. (d)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 11

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Office Directors and

Regional Administrators

(0315) (continued)

• Ensure the prompt and appropriate dissemination of safety

information and Safeguards Information to licensees when

required to resolve a significant safety or safeguards issue, or

an emergency. These responsibilities may be redelegated to

the deputy office director or the deputy regional administrator.

(e)

• Take corrective action in the event that any information for

which they are responsible is released contrary to NRC policy

and inform the EDO in writing of this action. (f)

• Refer matters involving the unauthorized release of documents

to the Office of the Executive Director for Operations and the

Office of the Inspector General (OIG). See Section 0318(f). (g)

• Ensure that the “Guidance for Determining the Public Availability

of NRC Records” is routinely reviewed and OIS is requested to

make changes when new document types are created or

received by the office or the public availability of existing

document types needs to be modified. (h)

• Refer matters involving the unauthorized release of information

that involves information technology to CSO. (i)

Inspectors

(0316)

• Where approved by regional management, may, in preparing

for exit interviews or enforcement meetings, provide a listing of

significant issues developed in the course of an inspection to
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

12 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

Inspectors

(0316) (continued)

the licensee in order to facilitate the communication of

inspection findings that require corrective actions. (a)

• Note: Inspection notes, draft reports, draft evaluations, draft

notices of violations or noncompliance, and other material

containing preliminary inspection conclusions, findings, and

recommendations are not to be provided to the licensee,

except as required by safety, environmental, or security

concerns. (b)

• Attach a copy of the information provided to the licensee to the

inspection report for the record. (c)

Agency Allegation Advisor, Assistant Agency 

Allegation Advisor, and Allegation Coordinators

(0317)

Approve the release of allegation information to an organization or

person outside of the NRC.

NRC Employees

(0318)

All NRC employees and consultants must, as applicable—

• Protect all draft and predecisional documents, including draft

inspection and enforcement documents, from inadvertent

release. (a)

• Ensure that appropriate Document Availability and Document

Sensitivity is assigned to each document submitted for ADAMS
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 13

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

NRC Employees

(0318) (continued)

processing and that documents intended for release to the

public are properly marked (include “Date to be Released” and

“SUNSI Review Complete” annotation). This instruction applies

to internally generated documents that staff add to ADAMS and

submit to the Document Processing Center (DPC) for

completion as well as paper versions under the NRC Form 665

submitted to the Document Control Desk for entry into ADAMS

by DPC. (b)

• Ensure that the rationale for each public or non-public

designation is documented as described in Handbook 3.4,

Part IV. (c)

• Obtain permission from the appropriate supervisor when

questions arise concerning releasability of information before

the information is released. (d)

• Contact the regional or program office allegation coordinator or

the Agency Allegation Advisor before release of documents or

submittal to ADAMS if it appears the documents contain

allegations. (e)

• Report promptly the unauthorized disclosure of agency

information. This report may be transmitted through the

supervisor to the office director or the regional administrator,

who shall refer the unauthorized disclosure to the EDO and

OIG, or it may be sent directly to OIG. (f)

• Report promptly the unauthorized disclosure of agency

information that involves information technology, for example,

facsimile, printers, computers, to CSO. (g)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

14 Approved: December 1, 1999

(Revised: February 6, 2009)

Organizational Responsibilities and

Delegations of Authority

(3.4-03) (continued)

NRC Employees

(0318) (continued)

• Contact the Director of OI for guidance before authorizing the

release of any OI investigative materials or reports. (h)

Applicability

(3.4-04)

This directive and handbook apply to all NRC employees,

contractors, and consultants.

Handbook

(3.4-05)

Handbook 3.4 explains NRC policy governing the public availability

of information in its possession.

Guidance Document

(3.4-06)

“Guidance for Determining the Public Availability of NRC Records”

assists staff in making decisions about the public or non-public

status of documents. To aid staff in determining which documents

should routinely be made public, “NRC Documents Routinely

Released to the Public” (formerly Exhibit 1) has been separated

from MD 3.4 and can be found on the NRC internal Web site at

http://www.internal.nrc.gov/information-resources.html as

“Guidance for Determining the Public Availability of NRC Records.”

This document is designed to be frequently updated. This updating

is the responsibility of all offices and regions.
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

Approved: December 1, 1999 15

(Revised: February 6, 2009)

References

(3.4-07)

Code of Federal Regulations

10 CFR 2.390, “Public Inspections, Exemptions, Requests for

Withholding.”

10 CFR Part 9, “Public Records.”

Executive Orders

Executive Order 12958, as amended, “Classified National

Security Information,” March 28, 2003.

Nuclear Regulatory Commission Documents

Guidance for Determining the Public Availability of NRC

Records.

How To Respond to an Initial FOIA Request (ML060590485).

Internal Commission Procedures.

NRC Personally Identifiable Information Breach Notification

Policy (ML072140170).

Management Directives

3.1, “Freedom of Information Act.”

3.2, “Privacy Act.”

7.4, “Reporting Suspected Wrongdoing and Processing

OIG Referrals.”

8.8, “Management of Allegations.”

8.14, “Agency Action Review Meeting.”
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Directive 3.4

16 Approved: December 1, 1999

(Revised: February 6, 2009)

References

(3.4-07) (continued)

12.2, “NRC Classified Information Security Program.”

12.5, “NRC Automated Information Security Program.”

12.6, “NRC Sensitive Unclassified Information Security

Program.”

12.7, “NRC Safeguards Information Security Program.”

NUREG

NUREG/BR-0273, "ADAMS Desk Reference Guide."

United States Code

Atomic Energy Act of 1954, as amended, Sections 141 to 148

(42 U.S.C. 2161-2168).

Federal Advisory Committee Act, as amended (5 U.S.C. App. I).

Freedom of Information Act, as amended (5 U.S.C. 552).

Government in the Sunshine Act, as amended (5 U.S.C. 552b).

Inspector General Act, as amended (5 U.S.C. App. 3).

Privacy Act of 1974, as amended (5 U.S.C. 552a).
Release of Information

to the Public

Handbook

3.4
Volume 3, Part 1, - Publications, Mail, and Information Disclosure

Release of Information to the Public

Handbook 3.4 Parts I - V

Approved: December 1, 1999 iii

(Revised: February 6, 2009)

Contents

Part I

Introduction ................................................... 1

Part II

Release of Draft and Predecisional Documents and Information .. 3

Release of For-Comment Documents to the Public (A) . . . . . . . . . . . . . . . . . . 3

Information Not Requiring Approval Before Release (B) ................. 3

Necessary Communications (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Draft Research Documents (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Draft NRC Documents to Other Federal Agencies (3) ................ 4

Information Requiring Approval Before Release (C) .................... 5

Predecisional Documents (1) ................................... 5

Emergency Release of Information (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Final Release of Information (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Retention of Predecisional Information (4) ......................... 6

Destruction of Predecisional Information (5) ....................... 7

Draft Agreement State Documents (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Release of Commission Information (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Release of Reports From the Office of the Inspector General (OIG) (8) . . 8

Release of Reports From the Office of Investigations (OI) (9) .......... 9

Release of Enforcement Documents (10) . . . . . . . . . . . . . . . . . . . . . . . . . 9

Release of Agency Action Review Meeting Information (11) . . . . . . . . . . . 9

Release of Allegation Information (12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Release of Video News (13) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Part III

Information Received From Outside Entities and Persons . . . . . . . . 12

Receipt of Records (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Notification of Supervisor (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Release of the Record to the ADAMS Public Library (C) . . . . . . . . . . . . . . . . 13

Release of the Response to the ADAMS Public Library (D) . . . . . . . . . . . . . . 13
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Handbook 3.4 Parts I - V

iv Approved: December 1, 1999

(Revised: February 6, 2009)

Contents (continued)

Part IV

Policy on Timing the Release of Documents to the Public . . . . . . . . 14

Introduction (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

General Release Policy (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Determining the Release Date (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Newly Received Documents From External Parties (2) . . . . . . . . . . . . . . . 15

Documents Produced by the Staff Addressed to External Parties (3) . . . . 15

Documents Produced by the Staff Addressed to Internal Addressees

or Documents With No Specific Addressee (4) . . . . . . . . . . . . . . . . . . . 15

General Instructions for Making NRC-Generated Documents

Publicly Available (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Exceptions to the General Release Policy (6) . . . . . . . . . . . . . . . . . . . . . . 17

Making Externally Generated Documents Publicly Available in

ADAMS (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Relationship of This Policy to the Release of Information Through

NRC's Public Web Site (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Documenting the Rationale for Non-Public Designations (9) . . . . . . . . . . . 24

Part V

Withdrawal of Documents From the ADAMS Public Library

and/or the NRC Public Document Room . . . . . . . . . . . . . . . . . . . . . . . . . 26

Procedures for Withdrawing Documents From the ADAMS Public

Library or the Public Document Room (A) . . . . . . . . . . . . . . . . . . . . . . . . . 26

Documents Inadvertently Released to the Public (B) . . . . . . . . . . . . . . . . . . . 26

Documents Withdrawn From the Public Domain by Agency Policy (C) . . . . . . 28

Personally Identifiable Information in Submittals by External Entities

and Persons (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

The NRC has prepared additional guidance for staff on releasing information to the

public. Please go to the following url to view the following documents or refer to ADAMS

for the individual documents: http://www.internal.nrc.gov/information-resources.html.

“Guidance for Determining the Public Availability of NRC Records”

“NRC Information Not Routinely Released to the Public”

“NRC Policy and Guidance Regarding Sensitive Information”
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Handbook 3.4 Part I

Approved: December 1, 1999 1

(Revised: February 6, 2009)

Part I

Introduction

This handbook elaborates on policy in the directive governing the

public availability of information in NRC's possession. The NRC

staff routinely will make available to the public the types of

information listed in a separate document entitled “Guidance for

Determining the Public Availability of NRC Records,” which can be

found in ADAMS or on the NRC internal Web site at

http://www.internal.nrc.gov/information-resources.html, unless the

information is exempt from disclosure by statute, Executive Order,

or regulation, or not disclosed to the public pursuant to agency

policy. (A)

During the course of their duties, NRC employees deal with many

forms of sensitive information that either should not be released to

members of the public or should not be released prematurely. This

information includes more than just information that is categorized

as “Restricted Data” or “National Security Information” and that

carries formal classifications such as “Top Secret,” “Secret,” or

“Confidential,” as defined in the Glossary to Volume 12, “Security,”

of the NRC Management Directives System. It also includes

Safeguards Information (SGI) and Sensitive Unclassified NonSafeguards Information (SUNSI). SUNSI includes allegation

information, investigative information, security-related information,

proprietary information, Privacy Act/personally identifiable

information (PII), and Federal, State, foreign government, and

international agency controlled information. SUNSI also includes

sensitive internal information, such as attorney-client privilege,

attorney work product, predecisional enforcement information or

adjudicatory information, intra-agency communications with other

Government agencies, and drafts, particularly draft inspection

reports and draft audit reports. While documents containing such

information may eventually be approved for release by the

appropriate authority, some of this information may never be

approved for release outside of the NRC. (B)
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Release of Information to the Public

Handbook 3.4 Part I

2 Approved: December 1, 1999

(Revised: February 6, 2009)

Premature or unauthorized release of this information could

jeopardize NRC agency actions and actions of other Federal

agencies such as the Department of Justice. It could also

adversely affect national security, lead to diminished respect for

this agency, and cause a loss of agency credibility with the public

and with other Federal agencies. In some cases, release could

invade an individual's privacy or compromise a confidential

agreement. All of these outcomes diminish the NRC's ability to

perform its regulatory function: to protect public health and safety,

the common defense and security, and the environment. (C)

The “Guidance for Determining the Public Availability of NRC

Records” also contains a list of NRC guidance and policy

documents related to sensitive information. (D)

Staff guidance for screening documents for information that could

be useful to a terrorist is located at http://www.internal.

nrc.gov/NRC/Guidance/. This SUNSI review is a security/

sensitivity review to determine whether a document should be

released to the public. Detailed SUNSI guidance is located at

http://www.internal.nrc.gov/sunsi/, and the staff is to certify by

entering the text “SUNSI Review Complete” in the Agencywide

Documents Access and Management System (ADAMS) Keyword

field that the review has been made when it submits a document

to the Document Processing Center for public release through the

ADAMS Public Library. (E)
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Release of Information to the Public

Handbook 3.4 Part II

Approved: December 1, 1999 3

(Revised: February 6, 2009)

Part II

Release of Draft and Predecisional

Documents and Information

Release of For-Comment Documents to the Public (A)

This part does not apply to documents specifically disseminated

to the public for comment, such as draft environmental impact

statements, draft regulatory guides, and proposed rules.

Information Not Requiring Approval

Before Release (B)

Necessary Communications (1)

The policies contained in this directive and handbook are not

intended to impede necessary communications between the NRC

staff and licensees, vendors, or other industry representatives,

organizations, or persons outside of NRC in the normal course of

agency business. These business activities include the

development of initial NRC staff regulatory or technical findings,

preparation of generic communications, evaluation of events at

facilities, draft inspection findings, and the collection, analysis, and

verification of information. Accordingly, this type of information

need not receive prior approval before release. (a)

In the event that there is an emergency, or if a significant safety,

environmental, or safeguards issue appears to require immediate

action, NRC personnel, at their discretion, may discuss with, show

to, or provide the licensee involved any pertinent material they

believe circumstances so warrant. (b)

The NRC employee approving release of any written

communication to licensees or the public shall, in the event of an

emergency, send it to the Document Processing Center (DPC)
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Release of Information to the Public

Handbook 3.4 Part II 

4 Approved: December 1, 1999

(Revised: February 6, 2009)

Information Not Requiring Approval

Before Release (B) (continued)

Necessary Communications (1) (continued)

with a clear indication that it is to be released to the ADAMS Public

Library. Note: These communications must not be released to the

public if they contain information described as exempt from public

disclosure in the companion guidance to this handbook found on

http://www.internal.nrc.gov/information-resources.html. The

employee shall transmit the material to ADAMS in accordance with

Part IV, Section (B), of this handbook. (c)

Draft Research Documents (2)

Draft research reports, studies, data, or other documentation

based on information obtained from an outside party that may be

discussed or exchanged with those parties and other participants

in a study or research program are not subject to dissemination

restrictions contained in this directive and handbook. However,

proprietary information may not be released to the public without

the express permission of the owner of the information.

Draft NRC Documents to Other Federal Agencies (3)

Draft NRC documents, except for draft inspection and enforcement

documents, sent to other Federal agencies seeking their advice,

recommendations, and opinions, or providing advance notice to

such agencies, may be discussed with and disclosed to those

agencies before being made available to the general public. This

exemption does not apply when the other Federal agency is or

may become an NRC licensee, or when the other agency is

seeking certification, a permit, or concurrence from NRC.
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Handbook 3.4 Part II

Approved: December 1, 1999 5

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C)

Predecisional Documents (1)

In the normal course of conducting regulatory activities,

communications with outside parties are at times necessary

regarding initial NRC staff positions, license conditions,

confirmation of action letters, inspection findings, enforcement

actions, preparation of bulletins and information notices, events at

other facilities, and so forth. These communications can occur in

advance of the issuance of final NRC documents regarding these

activities for the purpose of— (a)

• Gaining factual information (i)

• Assessing the cost, feasibility, and benefit of, or alternatives to,

proposed actions or achieving settlements of actions (ii)

• Alerting licensees to initial staff positions or safety findings in

order that corrective actions can be initiated promptly (iii)

However, these draft documents, or information contained in these

documents, must not be discussed with, given to, or shown to any

licensee or the public by NRC without prior approval as specified

in Section (3.4-03), "Organizational Responsibilities and

Delegations of Authority," of Directive 3.4. (b)

Emergency Release of Information (2)

Under no circumstances should any information contained in draft

investigation or inspection reports be released to licensees, their

agents, or to any source external to the NRC without prior

approval as specified in Section (3.4-03) of Directive 3.4.
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Handbook 3.4 Part II 

6 Approved: December 1, 1999

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Final Release of Information (3)

Final documents, unless exempt from disclosure by statute,

Executive Order, regulation, or not disclosed to the public pursuant

to agency policy, other than reports of investigation from the Office

of Investigations, will be distributed to ensure that the public,

licensees, NRC contractors, and other Government agencies have

access to information they need to fulfill their responsibilities. Final

documents provided to licensees will be released to the public

through the ADAMS Public Library through the DPC.

Retention of Predecisional Information (4)

Documents must be retained under the following conditions: (a)

• If retention is necessary to adequately and properly document

agency action, then working files, such as preliminary drafts

and rough notes, and other similar materials shall be

maintained if both the following conditions are met: (i)

– They were circulated or made available to employees, other

than the creator, for such official purposes as approval,

comment, action, recommendation, followup, or to

communicate with agency staff about agency business. (a)

– They contain information, such as substantive annotations

or comments included therein, that adds to a proper

understanding of the agency's formulation and execution of

basic policies, decisions, actions, or responsibilities. (b)

• A Freedom of Information Act (FOIA) request for these

documents has been received for which copies have been

provided to the FOIA office. (ii)
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Handbook 3.4 Part II

Approved: December 1, 1999 7

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Retention of Predecisional Information (4) (continued)

• The documents are to be included in the regulatory history of

a proposed or final rulemaking submitted to the Office of the

Federal Register for publication. (iii)

• The originator's management has instructed that the

documents be retained for future agency use. (iv)

Individuals may retain personal file copies of documents that

would be useful in the review of the employee's work by superiors

for the time necessary or as needed after the work has been

completed and issued to the public. (b)

Destruction of Predecisional Information (5)

In the interest of sound records management policy, draft

documents, background material, notes, and extra copies of

office-file documents should be destroyed after the final version

has been issued unless it should be retained under Section (5)

below. For additional guidance, see Management Directive

(MD) 3.53.

Draft Agreement State Documents (6)

Programmatic predecisional documents, including draft rulemaking

plans; drafts of proposed rules, final rules and policies; and draft

internal procedures, generic letters, and information notices may

be routinely distributed to all Agreement States for their

information, review, and comment, with prior approvals as

specified in Section (3.4-03) of Directive 3.4. (a) 

Other more sensitive NRC predecisional documents, such as

proposed enforcement actions, draft orders or demands for

information, and draft confirmatory action letters or information

dealing with allegations and investigations, will be shared with
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Handbook 3.4 Part II 

8 Approved: December 1, 1999

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Draft Agreement State Documents (6) (continued)

Agreement States on a need-to-know basis only if those States

have agreed to protect this information from public disclosure and

have prior approvals as specified in Section (3.4-03) of Directive

3.4. (b)

Release of Commission Information (7)

Documents created by, communicated to, or received from the

Commissioners and their staffs must receive prior approval from

the Commissioners before their release. For an FOIA request for

the records of a former Commissioner, OGC makes the

determination whether the documents should be disclosed.

Commission Decision Documents must be screened for

compliance with the FOIA, 5 U.S.C. 552 (a)(1) and (a)(2), so that

qualifying documents are properly identified for mandatory

release. (a)

These documents will be released to the public through the

ADAMS Public Library and placed on the NRC’s external Web site

only by SECY in accordance with guidelines contained in the

Internal Commission Procedures. (b)

Release of Reports From the Office of the Inspector General

(OIG) (8)

Draft audit reports are considered predecisional and should not be

released to the public and will not be placed in ADAMS or released

to the public through the ADAMS Public Library. Drafts are to be

maintained in office files with restricted access or in the Central

Files vault because this area has restricted access. (a)

Final audit reports and special evaluation reports will be placed in

ADAMS and released to the public through the ADAMS Public
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Handbook 3.4 Part II

Approved: December 1, 1999 9

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Release of Reports From the Office of the Inspector General

(OIG) (8) (continued)

Library only at the request of OIG. These reports will not be placed

in Central Files. (b)

Regulatory commentary is provided to program offices without

restrictions. (c)

Release of Reports From the Office of Investigations (OI) (9)

Draft investigative reports are considered predecisional and should

not be released to the public and will not be placed in ADAMS or

released to the public through the ADAMS Public Library. (a)

Final investigative reports will not be placed in ADAMS or released

to the public through the ADAMS Public Library without approval

by the Director of OI. (b)

Release of Enforcement Documents (10)

Draft enforcement documents are considered predecisional and

should not be released to the public and will not be placed in

ADAMS or released to the public through the ADAMS Public

Library. (a)

Draft confirmatory orders exchanged with licensees in negotiating

issuance of confirmatory orders will not be placed in ADAMS or

released to the public through the ADAMS Public Library. (b)

Release of Agency Action Review Meeting Information (11)

The Office of the Executive Director for Operations (OEDO)

approves the release of records pertaining to the NRC Agency

Action Review Meeting (AARM) process, which is described in
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Release of Information to the Public

Handbook 3.4 Part II 

10 Approved: December 1, 1999

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Release of Agency Action Review Meeting Information (11)

(continued)

MD 8.14, “Agency Action Review Meeting.” These records include

AARM-related plant performance information, the applicable

sections of the AARM background material, and the minutes of the

AARM. When a request, except an FOIA request, is received for

AARM information, OEDO shall be notified upon collection of the

applicable records by the responsible offices, and records shall be

forwarded to OEDO for release authorization. When AARM

information is sought under the FOIA, see MD 3.1, “Freedom of

Information Act,” for guidance. (a)

The following guidelines apply for AARM information: (b)

• Records pertaining to a plant that was discussed during the

AARM may be released upon screening and redaction of

proprietary material, personal privacy material, and material

that might compromise investigative efforts or reveal the

identity of an alleger. (i)

• Records pertaining to plants for which the NRC's intended

actions following the AARM are different from those conveyed

previously may be released after screening and redaction of

proprietary material, personal privacy material, and material

that might compromise investigative efforts or reveal the

identity of an alleger. (ii)

• Records pertaining to a plant that was not designated “an

AARM discussion plant” and that did not have intended actions

following the AARM different from those conveyed previously,

absent an FOIA request, shall normally not be released to

the public. (iii)
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Handbook 3.4 Part II

Approved: December 1, 1999 11

(Revised: February 6, 2009)

Information Requiring Approval

Before Release (C) (continued)

Release of Allegation Information (12)

Allegation information should not be released to the public and will

not be released to the ADAMS Public Library without the approval

of the regional or program office Allegation Coordinator, the

Agency Allegation Advisor, or the Assistant Agency Allegation

Advisor. When allegation information is sought under the FOIA,

see MD 3.1, “Freedom of Information Act,” for guidance. MD 8.8,

“Management of Allegations,” also should be consulted for

guidance on handling allegation information.

Release of Video News (13)

It is the policy of NRC that if a video news release is developed by

the agency, it is clearly identified as an NRC product and is

reviewed and approved by the Office of Public Affairs, in

consultation with the Office of the General Counsel, before it is

issued. See MD 5.5, “Public Affairs Program,” for policy and

objectives on video news releases.
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Handbook 3.4 Part III

12 Approved: December 1, 1999

(Revised: February 6, 2009)

Part III

Information Received From Outside 

Entities and Persons

Receipt of Records (A)

Management will be involved in reviewing and deciding

appropriate action to take when NRC employees receive

documents from outside the NRC. (1)

This part does not pertain to records obtained through the

investigative process of the Office of Investigations or the

Allegation Management Program. (2)

Periodically, NRC staff members receive records from representatives of industry or from industry organizations with the express

or apparent intent of receiving preliminary NRC staff views or

preliminary staff evaluations of the acceptability of the documents

before their official submission to NRC or before industry takes an

official action regarding an NRC-regulated activity. These records

are not submitted as part of an established regulatory process,

such as a licensing proceeding, rulemaking, or development of

generic procedures or regulatory guides. These records may be

sent to the agency as correspondence or handed to the staff at

meetings or conferences. (3)

Any staff member receiving such a document must inform the

individual or industry organization providing the record that it will

be released to the public through the ADAMS Public Library. If the

information appears to contain proprietary or other sensitive

information, the industry organization or individual should be asked

to submit the document by letter to agency management under the

provisions of 10 CFR 2.390, including appropriate markings and an

affidavit providing justification for protection from public disclosure.

The submitter of the proprietary information also should provide

a nonproprietary version with brackets showing
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Handbook 3.4 Part III

Approved: December 1, 1999 13

(Revised: February 6, 2009)

Receipt of Records (A) (continued)

where the proprietary information has been deleted. The

document is to be processed under the provisions of 10 CFR

2.390. (4)

Notification of Supervisor (B)

The staff member receiving such a record shall promptly notify his

or her supervisor that the record has been received and shall

coordinate with the supervisor the agency action appropriate to the

record.

Release of the Record to

the ADAMS Public Library (C)

Records received by the staff from industry under this part will be

released to the public through the ADAMS Public Library before

any staff action on the documents subject to the standards set

forth in 10 CFR 2.390. Any record to be released to the public

through the ADAMS Public Library must be transmitted to the

Document Processing Center (DPC), as set forth in Part IV,

Section (B)(5), “General Instructions for Making NRC-Generated

Documents Publicly Available.” The records also would constitute

agency records covered by 10 CFR Part 9 and may be made

available to the public in response to a request unless exempted

by the Freedom of Information Act (FOIA). 

Release of the Response to the

ADAMS Public Library (D)

Any written or oral agency response to the document must be

coordinated with the responder's immediate supervisor before

being communicated to the industry organization or individual. A

written response must be released to the public through the

ADAMS Public Library by transmitting it to the DPC, as set forth in

Part IV, Section (B)(5).
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Handbook 3.4 Part IV

14 Approved: December 1, 1999

(Revised: February 6, 2009)

Part IV

Policy on Timing the Release

of Documents to the Public

Introduction (A)

The following policy specifies goals for timing the release of

documents to the public through the Agencywide Documents

Access and Management System (ADAMS). The intent is to

establish a clear goal for release of documents to the public that

allows adequate time for them to be received by addressees,

provides sufficient time for documents sent to NRC to be properly

reviewed by the staff, and makes documents available to the

public promptly.

General Release Policy (B)

Determining the Release Date (1)

Documents generated by NRC are to be released to the public by

the 6th working day after the date of the document. For example,

if the document is dated Monday, October 15, 2007, its release

date will be Tuesday, October 23, 2007. The time period provided

will allow 5 full working days for the addressee to receive the

document. Note that there may be circumstances in which it is

appropriate to release these documents earlier. For example,

internally generated documents addressed to external entities may

be released earlier than the 5-day goal when the staff has verified

that the addressee has, in fact, received them. (a)

Externally generated documents received by NRC are to be

released to the public by the 6th working day after the document

is added to the ADAMS Main Library. This time period will allow 5

working days for the staff to review a document received by NRC

to ensure no proprietary, privacy, or other sensitive information is

made public. (b)
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Approved: December 1, 1999 15

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Newly Received Documents From External Parties (2)

Newly received documents from external parties are to be made

available to the public no later than 5 working days after they are

added to the ADAMS Main Library, thus providing public access

by the sixth day after they are added to ADAMS. This time period

will allow the document to be reviewed to prevent the release of

incoming documents that should not be released, such as

documents containing proprietary information [Sensitive

Unclassified Non-Safeguards Information (SUNSI)] or potential

allegations.

Documents Produced by the Staff Addressed to External

Parties (3)

Documents produced by the staff addressed to external parties are

to be released no later than 5 working days after the date of the

document, thus providing public access by the sixth day after the

date of the document. In the case of document packages (i.e., a

cover letter with one or more attachments), the release date will be

5 working days after the date of the cover letter. This time period

will give the recipient an opportunity to read the document before

it is made publicly available. There will be instances when it is

desirable to make documents available sooner than 5 days. In

these instances, documents entered into ADAMS may be made

available after the staff has contacted the addressee and has

verified that the document has been received.

Documents Produced by the Staff Addressed to Internal

Addressees or Documents With No Specific Addressee (4)

Documents produced by the staff addressed to other internal

addressees or documents with no specific addressee shall be

released no later than 5 working days after the date of the

document, thus providing public access by the sixth day after the
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Handbook 3.4 Part IV

16 Approved: December 1, 1999

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Documents Produced by the Staff Addressed to Internal

Addressees or Documents With No Specific Addressee (4)

(continued)

date of the document. This time period will give the recipient an

opportunity to read the document before it is made publicly

available in ADAMS.

General Instructions for Making NRC-Generated Documents

Publicly Available (5)

Detailed guidance for adding documents to ADAMS and making

them publicly available can be found in ADAMS under “ADAMS

Document Submission Guidelines Step-by-Step Instructions”

(ML010390040). To make a single electronic file in ADAMS

publicly available, follow the instructions below for filling out the

ADAMS document profile. To make multiple electronic files, mixed

packages (combination of electronic file(s) and paper), or paper

documents publicly available in ADAMS, follow the guidance in

ML010390040. To make a single NRC document publicly

available, the following fields must be properly entered in the

ADAMS document profile: (a)

– The Document Class must be Draft (this category is changed

to Official Record by the ADAMS Document Processing

Center [DPC] during the declaration process).

– The Availability must be Publicly Available.

– The Document Sensitivity must be either Non-Sensitive or

Non-Sensitive Copyright.

– The Date to be Released must contain an appropriate date in

accordance with this policy.
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Approved: December 1, 1999 17

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

General Instructions for Making NRC-Generated Documents

Publicly Available (5) (continued)

– A SUNSI review must be completed. See http://www.internal.

nrc.gov/sunsi/.

– The Keyword field must contain the text “SUNSI Review

Complete.” Before adding the text “SUNSI Review Complete”

to the Keyword field, staff are responsible for ensuring that the

necessary review has been completed by the appropriate

individual(s) within their office.

Note: If the document is non-public, the Keyword field must

contain the item number from the “Guidance for Determining the

Public Availability of NRC Records,” as determined by the

document originator. (b)

In addition, under the Security Tab, the ADAMS Group NRC

Users should be given Viewer access rights and the DPC should

be assigned Owner rights. When the profiling is complete, copy

the document into the ADAMS Document Processing Center

(DPC) Processing folder, “Normal Processing for DPC,” in the

ADAMS Main Library. (c)

Exceptions to the General Release Policy (6)

Exceptions to this policy are documents that require the

following: (a)

– an immediate release

– a release earlier than the 5-day policy

– a longer time period before release
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18 Approved: December 1, 1999

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Exceptions to the General Release Policy (6) (continued)

Circumstances may require the immediate release of a document.

If a document, such as a press release, must be released to the

public immediately, follow the instructions for profiling the

document above, then copy the document into the ADAMS DPC

Processing folder, “Immediate Public Release for DPC,” in the

ADAMS Main Library. The document will be released within 4

working hours. (b)

Various types of documents and the circumstances surrounding

them may require an earlier release than that stated in the

general release policy but not necessarily an immediate release.

For example, internally generated documents addressed to

external entities may be released earlier than the 5-day goal when

the staff has verified that the addressee has received the

document. Other examples of documents requiring an earlier

release are preliminary notifications and public meeting notices. (c)

Some circumstances may require a longer time period before

release of a document because of the nature of the document and

the complexity of the business processes involved in making them

final. Document types that fall into this category and are currently

exempted from the NRC’s general release policy are listed in the

“Public Release Timeliness (PRT) Report Criteria for Internally

Generated Documents Added to ADAMS,” available in ADAMS

under ML072350623. (d)

If an office believes that it has another document type that typically

cannot be released to the public in accordance with the NRC’s

general release policy and should be exempted, it may request an

exemption by submitting a request (from a division director or

above) to the Director of the Information and Records Services

Division (IRSD), OIS. The request should describe the specific
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Handbook 3.4 Part IV

Approved: December 1, 1999 19

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Exceptions to the General Release Policy (6) (continued)

document types for which you are seeking exemption and a

justification. IRSD staff will review each request and, pending

approval, take action necessary to develop appropriate exemption

criteria. (e)

Making Externally Generated Documents Publicly Available 

in ADAMS (7)

Incoming Documents (a)

Externally generated (incoming) documents are received at the

Headquarters (HQ) Document Control Desk (DCD), at one of

the regional ADAMS intake stations, or are delivered directly to an

HQ office mail station for the HQ offices that have chosen that

option. See Chapter 11, “Handling Externally Generated

Documents (Incoming Mail),” of the ADAMS Desk Reference

Guide (NUREG/BR-0273) for detailed information about how

incoming documents are received and processed into ADAMS.

Documents that are marked as containing sensitive

information (i)

Incoming documents that are clearly marked as containing

sensitive information (for example, proprietary or personally

identifiable information [PII]) are added to ADAMS by the DPC or

regional intake station and profiled with the appropriate Document

Sensitivity value, Non-Publicly Available.

Documents that are not marked as containing sensitive

information (ii)

With some exceptions, documents that are not marked as

containing sensitive information are added to ADAMS by the DPC
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Handbook 3.4 Part IV

20 Approved: December 1, 1999

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Making Externally Generated Documents Publicly Available

in ADAMS (7) (continued)

or regional intake station and profiled as Non-Sensitive, NonPublicly Available, and the text “Non-Public Pending Review” is

added to the Keyword field.

Official Agency Records (b)

The DPC will complete the profiling and declare the documents as

Official Agency Records (OARs), then electronically distribute

them to the appropriate NRC recipients using the Electronic

Regulatory Information Distribution System (e-RIDS). E-RIDS is an

NRC custom-written distribution program (utilizing the ADAMS

“Send To” feature and the agency’s e-mail services) that

disseminates documents to NRC staff listed on standard

distribution patterns. E-RIDS recipients receive an e-mail

notification that displays a brief description of the document (or

package) and provides (in the attachment field) an icon that links

the viewer to the document (or package) in ADAMS. The

attachment field also contains an e-RIDS sheet that shows the

complete distribution that the document (or package) received.

Non-Public Pending Review Documents (c)

NRC staff in the office responsible for the document (owning

office) are responsible for reviewing the documents profiled as

Non-Public Pending Review for sensitive information before they

are made available to the public. When the document review has

been completed, staff must send an e-mail to the OIS ADAMS

Support Center (e-mail address ADAMS IM) regarding the

Availability, Document Sensitivity, and Date to be Released. If the

document is not public, add the item number describing the nonpublic category from the “Guidance for Determining the Public
Volume 3, Part 1 - Publications, Mail, and Information Disclosure

Release of Information to the Public

Handbook 3.4 Part IV

Approved: December 1, 1999 21

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Making Externally Generated Documents Publicly Available 

in ADAMS (7) (continued)

Availability of NRC Records.” For documents that can be released,

the ADAMS Support Center will profile the document as NonSensitive, Publicly Available, add the text “SUNSI Review

Complete,” and the document will be released to the public on the

date to be released. For documents that contain sensitive

information, staff must designate the specific Document Sensitivity

value and the ADAMS groups that are to be granted viewer rights

to the document, and the Support Center will profile the document

with the appropriate Document Sensitivity value, Non-Publicly

Available, add the text “SUNSI Review Complete” and the item

number from the “Guidance for Determining the Public Availability

of NRC Records” to the Keyword field, and viewer rights will be

restricted to those groups designated by the owning office. (i)

The exceptions to processing the documents that are not marked

as containing sensitive information are for most Office of Nuclear

Reactor Regulation (NRR) documents associated with 10 CFR

Part 50 operating reactors and most Office of New Reactors

(NRO) documents associated with 10 CFR Part 52 Early Site

Permits, Standard Design Certifications, and Combined Licenses

for Nuclear Power Plants (including pre-application project-related

documents with formally assigned project numbers). NRR and

NRO have established business rules with OIS to have these

documents profiled as Non-Sensitive, Publicly Available, with a

date to be released to the public of 5 working days after they were

added to the ADAMS Main Library. NRR and NRO staff review

these documents to ensure that they contain no sensitive

information before their date to be released is reached. (ii)
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Handbook 3.4 Part IV

22 Approved: December 1, 1999

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Making Externally Generated Documents Publicly Available

in ADAMS (7) (continued)

Documents Received By an HQ Office Mail Station (d)

For the HQ offices that have chosen to receive their incoming mail

directly, office staff are responsible for reviewing the documents

and determining which documents need to be scanned and

entered into ADAMS, determining if the document contains

sensitive information, and providing the DCD with the document

and a completed NRC Form 665s or 665p. Staff must indicate on

the NRC Form 665 how the document is to be profiled (Document

Availability, Document Sensitivity, Document Security Access, the

appropriate ADAMS template number, and the item number from

the “Guidance for Determining the Public Availability of NRC

Records”) if it is non-publicly available and must certify that the

SUNSI review has been completed for publicly available

documents only. Upon receipt of the document and completed

NRC Form 665, the DCD and the DPC will complete the profiling

in accordance with the instructions on the NRC Form 665 and

declare the documents as OARs. For documents that can be

released, the DPC will profile the document as Non-Sensitive,

Publicly Available, calculate and add the appropriate date to be

released, add the text “SUNSI Review Complete” to the Keyword

field, and the document will be released to the public on the date

to be released. (i)

In some cases, OIS has developed special document processing

workflows to handle bulk quantities of externally generated mail

with similar indexing requirements. These offices include the Office

of the Secretary (SECY) and the Commission (ticketed

correspondence, public comments in response to Federal Register

notices, adjudicatory filings), the Office of the Executive Director

for Operations (OEDO) (ticketed correspondence), the Office of

Administration (ADM) (public comments in response to Federal

Register notices, contracts and contract modifications), and the

Office of the Chief Financial Officer (OCFO) (general licensee
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Handbook 3.4 Part IV

Approved: December 1, 1999 23

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Making Externally Generated Documents Publicly Available

in ADAMS (7) (continued)

submissions transmitting fee payments). These offices annotate

each document with the appropriate e-RIDS distribution code,

ADAMS template number, and if the document is non-public, the

item number from the “Guidance for Determining the Public

Availability of NRC Records,” and send multiple documents to the

DCD/DPC either through the internal mail system, drop-offs at the

DCD, or by regularly scheduled pickups by the DPC contractor.

Individual NRC Forms 665s or 665p are not required for these

special workflows. (ii)

Relationship of This Policy to the Release of Information

Through NRC's Public Web Site (8)

ADAMS is the NRC's official means of making agency documents

available to the public. In the past, publicly available documents

were sent to the Public Document Room (PDR) on paper and

microfiche and posted on the NRC Web site. Since ADAMS

became an NRC official recordkeeping system in April 2000, all

newly created or newly received documents posted on the public

Web site since that date are to be released to the public through

ADAMS before being posted on the Web site if ADAMS is the

official recordkeeping system for the documents. Often display of

records on the NRC Web site can be made technically easier by

linking the document to its ADAMS Accession Number. Therefore,

the OIS Web staff may ask that documents created before April

2000, or for which ADAMS is not the official recordkeeping system,

be placed in ADAMS and made available in the ADAMS Public

Library so that the document can be linked to the ADAMS

Accession Number.
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Handbook 3.4 Part IV

24 Approved: December 1, 1999

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Documenting the Rationale for Non-Public Designations (9)

The document profile for all OARs in ADAMS with a Document

Date of 04/01/09 or later must contain the code for the non-public

designation, which is set forth in the “Guide for Determining the

Public Availability of NRC Records.”

NRC-Generated Documents (a)

Before submitting a document to the DPC for final processing, staff

must add the specific item number from the “Guidance for

Determining the Public Availability of NRC Records” (found at

http://www.internal.nrc.gov/information-resources.html) to the

Keyword field in the ADAMS Document Profile only if it is nonpublic. For example, if a document is to be made non-publicly

available because it is listed under the section titled “NRC

Documents Not Routinely Released to the Public” as item number

B.6 in the “Guidance for Determining the Public Availability of

NRC Records,” the entry in the Keyword field would be “MD 3.4

Non-Public B.6.”

Externally Generated Documents (b)

Documents Sent Directly to the DCD. The DPC will enter the

appropriate item number from the “Guidance for Determining the

Public Availability of NRC Records” to the Keyword field in the

ADAMS Document Profile for externally generated documents that

are sent directly to the DCD and are not profiled as “Non-Public

Pending Review.” (i)

Documents Received by an HQ Office Mail Station. NRC staff are

responsible for identifying and providing to the DCD the

appropriate item number from the “Guidance for Determining the

Public Availability of NRC Records” for documents that are

received by an HQ Office Mail Station and then provided to the

DCD for entry into ADAMS. The DPC will enter the item number

into the Keyword field in the format described above. (ii)
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Handbook 3.4 Part IV

Approved: December 1, 1999 25

(Revised: February 6, 2009)

General Release Policy (B)

(continued)

Documenting the Rationale for Non-Public Designations (9)

(continued)

Non-Public Pending Review Documents. When NRC staff

complete their review of documents profiled as “Non-Public

Pending Review” and contact the ADAMS Support Center to

finalize the document availability as either Publicly Available or

Non-publicly Available, they must notify the Support Center of the

item number if the document is non-public from the “Guidance for

Determining the Public Availability of NRC Records”

(http://www.internal.nrc.gov/information-resources.html). The

Support Center will enter the item number into the Keyword field

in the format described above. (iii)
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Handbook 3.4 Part V

26 Approved: December 1, 1999

(Revised: February 6, 2009)

Part V

Withdrawal of Documents From the

ADAMS Public Library and/or the NRC

Public Document Room

Procedures for Withdrawing Documents

From the ADAMS Public Library or the

Public Document Room (A)

When it is determined that a document already released to the

public should be removed from the Agencywide Documents

Access and Management System (ADAMS) Public Library and/or

the Public Document Room (PDR), the removal must be

authorized by an NRC division director or a higher level official in

the office originating the document or the office that has primary

responsibility for the document in accordance with specific

notification procedures set forth in the ADAMS Desk Reference

Guide. To request removal, the division director or a higher level

official must provide written justification to the ADAMS Support

Center and request that the document be removed from the

ADAMS Public Library and/or the PDR. If a document is to be

removed from ADAMS because of security concerns (e.g.,

Safeguards Information (SGI), Sensitive Unclassified NonSafeguards Information (SUNSI), personally identifiable

information (PII)), all access to the document is removed except

for administrative access. The Computer Security Office (CSO)

must then be notified. CSO will authorize complete document

removal upon completion of the computer security incident

response procedures.

Documents Inadvertently

Released to the Public (B)

When a document not authorized for public release, including

allegation information and classified information, Safeguards
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Handbook 3.4 Part V

Approved: December 1, 1999 27

(Revised: February 6, 2009)

Documents Inadvertently

Released to the Public (B) (continued)

Information, or other National Security or Homeland Security

Information, is inadvertently released to the public by the NRC, its

contractors, or other Government agencies, the Executive Director

for Operations (EDO) and the Inspector General (IG) shall be

promptly advised in writing of the occurrence. If information

technology (IT) (e.g., facsimile, printers, computers) is involved in

the release, then CSO must be notified. The circumstances under

which the document was inadvertently released should be

described, as well as the actions taken, including coordination with

or approvals obtained from an office director, the EDO, or the

Commission. Refer to Management Directive 7.4, “Reporting

Suspected Wrongdoing and Processing OIG Referrals,” for

additional guidance. If the document has been placed in the

ADAMS Public Library or in the NRC Public Document Room

(PDR) and the responsible division director decides that the

document should be withdrawn from the public domain, that

responsible division director shall notify the ADAMS Support

Center to remove the documents in accordance with the

procedures in Section (A) above and advise the EDO and the IG

of this action. Additionally, all inadvertent releases of information

must be reported immediately to the Senior IT Security Officer or

Computer Security Office in accordance with instructions found at

the following address: http://www.internal.nrc.gov/ois/it-security/

incident-resp.html#inadvertent_spill. (1)

In the case of an inadvertent release of allegation information, the

Agency Allegation Advisor shall be contacted promptly, in addition

to the EDO. Any allegation information inadvertently released to

the public through the ADAMS Public Library or the NRC PDR

shall be immediately withdrawn. (2)

In the case of an inadvertent release of classified information, SGI,

or other National Security or Homeland Security Information, the

Office of Nuclear Security and Incident Response (NSIR) shall be

contacted promptly. The Director of NSIR will provide guidance to

the office and the Director of OIS on the actions to be taken to
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Handbook 3.4 Part V

28 Approved: December 1, 1999

(Revised: February 6, 2009)

Documents Inadvertently

Released to the Public (B) (continued)

withdraw the document from the public domain. If IT is involved in

the inadvertent release, CSO must also be notified of the

event. (3)

In accordance with established policy, NRC actively protects PII

from access by, or disclosure to, unauthorized individuals. In case

of a breach in PII, staff should refer to the guidance in the “NRC

Personally Identifiable Information Breach Notification Policy.”

Agency personnel are to comply with the procedures for response

and notice to affected individuals, other Federal agencies, and the

media, as appropriate. These policies and procedures govern

breaches by agency personnel that may result in unauthorized

access, either internal or external to the NRC, whether involving

electronic systems or paper documents. For more details, please

see ML072640285 or go to http://www.nrc.gov/site-help/privacy.

html. (4)

Documents Withdrawn From the

Public Domain by Agency Policy (C)

When agency senior management decides that a particular

document type or class of information that has formerly been

made public will no longer be made public and directs that

such documents or information be withdrawn from the ADAMS

Public Library or the PDR, a division director or a higher level

official will ensure that concurrence or approval from the

appropriate office, the EDO, and the Commission is obtained. The

responsible official shall notify the ADAMS Support Center to

remove the documents in accordance with the procedures

specified in Section (A) above and provide documentation

supporting the removal request, including coordination with or

approvals by an office director, the EDO, or the Commission.
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Approved: December 1, 1999 29

(Revised: February 6, 2009)

Personally Identifiable Information

in Submittals by External Entities

and Persons (D)

NRC policy, as set forth in 10 CFR 2.390, makes available to the

public the correspondence and other information related to NRC's

mission activities that are received from or sent to individual

citizens, applicants, licensees, and other organizations (including

the submitter’s name, home address, home or personal telephone

numbers, or personal e-mail addresses included in the

correspondence). If submitters do not want this information

automatically released to the public, they must make a written

request that it not be made publicly available. (1)

NRC, at its discretion, may also withhold this information if it

determines there is a compelling reason for not making the

information public. Absent a written request for withholding

information, NRC does not routinely review applicant and licensee

incoming correspondence and related information to determine if

the submitted information may constitute sensitive information that

should not be made publicly available. However, if such

information is identified by the staff in the course of normal work,

NRC may, at its discretion, withhold such information from the

public or, if it has been made public, withdraw it from the public

domain. (2)

Such information would be personal privacy information, for

example, social security numbers, medical or financial information

about persons other than the submitter, family matters, or

information on those other than the applicant/licensee submitter

that could, if disclosed, substantially harm a person’s reputation

and standing in the community where the matter does not involve

enforcement of statutes or regulations. However, the staff could

also identify other information considered sensitive, such as

security-related information that should be withdrawn. Such a

determination is to be accompanied by the standard that the staff

is applying as the basis for the withdrawal of the information. (3)
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Handbook 3.4 Part V

30 Approved: December 1, 1999

(Revised: February 6, 2009)

Personally Identifiable Information

in Submittals by External Entities

and Persons (D)

(continued)

When the staff identifies information believed to be sensitive in

applicant or licensee submittals, the responsible division director

or higher level official shall coordinate with the Office of the

General Counsel as to whether the information constitutes

sensitive information that should be withdrawn from the ADAMS

Public Library or the PDR. If a document contains sensitive

information that should be withdrawn, the entire document should

be withdrawn. The ADAMS Support Center is to be notified to

remove the document in accordance with the procedures specified

in Section (A) above. In accordance with standards reflected in

10 CR 2.390, NRC may exercise its discretion to subsequently

make public a properly redacted version of the document. (4)