Enclosure

U.S. Nuclear Regulatory Commission

Chief FOIA Officer Report - 2012

Darren B. Ash

Chief Information Officer and Deputy Executive Director for Corporate Management

Section I: Steps Taken to Apply the Presumption of Openness

The guiding principle underlying the President's FOIA Memorandum and the 

Attorney General's FOIA Guidelines is the presumption of openness.

Describe the steps your agency has taken to ensure that the presumption of 

openness is being applied to all decisions involving the FOIA. To do so, you should 

answer the questions listed below and then include any additional information you would 

like to describe how your agency is working to apply the presumption of openness.

The U.S. Nuclear Regulatory Commission (NRC) views nuclear regulation as the public’s 

business and, as such, believes it should be transacted as openly and candidly as possible to 

maintain and enhance the public’s confidence. Ensuring appropriate openness explicitly 

recognizes that the public must be informed about, and have a reasonable opportunity to 

participate meaningfully in, the NRC’s regulatory processes. To achieve its goal of openness, 

the NRC had a proactive program to make discretionary releases of information available to the 

public in the absence of a Freedom of Information Act (FOIA) request before the issuance of the 

President’s FOIA Memorandum. As part of its efforts to achieve the agency’s openness goal, 

the NRC also had a robust, centralized FOIA program that already operated with the 

presumption of openness before the issuance of the President’s FOIA Memorandum and the 

Attorney General’s Guidelines, and continues to do so.

On March 14, 2011, the National Security Archives released its governmentwide FOIA audit, 

―Glass Half Full: The Knight Open Government Survey 2011.‖ The report found that only 13 of 

90 agencies (14 percent) fulfilled both steps of the White House Memorandum for Agency and 

Department Heads, subject: FOIA, dated March 16, 2010. The NRC was one of the 13 

agencies. The report also stated the following:

Nine agencies [including the NRC] also showed concrete responses to the 

Obama administration’s FOIA policy in last year’s Survey. Documents from 

these ―best FOIA practices agencies‖ include high-level conversations about 

improving openness, revising training materials, and internal deliberations about 

FOIA which likely would have previously been denied by the FOIA exemption 

that covers pre-decisional agency process.

1. Did your agency hold an agency FOIA conference, or otherwise conduct training 

during this reporting period? 

Yes. The agency’s centralized FOIA/Privacy Section (FPS) provided two classroom training 

sessions (June and December 2011) to headquarters and regional staff.

On March 11, 2011, a massive earthquake triggered a tsunami that struck the coast of 

Fukushima, Japan, severely damaging a nuclear power plant. As a result of this disaster, the 

NRC activated its emergency operations center and provided support to the U.S. Ambassador 

to Japan and other Federal and non-Federal entities involved in the crisis. Subsequently, the
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NRC received numerous FOIA requests related to the Japan crisis and the NRC’s involvement 

with it. The number of records responsive to these requests was exponentially larger than NRC 

normally processes in one year and greatly exceeded its projected FOIA workload and existing 

staffing capacity. To address these requests, the NRC established a task force to review 

records and study information technology capabilities that might streamline the search and 

review processes. The NRC obtained a software tool to electronically review tens of thousands 

of e-mails and identify and remove exact duplicates from the pool of e-mails requiring review. 

Additional staff was trained in FOIA exemptions and processing. Furthermore, the NRC 

enlarged the level of effort dedicated to FOIA requests by extending a FOIA support contract 

that provided one FOIA specialist, increasing the total number of FOIA specialists to six. These 

additional contractors received training in the NRC FOIA processing procedures with an 

emphasis on openness and transparency. Due to the magnitude of the records related to the 

Japan crisis, the NRC appointed a special FOIA/Privacy Act Officer (FPAO) for Japan-Related 

FOIAs. 

2. Did your FOIA professionals attend any FOIA training, such as that provided by 

the Department of Justice?

Yes. The NRC FPAO and her supervisor, who are FOIA public liaisons; the FPAO for JapanRelated FOIAs; and the FPS staff attended multiple FOIA training events. These training events 

included the following U.S. Department of Justice events: 

Sunshine Week Celebration 

Training Session on Exemption 2 After Milner

Refresher Training Session—Fiscal Year (FY) 2011 Agency Annual FOIA Reports and 

2012 Chief FOIA Officer Reports

Information Technology Working Group Meeting

The FOIA for Attorneys and Access Professionals

The NRC staff also participated in the following training events:

Office of Government Information Services Dispute Resolution Skills Training

American Society of Access Professionals (ASAP) Fourth Annual National Training 

Conference

ASAP Annual Symposium and Training Conference

Advanced Information Network Systems (AINS) FOIAXpress Users Group Conference

AINS FOIAXpress Basic Users Training

American University Washington College of Law Fourth Annual FOIA Day Celebration

U.S. Department of Homeland Security 2011 Developments in Privacy Compliance 

Workshop

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to 

make discretionary releases of information even when the information might be 

technically exempt from disclosure under the FOIA. OIP encourages agencies to make 

such discretionary releases whenever there is no foreseeable harm from release. 
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3. Did your agency make any discretionary releases of otherwise exempt 

information? 

Yes. The NRC increased discretionary releases of otherwise exempt information during this 

reporting period in comparison to the discretionary releases for the previous reporting period. 

During the current reporting period, the NRC made seven discretionary releases of otherwise 

exempt information. From August 2010 until the end of the reporting period for last year’s 

report, the NRC made two discretionary releases; however the NRC did not have the capability 

to track discretionary disclosures until August 2010.

4. What exemptions would have covered the information that was released as a 

matter of discretion?

All of the information released as a matter of discretion was exempt under Exemption 5. The 

NRC asked subject matter experts (SMEs) to identify harm that could result from the release of

information. If no harm was demonstrated, the NRC sought to release predecisional 

discussions, recommendations, and drafts. The NRC’s annual FOIA reports show that the 

agency significantly reduced the application of Exemption 5. In FY 2010, Exemption 5 was 

invoked 32 times compared to 18 times in FY 2011.

5. Describe your agency’s process to review records to determine whether 

discretionary releases are possible. 

SMEs throughout the NRC are instructed to systematically review all information to recognize 

factors that may suggest it is appropriate for discretionary release, such as the age of the 

information or its similarity to a final product. When providing responsive records to the NRC’s 

centralized FPS, all offices state on their transmittal memoranda whether or not a discretionary 

release was made and whether the withholding qualified under Exemption 5. Additional reviews 

are completed by the FPS and the Office of General Counsel (OGC) and a final decision is 

made on whether to make the discretionary release. For the Japan-related FOIA requests, the 

NRC is releasing as much of the information as possible that would have qualified for 

withholding under Exemption 5. However, these releases have been partial releases of 

requests that remain open, so the number of discretionary releases is not yet available.

6. Describe any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied. 

For the Japan-related FOIA requests, OGC met with the Japan FOIA Task Force members to 

reiterate making discretionary releases when possible.

In Section V.B.(1) of your agency’s Annual FOIA Report, entitled “Disposition of FOIA 

Requests – All Processed Requests” the first two columns list the “Number of Full 

Grants” and the “Number of Partial Grants/Partial Denials.” Compare your agency’s 2011 

Annual FOIA Report with last year’s Annual FOIA Report, and answer the following 

questions: 
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7. Did your agency have an increase in the number of responses where records were 

released in full? 

Yes. In its FY 2011 Annual FOIA Report, the NRC reported 112 requests for which records 

were released in full, compared to 105 such requests reported in the FY 2010 Annual FOIA 

Report.

8. Did your agency have an increase in the number of responses where records were 

released in part? 

No. In its FY 2011 Annual FOIA Report, the NRC reported 92 requests for which records were 

released in part, compared to 100 such requests reported in the FY 2010 Annual FOIA Report.

Section II: Steps Taken to Ensure that Your Agency

Has an Effective System in Place for Responding to Requests

As the Attorney General emphasized in his FOIA Guidelines, "[a]pplication of the 

proper disclosure standard is only one part of ensuring transparency. Open government 

requires not just a presumption of disclosure, but also an effective system for 

responding to FOIA requests."

This section should include a discussion of how your agency has addressed the key 

roles played by the broad spectrum of agency personnel who work with FOIA 

professionals in responding to requests, including, in particular, steps taken to ensure 

that FOIA professionals have sufficient IT support. 

Describe here the steps your agency has taken to ensure that its system for 

responding to requests is effective and efficient. To do so, answer the questions below 

and then include any additional information that you would like to describe how your 

agency ensures that your FOIA system is efficient and effective.

1. Do FOIA professionals within your agency have sufficient IT support? 

Yes. Each FOIA specialist in the FPS, including the contractor support staff, has a personal 

computer on the NRC network. These computers have access to the FOIA case-tracking 

system, which includes an electronic redaction capability. Help desk service is a phone call 

away for NRC equipment problems, and an ongoing maintenance contract with the casetracking system vendor ensures that software support also is readily available.

2. Is there regular interaction between agency FOIA professionals and the Chief 

FOIA Officer? 

Yes. In FY 2011, the FPS staff met with the Chief FOIA Officer and other senior managers to 

provide FOIA professionals an opportunity for face-to-face discussions regarding the FOIA 

program at the NRC.

3. Do your FOIA professionals work with your agency’s Open Government Team?

Yes. The FPAO works closely with the NRC’s Open Government Team. In FY 2011, the FPAO 

held meetings with the NRC’s Open Government Team to facilitate the availability of information 
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obtained as a result of the crisis in Japan. See Section III for details on the NRC’s Open 

Government activities.

4. Describe the steps your agency has taken to assess whether adequate staffing is 

being devoted to FOIA administration. 

The NRC allocated additional funds to hire contractor FOIA specialists and administrative 

personnel to assist with processing the Japan-related FOIA requests. The annual budget cycle 

includes an assessment of the personnel resources and contract money needed for routine and 

projected staffing needs. The NRC’s Chief FOIA Officer and senior management officials 

oversee the agency’s capacity to process requests by reviewing statistical reports, the Annual

FOIA Report, the budget and hiring processes, and the Chief FOIA Officer Report.

Section III: Steps Taken to Increase Proactive Disclosures

Both the President and Attorney General focused on the need for agencies to work 

proactively to post information online without waiting for individual requests to be 

received. 

Describe here the steps your agency has taken both to increase the amount of 

material that is available on your agency website, and the usability of such information, 

including providing examples of proactive disclosures that have been made during this 

past reporting period (i.e., from March 2011 to March 2012). In doing so, answer the 

questions listed below and describe any additional steps taken by your agency to make 

and improve proactive disclosures of information.

As noted previously, the NRC has a long-standing practice of conducting its regulatory responsibilities

in an open and transparent manner by proactively keeping the public informed of its regulatory, 

licensing, and oversight activities in the absence of a FOIA request.

The NRC was the first Federal agency to give the public electronic access to all of its public 

documents through the groundbreaking Agencywide Documents Access and Management

System (ADAMS). Since the release of ADAMS in 1999, it has been the NRC’s policy 

to proactively make non-sensitive documents publicly available through ADAMS unless there is 

a specific reason not to do so. As a result, the NRC has made public nearly 700,000 full-text 

documents since 1999 (more than 93,000 in the past year alone), and it currently publishes an 

average of 387 new documents each day.

The NRC also uses its use its public Website extensively to proactively share information 

with the public and other stakeholders. The NRC’s public website offers information and tools 

to broaden the public’s understanding of its mission, goals, and performance; increase openness by 

providing information that enhances stakeholders’ ability to participate effectively in the NRC’s 

regulatory process; and help licensees, private entities, and the public conduct business 

with the agency electronically. To achieve these goals, the site offers a wealth of information 

about the NRC’s primary mission areas: nuclear reactors, nuclear materials, radioactive waste, 

and nuclear security and safeguards. For example, the site delivers daily plant status, 

inspection reports, event reports, enforcement actions, petitions, detailed information on the 

performance of reactor licensees, and a Facility Locator that provides easy access to key 

documents associated with each facility.
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During the current reporting period, the NRC also issued five new high-value datasets

to increase public knowledge and promote transparency of generic issues, operating reactor

performance indicators, reactor materials embrittlement data, significant enforcement actions, 

and the status of NRC-regulated materials sites currently undergoing decommissioning. Each 

of these new datasets is available through the NRC’s public website and Data.gov. Notably, the 

NRC’s U.S. Nuclear Power Plant Inspection Reports dataset, published in January 2011, was 

selected to be added to the rotating pane of Data.gov in the second quarter of FY 2011 and

quickly became one of the NRC’s most frequently downloaded datasets (joining those related to 

the status of U.S. nuclear power reactor plants and U.S. nuclear power reactor demographic 

data). The NRC also added an application to Data.gov that allows the public and other 

stakeholders to search for power plant licensee event reports using a variety of criteria, including 

plant name, plant or event characteristics, date, and key words.

The NRC’s public website also features calendars and detailed information about public meetings,

conferences and symposia, and live NRC meeting Webcasts and encourages public scrutiny 

through an extensive archive of transcripts from past meetings. To promote openness 

and transparency, the site also presents extensive information on Commission decisions, 

speeches, correspondence and transcripts of hearings and congressional testimony. The 

website also affords the public with the opportunity to comment on proposed rules and policies, 

licensing actions, and draft technical documents, and it encourages the public to seek correction of 

NRC information under the agency’s information quality guidelines.

The NRC Library component of the NRC’s public website encompasses an extensive array of 

resources, including basic references; collections of Web-based documents (including news 

releases, Federal Register notices, NUREG-series reports, rulemaking documents, and many 

others); Web-based access to all publicly available documents in ADAMS; a photo and video 

gallery; and a comprehensive index of all frequently asked questions. In addition, the NRC 

Library provides guidance on how to obtain paper copies of NRC documents and how to take 

advantage of the resources in the NRC’s public document room. Visitors to the NRC Library 

also can find information about the NRC’s records disposition schedules and records 

management policies and procedures. In addition, the NRC Library provides access to all 

publicly available information about the FOIA/Privacy Act (PA) program and FOIA/PA requests

and responses. On April 15, 2010, the FPS began making more FOIA requests available to the 

public, including those that were withdrawn or had ―no-record responses.‖ The only requests 

currently not proactively made public are (1) first-party requests concerning allegations and 

investigations, (2) inspector general records, (3) individuals seeking information about 

themselves (such as personnel files, security investigations, and job applications), and (4) requests 

for databases subject to frequent change.

During the current reporting period, the NRC expanded and enhanced its electronic notification 

capabilities to enable the public and other stakeholders to keep up with NRC news and 

information. The NRC currently offers the following services to enable interested parties 

to subscribe to e-mail updates:

RSS feeds

GovDelivery subscription services

Lyris subscription services
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These services create e-mail alerts with headlines, summaries, and links to information about a 

variety of topics of interest to the NRC’s stakeholders. For more information, including a 

description of each of the subscription resources, see the Available E-mail Updates page.

1. Has your agency added new material to your website since last year?

Yes. In addition to adding more than 93,000 new documents to public ADAMS, the NRC added 

more than 42,000 new documents and pages to its public website during the current reporting 

period, following the NRC’s established policies and procedures for proactive disclosure of 

information. This steadily expanding resource currently has more than 40,000 pages of 

information on a variety of mission-related activities, and the NRC incorporates more than 650 

updates and additions monthly.

2. Provide examples of the records, datasets, videos, etc, that have been posted this 

past year. 

Additions during the current reporting period include the following notable examples:

NRC Blog

NRC Twitter Feed

NRC YouTube Channel

FY 2012 Congressional Budget Justification

FY 2011 Performance and Accountability Report

The NRC’s Information Technology/Information Management Strategic Plan 

(FY 2012–FY 2016)

Initial Plan for Retrospective Analysis of Existing Rules

Plan for Streamlining Service Delivery and Improving Customer Service

Initial Web Improvement Plan

Data Center Consolidation Plan

NRC Actions on the Nuclear Crisis in Japan

FOIAs Related to Japan’s Emergency

Frequently Asked Questions About the Japan Nuclear Crisis: Can It Happen Here?

NRC Frequently Asked Questions Related to the March 11, 2011 Japanese Earthquake 

and Tsunami

Live NRC Meeting Webcasts

Meeting Archives

News Releases

Commission Speeches

Subscribe to E-mail Updates

Operating Reactor Correspondence
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LERSearch (for simplified access to Licensee Event Reports)

Facility Locator

Generic Issues Dataset

Operating Reactor Performance Indicators Dataset

Reactor Materials Embrittlement Dataset

Significant NRC Enforcement Actions Dataset

Dataset of NRC-Regulated Complex Materials Sites Undergoing Decommissioning

Plain Writing at the NRC

NRC Ethics

Proposed Security Rulemaking for Independent Spent Fuel Storage Installations

Fire Protection and Fire Research Knowledge Management Digest

Analysis of Cancer Risk in Populations Near Nuclear Facilities: Phase 1 Feasibility Study

Industry Performance of Relief Valves at U.S. Commercial Nuclear Power Plants 

through 2007

NUREG-Series Publications

Photo and Video Gallery

3. Describe the system your agency uses to routinely identify records that are 

appropriate for posting.

The NRC has a longstanding system in place to proactively identify and post appropriate 

records to help the public better understand and interact with the NRC. Agency management 

directives and office policies and procedures guide this interaction to ensure a high level of 

vigilance and awareness of the agency’s mission and program activities; the public site content, 

standards, and policies; and, most importantly, the needs and interests of the public and other 

external stakeholders. Through this collaboration, the NRC proactively posted approximately 

93,000 new documents to public ADAMS in the past year, with an average of 387 new 

documents published daily. In addition, the NRC added more than 42,000 new documents 

and pages to its public website during the current reporting period, and NRC staff post more 

than 650 updates and additions monthly.

4. Beyond posting new material, is your agency taking steps to make the information 

more useful to the public, especially to the community of individuals who regularly 

access your agency’s website, such as soliciting feedback on the content and 

presentation of the posted material, improving search capabilities, providing explanatory 

material, etc.?

As communication methods evolve, so too does the NRC’s outreach to engage members of the 

public as stakeholders in its regulatory processes. Toward that end, the agency continually 

seeks new ways to use the Internet as an innovative medium to foster public engagement, and 

we implement incremental changes to our public website as part of a continuous improvement 

cycle. In the past year, the NRC has made significant progress in enhancing stakeholder 

engagement by introducing social media technologies, continuing to publish high-value 
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datasets, deploying a redesigned public website with improved Web-based search capabilities, 

and launching a new public site devoted to plain writing at the NRC.

a. Introduction of social media technologies

In 2011, the NRC began using social media technologies, including a new public blog, Twitter 

feed, and YouTube channel, to enhance relationships with stakeholders by promoting a sense 

of community. These new technologies offer additional ways for the NRC to interact with and 

inform the public, while raising awareness about the agency and its mission. Most importantly, 

the NRC’s social media initiatives have achieved even greater levels of interest than originally 

anticipated.

The NRC Blog debuted on January 31, 2011, with a welcome message from NRC Chairman 

Gregory Jaczko. In March 2011, to recognize Sunshine Week, the NRC website highlighted the 

blog as one of the agency’s newest initiatives to increase its transparency, participation, and 

collaboration with the public and other stakeholders. In addition to being accessible via the 

Web, the blog can be viewed using mobile devices (such as smartphones). Since its 

establishment, the blog has had more than 130,000 views, and it has proven to be an 

especially useful way to communicate quickly with the public during and after events in the 

United States and at the nuclear facilities in Fukushima, Japan, this year:

On average, the blog has just under 500 views per day; immediately after the Fukushima 

event, views peaked at just over 5,700 in 1 day.

During the week of August 22, 2011, blog posts provided information on earthquake 

response and hurricane preparation at nuclear power plants.

Daily views of the blog peaked at more than 1,000 during the Missouri River flooding event in 

June 2011, which affected the area near the Fort Calhoun nuclear power plant in Nebraska.

Mr. Darren B. Ash, the NRC’s Chief Information Officer (CIO) and Deputy Executive Director for 

Corporate Management, currently represents the NRC as a member of the CIO Council, through 

which he authors a CIO.gov blog (also available through the NRC’s public website). Mr. Ash is 

also the NRC’s Chief FOIA Officer and Senior Accountable Official for Data Quality — positions 

that uniquely qualify him to guide the NRC’s use of social media to disseminate information.

In August 2011, the NRC also began distributing news and information via Twitter. The NRC 

Twitter feed can be reached at http://www.twitter.com/NRCgov or through the NRC website. 

Tweets announce new blog posts and press releases, speeches, reports, public meeting notices,

and other content posted on the NRC website. Other information, such as important notices 

in the Federal Register, is also tweeted. Within 2 days of its introduction, the NRC Twitter 

account had 400 followers, and many different organizations and individuals were ―retweeting‖

agency tweets, greatly expanding the reach of the agency. 

In September 2011, the NRC began posting videos on YouTube. The agency’s YouTube 

channel joins the blog and Twitter feed as another social media outlet the NRC uses to enhance 

communication, collaboration, and information exchange in support of the agency’s mission. 

The NRC YouTube account can be reached at http://www.youtube.com/NRCgov or through the 

NRC website. The first post was a two-part video remembering the events of September 11, 

2011 that first premiered at the agency’s commemoration of that day. The video featured NRC 

employees talking about their experiences on September 11, 2001 and how the events affected 
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their lives. In the future, the NRC anticipates posting small segments of some important 

Commission briefings, videos previously produced but not extensively distributed, and new content.

To further improve communications with the public, the NRC also has doubled the number of Live 

Meeting Webcasts it uses to broadcast public Commission meetings over the Internet. An archive 

of Webcasts is available through the NRC Webcast Portal. The NRC now has the capacity to 

Webcast up to 100 meetings per year; the schedule is published on the agency’s public site. 

Notably, the White House highlighted this initiative with a video on its Open Government 

Innovations website.

In October 2011, the NRC also broke new ground in its use of social media to engage the 

blogging community. In cooperation with the American Nuclear Society (ANS) and Physicians for 

Social Responsibility (PSR), the NRC hosted two Webinar sessions for bloggers to interact with NRC 

Chairman Gregory Jaczko on October 4, 2011 (91 minutes) and October 6, 2011 (68 minutes).

ANS and PSR offered organizational assistance, getting the word out to various communities of 

bloggers and others interested in nuclear policy issues. Daniel Yurman (ANS) and Michele 

Boyd (PSR) graciously agreed to act as facilitators.

b. Publication of High-Value Datasets

The Open Government Directive defines high-value information as ―information that can be 

used to increase agency accountability and responsiveness; improve public knowledge of the 

agency and its operations; further the core mission of the agency; create economic opportunity;

or respond to need and demand as identified through public consultation.‖

Toward that end, in January 2011 the agency formalized its process for identifying, prioritizing, 

and publishing NRC high-value datasets. The agency’s Open Government Advisory Council 

reviewed and approved the process. Because of the nature of the NRC’s mission and because 

some types of agency information could be used for malevolent purposes, information security 

screening of all datasets is of high importance. NRC staff follow administration guidance to 

screen for potential risks when combining NRC information with information published by other 

Federal agencies. In some cases, security concerns may limit the publication of agency 

information. 

To foster public use of the NRC’s high-value datasets to increase knowledge and promote 

transparency, the NRC publicized the availability of its datasets at its annual Regulatory 

Information Conference on March 8–10, 2011, and will do so at other conferences and public 

meetings as appropriate, as well as through the NRC’s Open Government website. 

Furthermore, stakeholders can receive an e-mail notification whenever the agency adds a new 

dataset or application to Data.gov by subscribing to updates on the NRC’s main Open 

Government page. (To do so, select ―Subscribe to Page Updates‖ at the menu on the top left.) 

During the current reporting period, the NRC issued five new high-value datasets to increase 

public knowledge and promote transparency of generic issues, operating reactor performance 

indicators, reactor materials embrittlement data, significant enforcement actions, and the status 

of NRC-regulated materials sites currently undergoing decommissioning. Each of these new 

datasets is available through the NRC’s public website and Data.gov. Notably, the NRC’s U.S. 

Nuclear Power Plant Inspection Reports dataset, published in January 2011, was selected to be 

added to the rotating pane of Data.gov in the second quarter of FY 2011. This dataset quickly 

became one of the NRC’s most frequently downloaded datasets (joining those related to the 

status of U.S. nuclear power reactor plants and U.S. nuclear power reactor demographic data). 
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The NRC also added a application to Data.gov that allows the public and other stakeholders to 

search for power plant licensee event reports using a variety of criteria, including plant name, 

plant or event characteristics, date, and key words.

To see a complete list of the NRC datasets, click on the NRC’s High-Value Datasets link on the 

NRC home page.

c. Public Site Redesign and Enhanced Search Capabilities

In April 2011, the NRC deployed the latest redesign of its public website, which is an important part

of the agency’s ongoing support for its openness, transparency, and public outreach goals. The 

redesign features a modern look and feel, streamlined navigation, and rich features 

and functionality that allow users to find the information they want quickly and easily. Many of 

the upgrades and changes reflect public input the agency received through online surveys, 

interviews, and focus groups.

Some important changes or additions include the following:

The link for reporting a safety concern is located prominently on the home page.

Rotating slides on the home page highlight major areas of interest.

A new interactive calendar allows quick access to the latest NRC public meetings.

A new Spotlight section replaces the Key Topics area on the home page and now is 

available on each page of the site.

Consistent navigation in the header and footer areas aids users move through the site.

Along with the introduction of the redesigned website, improved search capabilities allow users 

to search all the information publicly available on the NRC website with one simple search 

string. The new search capabilities allow users to retrieve documents, news, and other 

information from the NRC’s entire public website, including the documents in ADAMS, with a 

single search. This means that search results include not just Web pages but also relevant 

documents in the large collection of more than 665,000 publicly available ADAMS documents. 

Since its launch, the site’s scores on the American Customer Satisfaction Index have continued 

to improve:

―Content satisfaction‖ reached a new high of 83 (up 4 points since March).

―Look and feel‖ reached a new high of 78 (up 4 points since March, most likely as a result 

of the public site redesign).

All five ―future behavior‖ scores increased 4–6 points since March.

―Online transparency‖ (a key Open Government metric) reached a new high of 78, 

exceeding the overall Federal Government score of 76, the regulatory agency score of 73,

and the scores of all executive branch agencies except the U.S. Department of Defense 

(79).

The NRC believes the redesign brings additional transparency to the agency’s work, and 

the agency strives for continuous improvement. This year, the NRC ranked 11th out of 32 

Federal agencies in terms of transparency, as reported by ForeSee Results.
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d. Plain Writing at the NRC

In response to the Plain Writing Act of 2010, the NRC also launched a new public site devoted 

to Plain Writing at the NRC to keep the public informed and further enable participation in our

regulatory, licensing, and oversight processes. Through this site, visitors can learn about 

Plain Writing and Its Benefits, as well as the history of Federal Plain Writing Mandates. 

Visitors can also find information about The NRC’s Plain Writing Philosophy, Techniques, 

and Guidance, and monitor the development of The NRC’s Plain Writing Action Plan, Reports, 

and News. In addition, to help the NRC comply with the Act and evaluate its progress, the NRC 

invites the public to provide feedback on our Plain Writing Action Plan, any difficulty they may 

experience in understanding our documents or information on the NRC’s public website, or

comment on the use of plain language in the NRC’s public meetings.

e. Next Steps

The NRC’s work on Open Government is not done. Current efforts include a pilot study to 

assess the value of using Quick Response (QR) codes to enable the public to quickly and easily 

access NRC information and websites from their smartphones during public meetings or other 

events. These two-dimensional barcodes can be placed on publications, marketing materials, 

posters, websites, or any medium that provides sufficient contrast for the code to be recognized 

by a smartphone reader. When an individual scans the QR code using a smartphone with a camera 

and reader app, the smartphone instantly displays content such as a website (via a URL), contact 

information, a text message, or a video (via a URL).

f. Soliciting Public Feedback

The NRC routinely solicits, receives, and responds to feedback on its public website through the 

following targeted mechanisms to inform incremental site improvements and redesigns:

First, the Index of All Contact Pages lists more than 60 electronic forms that site visitors 

can use to send questions, comments, criticisms, and ideas to the NRC staff in specific 

subject areas.

Second, the NRC Blog is an easy-to-use citizen-engagement tool that enables site 

visitors to share ideas with the NRC in a moderated forum. It also serves as a vehicle for 

informing, explaining, and clarifying the actions, roles, and responsibilities of the NRC, 

raising awareness about the agency and its mission.

Finally, the NRC uses a Web measurement survey to enable site visitors to share 

feedback about their experience with the site in a manner consistent with the American 

Customer Satisfaction Index. This standardized approach allows the NRC’s site 

performance to be objectively compared to that of other Federal agencies and private 

industry. The NRC uses this feedback to assess and inform continuous incremental 

improvements. Toward that end, an independent third-party provider administers the 

survey in accordance with the Office of Management and Budget (OMB) Guidance for

Measuring Customer Satisfaction, and the survey instrument displays the current OMB 

control number. The NRC’s public website also displays a notice to inform site visitors 

about the survey and explain how it will collect and use the data.
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The Web measurement survey is offered randomly so that results can be generalized to the 

overall population of site visitors. Site visitors who choose not to participate may opt out 

simply by closing the dialog box in which the survey invitation appears. Completing the 

survey is entirely voluntary, and site visitors who opt out of completing the survey are still 

able to access all information services offered on the site.

The survey asks site visitors to rate their experiences on the site for ease of navigation, lookand-feel of the design, ability to find what they are looking for, overall satisfaction with the 

site, and whether they would return or recommend the site to others. The survey 

sometimes asks additional descriptive questions to gain a better understanding of

the interests and needs of site visitors. Site ratings are aggregated for analysis and 

reporting purposes and retained in the aggregate to facilitate tracking of changes and 

improvements over time.

In addition to these targeted feedback mechanisms, the NRC goes to great lengths to solicit 

public input as a basis for site redesigns. For example, in preparation for the April 2011 redesign,

the NRC sponsored a 4-month study, which involved 10 focus groups to obtain an understanding

of how the American public perceives the NRC. These included eight in-person sessions 

and two teleconferenced sessions, involving residents living near four U.S. nuclear power plants,

as well as nuclear energy activists. A total of 82 people participated in this study, which resulted

in the Information Experts report entitled ―Gauging Public Perception: External Focus Group 

Findings, Analysis, and Communications Recommendations for the U.S. Nuclear Regulatory 

Commission.‖ Similarly, during Phase 1 of the redesign, the content assessment team analyzed 

the NRC-supplied survey data and usability audit reviews to identify the demographics of site 

users and assess their perceptions of the site’s strengths and weaknesses. The assessment 

team also conducted usability testing with a pool of test subjects representing the spectrum of 

site visitors, and the test results formed the basis for the team’s redesign recommendations.

The NRC actively engages the public in its system for identifying, prioritizing, and posting

appropriate records and high-value datasets. The agency’s public website offers many Contact Us 

pages to encourage public feedback on a variety of mission and program areas. In particular, 

we invite the public to Share Your Ideas about the following aspects of the NRC approach 

to Open Government:

Feedback on the quality of the NRC’s published datasets

Opinions about what additional datasets the NRC should publish 

Suggestions for how the NRC can achieve the following objectives:

– work better with others, both inside and outside the Government 

– solicit feedback from the public 

– improve the availability and quality of information 

– be more innovative and efficient 

Comments on the NRC’s Open Government Plan

In accordance with the Open Government Directive, the NRC will update its Open Government 

Plan in April 2012. To gain stakeholder input, the NRC’s Open Government Advisory Council 

hosted meetings with staff and external stakeholders on November 9 and December 6, 2011, 
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respectively. To allow for maximum participation, the advisory council conducted the external 

stakeholder feedback meeting via Webinar.

5. Describe any other steps taken to increase proactive disclosures at your agency.

In an ongoing effort to improve online content and enhance the public’s experience, the NRC 

has expanded and enhanced its electronic notification capabilities to enable the public and other 

stakeholders to stay up-to-date on NRC news and information. The NRC currently offers

the following services to enable interested parties to subscribe to e-mail updates:

RSS feeds

GovDelivery subscription services

Lyris subscription services

These services create e-mail alerts with headlines, summaries, and links to information about a 

variety of topics of interest to the NRC’s stakeholders. For more information, including a 

description of each of the subscription resources, see the Available E-mail Updates page.

Section IV: Steps Taken to Greater Utilize Technology

A key component of the President's FOIA Memorandum was the direction to "use 

modern technology to inform citizens about what is known and done by their 

Government." In addition to using the internet to make proactive disclosures, agencies 

should also be exploring ways to utilize technology in responding to requests. In 2010 

and 2011, agencies reported widespread use of technology in handling FOIA requests. 

For 2012, the questions have been further refined and now also address different, more 

innovative aspects of technology use.

Electronic receipt of FOIA requests: 

1. Can FOIA requests be made electronically to your agency?

Yes. The NRC currently receives requests electronically via e-mail and facsimile. The e-mail 

address for submitting FOIA requests, FOIA.resource@nrc.gov, appears on the NRC public 

website. The facsimile and telephone numbers for submitting FOIA requests also are available 

on the NRC website.

2. If your agency processes requests on a decentralized basis, do all components of 

your agency receive requests electronically?

The NRC does not have decentralized components receiving FOIA requests. The centralized 

FPS receives all electronic requests.

Online tracking of FOIA requests: 

3. Can a FOIA requester track the status of his/her request electronically? 

No. However, the NRC provides the requester with the name and telephone number of the 

FOIA specialist assigned to the request.
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4. If not, is your agency taking steps to establish this capability?

The NRC is exploring the possibility of obtaining commercial software to allow requesters to 

electronically track their requests.

Use of technology to facilitate processing of requests: 

5. Beyond using technology to redact documents, is your agency taking steps to 

utilize more advanced technology to facilitate overall FOIA efficiency, such as improving 

record search capabilities, utilizing document sharing platforms for consultations and 

referrals, or employing software that can sort and de-duplicate documents?

Yes.

6. If so, describe the technological improvements being made.

In response to the breadth and scope of the requests related to the Japan nuclear disaster—

and the sheer volume of responsive documents—the NRC was able to identify a technical 

solution to significantly reduce the number of e-mails requiring review.

As the estimate of time to complete the entire Japan-related FOIA review process stretched into 

years; the decision was made to purchase the Content Analytics tool available as an optional 

module within the IBM FileNet P8 software, the ADAMS platform. The tool would be used to 

eliminate duplicate e-mails, attachments, and related e-mail threads (―de-duplication‖). Speed 

was of the essence and to quickly get to work, the FOIA de-duplication system was 

implemented off the agency network in a standalone environment in less than 6 weeks. To date 

145,863 requested e-mails have been processed and approximately 43,030 duplicates, or 29.5

percent of the e-mails have been removed.

The new ADAMS Content Analytics solution—based on IBM Content Analytics, Content 

Collector, eDiscovery Manager, and eDiscovery Analyzer software—will support the NRC’s

long-term needs for information management and compliance with Federal law and regulations. 

While common FOIA cases that require minimal content analysis are not likely to benefit from 

these improvements, the planned improvements will enable the agency to quickly ramp up and act 

on requests that require searching large volumes of content. Historically, these large volume 

requests are received from such diverse sources as members of Congress, parties in hearings, 

researchers looking for common themes in material, and those interested in events such as the 

one in Japan and the 2011 earthquake centered near the North Anna power station in central 

Virginia. The enhancements will improve the agency’s ability to identify and gather potentially 

applicable material, focus its reviews on common themes, workflow material through automated 

processes, and other features that are available with the implementation of a modernized content 

management suite.

Section V: Steps Taken to Improve Timeliness in 

Responding to Requests and Reduce Backlogs

The President and the Attorney General have emphasized the importance of 

improving timeliness in responding to requests. This section addresses both time limits 

and backlog reduction. Backlog reduction is measured both in terms of numbers of 

backlogged requests or appeals and by looking at whether agencies closed their ten 
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oldest requests and appeals. For the figures required in this Section, please use those 

contained in the specified sections of your agency’s 2011 Annual FOIA Report.

1. Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests –

Response Time for All Processed Requests,” includes figures that show your agency's 

average response times for processed requests. For agencies utilizing a multi-track 

system to process requests, there is a category for “simple” requests, which are those 

requests that are placed in the agency’s fastest (non-expedited) track, based on the low 

volume and/or simplicity of the records requested. If your agency does not utilize a 

separate track for processing simple requests, answer the question below using the 

figure provided in your report for your non-expedited requests. 

a. Does your agency utilize a separate track for simple requests? 

Yes. The NRC uses separate tracks for simple requests and complex requests.

b. If so, for your agency overall, for Fiscal Year 2011, was the average number of 

days to process simple requests twenty working days or fewer? 

Yes. For FY 2011, the average number of days to process simple requests was 11. 

c. If your agency does not track simple requests separately, was the average number 

of days to process non-expedited requests twenty working days or fewer? 

Not applicable. The NRC tracks simple requests separately.

2. Sections XII.D.(2) and XII.E.(2) of your agency’s Annual FOIA Report, entitled 

“Comparison of Numbers of Requests/Appeals from Previous and Current Annual Report 

– Backlogged Requests/Appeals,” show the numbers of any backlog of pending requests 

or pending appeals from Fiscal Year 2011 as compared to Fiscal Year 2010. You should 

refer to those numbers when completing this section of your Chief FOIA Officer Report. 

In addition, Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” 

and Section VI.C.(5), entitled “Ten Oldest Pending Administrative Appeals,” from both 

Fiscal Year 2010 and Fiscal Year 2011 should be used for this section. 

a. If your agency had a backlog of requests at the close of Fiscal Year 2011, did that 

backlog decrease as compared with Fiscal Year 2010? 

No. In FY 2011, the NRC had an increase in its backlog of requests as compared to FY 2010. 

In FY 2011, the number of backlogged requests was 44, compared to 6 in FY 2010.

b. If your agency had a backlog of administrative appeals in Fiscal Year 2011, did 

that backlog decrease as compared to Fiscal Year 2010? 

The backlog of administrative appeals decreased in FY 2011 as compared to FY 2010. In 

FY 2011, the number of backlogged administrative appeals was 0, compared to 1 in FY 2010.

c. In Fiscal Year 2011, did your agency close the ten oldest requests that were 

pending as of the end of Fiscal Year 2010? 
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Yes. In FY 2011, the NRC closed the 10 oldest requests that were pending as of the end of 

FY 2010.

d. In Fiscal Year 2011, did your agency close the ten oldest administrative appeals 

that were pending as of the end of Fiscal Year 2010? 

Yes. In FY 2011, the NRC closed the only administrative appeal that was pending as of the end 

of FY 2010.

3. If you answered “no” to any of the above questions, describe why that has 

occurred. In doing so, answer the following questions then include any additional 

explanation: 

Request Backlog: 

a. Was the lack of a reduction in the request backlog a result of an increase in the 

number of incoming requests? 

Yes. The lack of reduction in the request backlog was partially a result of an increase in the 

number of incoming requests. In FY 2011 the NRC received 365 requests, compared to 342 in 

FY 2010. 

b. Was the lack of a reduction in the request backlog caused by a loss of staff? 

Yes. The lack of a reduction in the request backlog was partially caused by a loss of staff. 

During FY 2011, the NRC lost two very experienced FOIA specialists to retirement. This 

amounted to a 28 percent reduction in full time equivalent FOIA staff. Additionally, as a result of 

the unforeseen circumstances in Japan and the resulting diversion of FOIA specialist resources 

to address the Japan-related FOIA requests—several of which had been granted expedited 

processing—the number of FOIA staff dedicated to processing non-Japan-related requests was 

further reduced, leading to an increased backlog of non-Japan-related requests.

c. Was the lack of a reduction in the request backlog caused by an increase in the 

complexity of the requests received? 

Yes. As the NRC has proactively released information that is non-sensitive, the ratio of FOIA 

requests for sensitive information to those for non-sensitive information has increased, resulting 

in a larger proportion of requests for complex information such as investigations and 

enforcement actions. 

d. What other causes, if any, contributed to the lack of a decrease in the request 

backlog? 

The FPS lost its very experienced administrative support contractor during this reporting period. 

The first replacement did not work out; as a result, the FPS had to repeat the training for the 

second replacement. The loss of the experienced assistant and the training time required to 

train two new ones affected processing times because one of the contractor’s primary duties is 

to scan responsive documents into the case tracking and redaction system.

Administrative Appeal Backlog: 
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a. Was the lack of a reduction in the backlog of administrative appeals a result of an 

increase in the number of incoming appeals? 

Not applicable.

b. Was the lack of a reduction in the appeal backlog caused by a loss of staff? 

Not applicable.

c. Was the lack of a reduction in the appeal backlog caused by an increase in the 

complexity of the appeals received? 

Not applicable.

d. What other causes, if any, contributed to the lack of a decrease in the appeal 

backlog? 

Not applicable.

All agencies should strive to both reduce any existing backlogs or requests and 

appeals and to improve their timeliness in responding to requests and appeals. Describe 

the steps your agency is taking to make improvements in those areas. In doing so, 

answer the following questions and then also include any other steps being taken to 

reduce backlogs and to improve timeliness. 

1. Does your agency routinely set goals and monitor the progress of your FOIA 

caseload?

Yes. The NRC established two performance measures for FOIA processing that senior 

managers throughout the agency are responsible for meeting. First, the NRC must respond to 

simple FOIA requests within 20 working days 75 percent of the time. The NRC has exceeded 

this goal in each of the last 3 years. Second, the office must provide records to the FPS within 

10 working days 90 percent of the time. The NRC has exceeded this goal in each of the last 4 

years. The NRC posts the performance measures quarterly by offices and regions. If problem 

areas arise, corrective measures are discussed and, if possible, actions are taken to resolve the 

issues. The NRC reviews the performance goals quarterly and annually and provides them to 

the Office of the Executive Director for Operations.

Because of the significant increase in the FOIA workload and understaffing that resulted from 

the Japan crisis, the performance measures for FOIA have been indefinitely curtailed. 

However, the NRC stresses to its staff that this curtailment is not an opportunity to put less 

emphasis on FOIA requests in general, but rather an acknowledgment that the amount of work 

related to the existing requests, in addition to those still being received, has affected the NRC’s 

ability to respond to them in its usual highly efficient manner. It should be noted that even 

though the measures were curtailed for FY 2011, the NRC continued to exceed the two 

performance measures. The NRC is closely monitoring the FOIA workload and the measures 

will be reinstated as soon as is reasonably possible. 

2. Has your agency increased its FOIA staffing? 
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Yes. Because of the increased workload after the crisis in Japan, the NRC increased the 

number of contract FOIA specialists. However, the acquisition of additional contractors took 

several months and three additional contractors are still awaiting security clearances so they 

can begin work. The FPS has not been able to replace the very experienced FOIA specialists 

who retired.

3. Has your agency made IT improvements to increase timeliness?

Yes. As stated in Section IV, question 6, the NRC acquired software that enabled deduping of 

145,863 e-mails, resulting in the elimination of 43,030 duplicates. The elimination of these 

duplicates negated the need to review them, thereby contributing to improved timeliness. 

Additionally, the NRC purchased seat licenses for the electronic redaction capability for its new 

contractor staff to electronically redact sensitive information, thereby improving their processing 

times. 

4. If your agency receives consultations from other agencies, has your agency taken 

steps to improve the efficiency of the handling of such consultations, such as utilizing IT 

to share the documents, or establishing guidelines or agreements with other agencies on 

the handling of particular information to speed up or eliminate the need for 

consultations?

Yes. For Japan-related FOIAs, the NRC’s OGC contacted several agencies and received 

written release agreements for specific types of records authored by the National 

Oceanographic and Atmospheric Administration and the U.S. Department of Energy.

Use of FOIA’s Law Enforcement “Exclusions”

In order to increase transparency regarding the use of the FOIA’s statutory law 

enforcement exclusions, which authorize agencies under certain exceptional 

circumstances to “treat the records as not subject to the requirements of [the FOIA],” 

5 U.S.C. § 552(c)(1), (2), (3), please answer the following questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2011? 

No. The NRC did not invoke a statutory exclusion during FY 2011.

2. If so, what is the total number of times exclusions were invoked? 

Not applicable.

Spotlight on Success

Out of all the activities undertaken by your agency since March 2011 to increase 

transparency and improve FOIA administration, describe here one success story that 

you would like to highlight as emblematic of your agency’s efforts.

As of December 5, 2011, the NRC has received 34 FOIA requests and one consultation request 

from another Federal agency relating to the Japan emergency that occurred on March 11, 2011. 

The NRC is responding to most of the Japan FOIAs globally, rather than through the usual 

case-by-case process; that is, NRC staff is posting the responses and released records on a 
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special section of the NRC’s FOIA website at http://www.nrc.gov/reading-rm/foia/japan-foiainfo/2011 (2011) and http://www.nrc.gov/reading-rm/foia/japan-foia-info/2012 (2012). The NRC

appointed a special FOIA/PA Officer for Japan-Related FOIAs and established a FOIA response 

Task Force for the Japan FOIA’s consisting of SME’s from NRC offices to review all records 

subject to the requests and make release determinations. The NRC also purchased an 

eDiscovery manager tool to eliminate duplicate e-mails and their attachments.