Source: https://www.federalregister.gov/documents/2005/06/14/05-11714/public-records
Timestamp: 2018-02-21 02:08:43
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A Rule by the Nuclear Regulatory Commission on 06/14/2005
34303-34310 (8 pages)
https://www.federalregister.gov/d/05-11714 https://www.federalregister.gov/d/05-11714
Carol Ann Reed, Freedom of Information Act and Privacy Act Officer, Information and Records Services Division, Office of Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; Telephone: (301) 415-7169; Internet: FOIA@nrc.gov.
The Freedom of Information Act (FOIA) grants individuals the right to seek access to agency records and the right to appeal an initial agency denial of access to the requested records. The Privacy Act (PA) allows an individual to request records filed under his or her name, or personal identifier, and to appeal a denial of access to the records.
On April 27, 2004 (69 FR 22737), a notice of proposed rulemaking to amend 10 CFR part 9, subpart A, Freedom of Information Act Regulations, and subpart B, Privacy Act Regulations was published with a request for public comment by July 12, 2004.
The final rule amends several provisions. In January 2001, the Commission announced a reorganization that directed the Chief Information Officer (CIO) to report to the Executive Director for Operations (EDO). To conform with this reporting relationship, the appellate authority, previously delegated to the Secretary of the Commission to serve as the appellate official for denials of requests for FOIA fee waivers and requests for expedited processing of FOIA CArequests, has been reassigned to the EDO or a Deputy EDO. Also, the Executive Assistant to the Secretary of the Commission has been designated the initial denying official for records located in the Office of the Commissioners, Office of the Secretary, and with Advisory Committees because the Assistant Secretary position was abolished.
This final rule establishes agency procedures for predisclosure notification to submitters of confidential financial and commercial information.
The final rule also updates provisions relating to the location of publicly available NRC records, deletes the reference to the Chief Information Officer designating the FOIA/PA Officer, and makes several clarifications: where to send requests and appeals; how to establish an account with the PDR reproduction contractor; how to obtain access to copyrighted information; applicability of the independent determination made by the FOIA/PA Officer; and that failure of a requester to pay FOIA fees billed by another Federal agency may be a basis for not processing a request. The final rule makes several changes in the PA regulations. Reference to a specific Executive Order number that establishes criteria for classifying information has been deleted. A uniform approach for referral of PA records under the control of another Federal agency has been established. The final rule also removes the PA fee waiver provision because it is not needed. Readers are referred to the NRC Web site to find the particular exemptions applicable to a specific PA System of Records.
The NRC received comments from one individual and three organizations. The individual's comment related to nuclear weapons and was not within the scope of this rule. The other comments relate to § 9.28, a new provision that implements Executive Order 12600, issued June 23, 1987, and requires agencies to implement, by regulation, procedures for predisclosure notification to submitters of confidential business and financial information.
One commenter suggested that the notice of opportunity to object to NRC's initial disclosure determination provided in § 9.28(a) should specify the grounds on which the agency based its determination. Often, NRC's initial determination does provide the basis for its determination. However, in some cases, the reason NRC gives initial notice is that the agency does not have an adequate record to make a determination. In many of these cases documents marked or believed to contain trade secrets or confidential commercial or financial information have been in NRC files for many years, thus the basis for continued withholding from public disclosure may no longer be applicable. In these cases, NRC's initial notice often seeks additional information on which to base a determination. Language has been added to § 9.28(a) to clarify that some initial notices are for the purpose of obtaining information to support an agency determination.
Several commenters raised concerns regarding the time allowed for submitters to respond to NRC notices. Several requested that extensions be allowed. In response to these comments, § 9.28(b) has been changed to allow 30 calendar days to respond to the NRC notice, rather than the 15 days allowed in the proposed rule. Also, § 9.28(c)(3) has been changed to state that, should NRC deny the submitter's request for nondisclosure and decide to disclose the information, the disclosure date set by NRC would be 30 calendar days from Start Printed Page 34304the NRC's notice to the submitter, subject to a determination by the Commission that a shorter period of time to respond is necessary in a particular instance. The proposed rule stated it would be a “reasonable period of time.”
Several commenters raised issues relating to withdrawal of information when NRC disagreed with a submitter's claim that the information was a trade secret or confidential commercial or financial information or was voluntarily submitted, and to eliminate the balancing provision in 10 CFR 2.390. These suggestions have not been adopted. These same comments were received by the Commission in response to a proposed rule amending the predecessor to 10 CFR 2.390, 10 CFR 2.790 issued November 23, 1992 (57 FR 61013). The agency thoroughly discussed its reasons for rejecting these suggestions in its response to comments to a revised proposed rule (66 FR 52721; October 17, 2001) and its publication of the final rule (68 FR 18836; April 17, 2003).
A commenter suggested that § 9.28(b) be changed to ensure that the NRC considers information furnished after the NRC-imposed deadline, but before NRC makes a final determination, if practicable. The agency does not believe this change is necessary. Section 9.28(b), the provision that allows the NRC FOIA/PA Officer to grant extensions, gives an adequate opportunity for the submitter to submit information after the initial response date and have it considered by the NRC.
Another commenter suggested that the agency provide an appeal provision if the agency decides to release information a submitter claims to be trade secrets or confidential commercial or financial information. The NRC does not believe that an appeal provision is necessary because § 9.28(c)(3) states that, should NRC deny the submitter's request for nondisclosure and decide to disclose the information, the disclosure date set by NRC would be 30 calendar days from the NRC's notice to the submitter, unless the Commission determines that a shorter period of time to respond is necessary. However, the Commission would give the submitter sufficient time to seek judicial review if the submitter objected to the NRC's final decision.
Finally, a commenter suggested establishing a standard for determining when voluntarily submitted information is proprietary. This suggestion was not adopted because § 9.28 deals only with procedural provisions by which submitters of trade secrets or confidential commercial or financial information are given notice of agency determinations regarding this information once it has become subject to a FOIA request, and the submitters' rights with respect to agency determinations.
Section 9.8 includes a new § 9.28 in the list of sections that contain an information collection requirement that appears in paragraph (b).
Section 9.13 deletes the reference to the Chief Information Officer designating the FOIA/PA Officer.
Section 9.21(c)(5) reflects that an index to records made public in response to a FOIA request that are likely to become the subject of subsequent FOIA requests is publicly available at the NRC Web site. Section 552(a)(2)(E) of the FOIA requires that NRC make public an index to records made public in response to FOIA requests that are likely to become the subject of subsequent FOIA requests for substantially the same records.
Section 9.21(c)(6) addresses the requirement that the agency publish a statement in the Federal Register determining that publication of an index quarterly or more frequently is unnecessary. This section states that it is unnecessary to continue publishing the monthly index because members of the public may create their own indexes to records, including those in the categories required to be made public by 5 U.S.C. 552(a)(2), by using the search features in ADAMS. Section 5 U.S.C. 552(a)(2)(E) requires that the agency maintain and make available for public inspection and copying current indexes for records that 5 U.S.C. 552(a)(2) (A), (B), (C), and (D) require be made public and publish that index quarterly or more frequently, unless determined by order published in the Federal Register, that the publication would be unnecessary or impracticable. To meet this requirement, before making ADAMS publicly accessible, the NRC published “Documents Made Publicly Available” (NUREG-0540) on a monthly basis. With the public's ability to create their own indexes using ADAMS, the NRC determined that publication of the monthly index was no longer necessary.
Section 9.23 clarifies how a person may open an account with the NRC PDR reproduction contractor and states that payment is made directly to the PDR reproduction contractor. Also, § 9.23 clarifies that a request is not considered received under the FOIA until the date it is actually received by the Freedom of Information Act and Privacy Act Officer (FOIA/PA Officer).
Section 9.25(g) is renumbered and reorganized so that the responsibility of each denying official is described in separate paragraphs. Section 9.25(g)(2) reflects that the Executive Assistant to the Secretary of the Commission makes the initial determination to deny agency records in whole or in part under § 9.17(a) instead of the Assistant Secretary of the Commission. In addition, the Executive Assistant to the Secretary of the Commission is designated as the denying official for records for which an Advisory Committee has responsibility. Section 9.25(h) clarifies that the independent determination by the FOIA/PA Officer applies to records other than those records for which the initial disclosure determination is made by the Executive Assistant to the Secretary of the Commission, the General Counsel, or the Assistant Inspector General for Investigations.
Section 9.27(a) indicates that non-sensitive records disclosed in response to FOIA requests are made publicly available through the ADAMS.
Section 9.28 is added to establish procedures for predisclosure notification to submitters of confidential business and financial information. This implements the requirement of Executive Order 12600, that directs agencies to establish these procedures by regulation.
Section 9.29 is renumbered and reorganized so that each type of appeal or appellate official's responsibility is described in separate paragraphs. As a result of a reorganization, § 9.29(c) reflects that an appeal of a denial of a request for a waiver or reduction of fees, or denial of a request for expedited processing, is appealed to the EDO rather than to the Secretary of the Commission. Section 9.29(c) also reflects that the Executive Assistant to the Secretary of the Commission makes the initial determination to deny agency records in whole or in part under § 9.17(a) instead of the Assistant Secretary of the Commission. Also, an appeal continues to be directed to the appropriate appellate official, but is sent to the FOIA/PA Officer rather than to the appellate official to ensure that appeals directed to the EDO, Secretary of the Commission, and Inspector General are uniformly tracked.
Section 9.35(d) states that if a copyrighted publication is responsive to a FOIA request, the requester will be informed of the citation to the copyrighted publication and advised to contact the NRC's PDR to arrange to view the publication. This emphasizes the responsibility of the requester to Start Printed Page 34305make arrangements with the PDR staff to view a copyrighted publication.
Section 9.40(f) states that failure to pay applicable fees billed by another agency for a previous FOIA request is a basis for not processing a new request received from the same requester. This conforms NRC regulations to past NRC and government-wide practice.
As a result of a reorganization, § 9.43(d) reflects that an appeal of a denial of a request for a waiver or reduction of fees, or denial of a request for expedited processing, is appealed to the EDO rather than to the Secretary of the Commission.
Section 9.53(b) clarifies that a request is not considered received under the PA until the date it is actually received by the FOIA/PA Officer.
In § 9.54(a)(1) the term “photocopy” was changed to “copy” to ensure that copies made by any type of technology will be acceptable documentation.
Section 9.61(c)(1) eliminates the reference to a specific Executive Order number and states that the exempted information is information classified under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy. This is consistent with the statutory language that does not refer to a specific Executive Order number. Also, the reference to § 9.95 was deleted because changes to that section would delete references to specific exemptions.
Section 9.62 establishes a uniform approach for dealing with requests for PA records under control of another Government agency by indicating that the requester will be provided the name of the controlling agency, if known.
Sections 9.65 and 9.67 clarify that appeals of denials of access and Statements of Disagreement under the PA will continue to be directed to the appropriate appellate official, but are sent to the FOIA/PA Officer rather than to the appellate official to ensure that appeals directed to the EDO and to the Inspector General are uniformly tracked. Also §§ 9.65, 9.66, and 9.67 state that a PA appeal is not deemed received until it is actually received by the FOIA/PA Officer. Sections 9.65, 9.66, and 9.67 state that calendar days are used to calculate the time within which an appeal of denial of access to a record in a PA System of Records must be made and within which a Statement of Disagreement must be submitted.
Section 9.85 removes the PA fee waiver provision because it is not needed. The agency's practice is to provide a free copy of the information to the requester. It also notes that fees may be charged where the information is disclosed from PA Systems of Records under the FOIA. This normally occurs because an entire system of records containing criminal law enforcement records is exempt from being accessed under the PA exemption (j)(2). Thus, a request for records from such a system is processed under the FOIA, and the FOIA fee standards apply.
Section 9.95 indicates that specific exemptions applicable to each PA System of Record is found in the PA notice published biannually in the Federal Register and a current version is available at the NRC Web site, http://www.nrc.gov. This avoids the need to revise NRC regulations each time a change is made to an exemption section of a PA notice for a PA System of Record, and ensures that those who need this information will be able to obtain the most current information, with greater ease, from the NRC Web site.
The National Technology and Transfer Act of 1995 (Act), Pub. L. 104-113, requires that Federal agencies use technical standards that are developed or adopted by voluntary consensus standards bodies unless the use of such a standard is inconsistent with the applicable law or otherwise impractical. This rule reflects changes in officials who initially deny access to records or deny access to records whose initial denial has been appealed, and makes a change in an appellate official due to a reorganization. The rule establishes NRC procedures to give predisclosure notification to submitters of confidential business or commercial information, and makes a number of additional clarifying and conforming amendments. For these reasons, the Commission concludes that the Act does not apply to this rule.
The NRC has determined that this regulation is the type of action described in categorical exclusion 10 CFR 51.22(c)(1). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this final rule.
This final rule contains new or amended information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These requirements were approved by the Office of Management and Budget, approval number 3150-0043.
The burden to the public for these information collections is estimated to average 10 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the information collection. Send comments on any aspect of these information collections, including suggestions for reducing the burden, to the Records and FOIA/Privacy Services Branch (T-5 F53), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by Internet electronic mail to INFOCOLLECTS@NRC.GOV; and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202 (3150-0043), Office of Management and Budget, Washington, DC 20503.
A regulatory analysis has not been prepared for this rule because this rule is administrative in that it amends the regulations to reflect the current NRC organization and current responsibilities of NRC officials for denying access to requests for information and other requests made under the FOIA or PA. These amendments are considered minor, non-substantive amendments and will not have an economic impact on NRC licensees or the public.
In accordance with the Regulatory Flexibility Act of 1980 (5 U.S.C. 605(b)), the NRC certifies that this rule will not have a significant economic impact on a substantial number of small entities. This rule will affect those who make requests for access to information under the provisions of the FOIA and PA. These are considered minor, non-substantive amendments and will not have an economic impact on NRC licensees or the public.
The NRC has determined that the backfit rule does not apply to this rule because this amendment does not involve any provisions that would impose backfits as defined. Therefore, a backfit analysis is not required. Start Printed Page 34306
Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 1704; 112 stat. 2750 (44 U.S.C. 3504 note).
2. In § 9.8, paragraph (b) is revised to read as follows:
(b) The approved information collection requirements contained in this part appear in §§ 9.23, 9.25, 9.28, 9.29, 9.40, 9.41, 9.53, 9.54, 9.55, 9.65, 9.66, and 9.67.
3. In § 9.13, the definition of the
4. In § 9.21, paragraphs (c)(5) and (6) are revised to read as follows:
5. In § 9.23, paragraph (a)(1)(ii) and the introductory text of paragraph (b) are revised to read as follows:
6. In § 9.25, paragraphs (g) and (h) are revised to read as follows:
(h) Initial disclosure determinations on requests for records other than those for which the initial disclosure determination is made by the Assistant Inspector General for Investigations, the Executive Assistant to the Secretary of the Commission, or the General Counsel. If, as a result of the review specified in paragraph (f) of this section, the head of the responsible office finds that agency records other than those described in paragraph (g) of this section, that are originated by, or for which the office has primary Start Printed Page 34307responsibility, should be denied in whole or in part, the head of the office will submit that finding to the Freedom of Information Act and Privacy Act Officer, who will, in consultation with the Office of the General Counsel, make an independent determination whether the agency records should be denied in whole or in part. If the Freedom of Information Act and Privacy Act Officer determines that the agency records sought are exempt from disclosure and disclosure of the records is contrary to the public interest and will adversely affect the rights of any person, the Freedom of Information Act and Privacy Act Officer will notify the requester of the determination in the manner provided in § 9.27.
7. In § 9.27, paragraph (a) is revised to read as follows:
(a) When the NRC has located a requested agency record and has determined to disclose the agency record, the Freedom of Information Act and Privacy Act Officer will promptly furnish the agency record or notify the requester where and when the agency record will be available for inspection and copying. The NRC will also advise the requester of any applicable fees under §§ 9.35 and 9.37. The NRC will routinely make copies of non-sensitive records disclosed in response to Freedom of Information Act requests publicly available through the Agencywide Document Access and Management System (ADAMS) located in the NRC's Electronic Reading Room that can be accessed via the NRC Web site at http://www.nrc.gov/​NRC/​reading-rm/​adams.html. Records that contain information personal to the requester, involve matters that are not likely to be of public interest to anyone other than the requester or contain privileged or confidential information that should only be disclosed to the requester will not be made publicly available on the NRC Web site.
8. A new § 9.28 is added to read as follows:
9. Section 9.29 is revised to read as follows:
(b) For agency records to which access is denied by the Assistant Inspector General for Investigations, the appeal must be in writing directed to the Inspector General and sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6. The appeal should clearly state on the envelope and in the letter that it is an “Appeal from Initial Freedom of Information Act Decision.” The NRC does not consider an appeal received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. The Inspector General will make the NRC determination on the appeal within 20 working days after the receipt of the appeal. If the Inspector General denies an appeal of access to records, in whole or in part, the Inspector General will notify the requester of the denial, explaining the exemptions relied upon and how the exemptions apply to the agency records withheld. The notice will inform the requester that the denial is a final agency action and that judicial review is available in a district court of the United States in the district in which the requester resides or has a principal place of business, in which the agency records are situated, or in the District of Columbia.
(c) For agency records to which access is denied by the Executive Assistant to the Secretary of the Commission, the General Counsel, or an office director Start Printed Page 34308reporting to the Commission, the appeal must be in writing directed to the Secretary of the Commission and sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6. The appeal should clearly state on the envelope and in the letter that it is an “Appeal from Initial Freedom of Information Act Decision.” The NRC does not consider an appeal received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. The Secretary of the Commission will make the NRC determination on the appeal within 20 working days after the receipt of the appeal. If the Secretary of the Commission denies an appeal of access to records, in whole or in part, the Secretary of the Commission will notify the requester of the denial, explaining the exemptions relied upon and how the exemptions apply to the agency records withheld. The notice will inform the requester that the denial is a final agency action and that judicial review is available in a district court of the United States in the district in which the requester resides or has a principal place of business, in which the agency records are situated, or in the District of Columbia.
(d) For agency records to which access is denied by agency officials other than the Assistant Inspector General for Investigations, the Executive Assistant to the Secretary of the Commission, the General Counsel, or other office director reporting to the Commission, the appeal must be in writing directed to the Executive Director for Operations and sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6. The appeal should clearly state on the envelope and in the letter that it is an “Appeal from Initial FOIA Decision.” The NRC does not consider an appeal received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer. The Executive Director for Operations or a Deputy Executive Director will make the NRC determination on the appeal within 20 working days after the receipt of the appeal. If the Executive Director for Operations or a Deputy Executive Director denies an appeal of access to records, in whole or in part, the Executive Director for Operations or a Deputy Executive Director, will notify the requester of the denial, explaining the exemptions relied upon and how the exemptions apply to the agency records withheld. The notice will inform the requester that the denial is a final agency action and that judicial review is available in a district court of the United States in the district in which the requester resides or has a principal place of business, in which the agency records are situated, or in the District of Columbia.
10. In § 9.35, paragraph (d) is revised to read as follows:
11. In § 9.40, paragraph (f) is revised to read as follows:
12. In § 9.43, paragraph (d) is revised to read as follows:
13. In § 9.53, paragraph (b) is revised to read as follows:
(b) All written requests must be made to the Freedom of Information Act and Privacy Act Officer, U.S. Nuclear Regulatory Commission, and sent by an appropriate method listed in § 9.6, and should clearly state on the envelope and Start Printed Page 34309in the letter, as appropriate: “Privacy Act Request,” “Privacy Act Disclosure Accounting Request,” “Privacy Act Correction Request.” The NRC does not consider a request received until the date it is actually received by the Freedom of Information Act and Privacy Act Officer.
14. In § 9.54 paragraph (a)(1) is revised as follows:
15. In § 9.61 the introductory text of paragraph (c), the introductory text of paragraph (c)(1), and paragraph (c)(1)(i) are revised to read as follows:
16. Section 9.62 is revised to read as follows:
17. In § 9.65, paragraph (b) is revised to read as follows:
18. In § 9.66, paragraph (b) is revised to read as follows:
19. In § 9.67, paragraph (a) is revised to read as follows:
(a) Written “Statements of Disagreement” may be furnished by the individual within 30 calendar days of the date of receipt of the final adverse determination of the Inspector General or the Executive Director for Operations. “Statements of Disagreement” directed to the Executive Director for Operations must be sent to the Freedom of Information Act and Privacy Act Officer by an appropriate method listed in § 9.6, and should be clearly marked on the statement and on the envelope, “Privacy Act Statement of Disagreement.” “Statements of Disagreement” directed to the Inspector General must be sent to the Freedom of Information Act and Privacy Officer by an appropriate method listed in § 9.6, and should be clearly marked on the statement and on the envelope “Privacy Act Statement of Disagreement”.
20. Section 9.85 is revised to read as follows:
Fees shall not be charged for search or review of records requested under this subpart or for making copies or extracts of records to make them available for review, although fees may be charged for additional copies. Fees established under 31 U.S.C. 483c and 5 U.S.C. 552a(f)(5) shall be charged according to the schedule contained in § 9.35 for actual copies of records disclosed under the Freedom of Information Act from Privacy Act Systems of Records.
21. Section 9.95 is revised to read as follows:
[FR Doc. 05-11714 Filed 6-13-05; 8:45 am]