vide copies of such indexes on request at a cost not to exceed the direct cost of reproduction as provided in § 9.14.

[40 FR 7894, Feb. 24, 1975]

§ 9.8 Requests for records.

(a) Copies of records may be requested in person at the NRC Public Document Room, 1717 H Street, NW., Washington, D.C. Written requests for copies of records shall be addressed to the Director, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. The request should clearly state on the envelope and in the letter that it is a "Freedom of Information Act request.” A request that is not so marked will be deemed not to have been received by the NRC until it is actually received by the Director, Office of Administration.

(b) All requests for copies of records must reasonably describe the record sought in sufficient detail to permit the identification of the requested record. Where possible, specific information regarding dates, titles, docket numbers, file designations, and other information which may help identify the records should be supplied by the requester. If a request does not reasonably describe the record sought in sufficient detail to permit its identification, the requester will be so informed by the Director, Office of Administration, or his designee, within 10 working days after receipt of the request and requested to submit additional information regarding the request or to meet with appropriate NRC personnel in order to clarify the request. Requests for Waiver or reduction of fees shall be made in accordance with § 9.14a, waiver or reduction of fees, and shall be processed in accordance with § 9.14b, Processing of requests for a waiver or reduction of fees.

(c) If the record for which a request is made has been reasonably described pursuant to paragraph (b) of this section and is available in the NRC Public Document Room, the requester will be informed within 10 working days after receipt of the request by the Director, Office of Administration, or his designee, of the time and place where the record will be made available, and the estimated cost for furnishing copies of the record. In order

to obtain copies of records in the most expeditious manner, a person may request copies of records in person at the NRC Public Document Room, or may open an account at the Public Document Room with the private firm contractually responsible for reproducing copies of NRC records.

(d) Requested records which have been reasonably described pursuant to paragraph (b) of this section but which are located at places other than the NRC Public Document Room or NRC headquarters may, at the discretion of the NRC, be made available for inspection and copying at such other locations within 10 working days after receipt of the request. For example, contracting officers may authorize an NRC contractor to disclose records in its possession at the contractor's facility or, if the record is in the possession of a subcontractor, at a subcontractor's facility. To the extent applicable, the charges specified in § 9.14 for locating and reproducing copies of records shall be applied to records made available pursuant to this paragraph.

(e) A request for a record which is not available in the NRC Public Document Room shall be promptly forwarded by the Director, Office of Administration, or his designee, to the head of the office primarily concerned with the records requested. The Director, Office of Administration, or his designee will maintain, and the Executive Legal Director or his designee will be furnished, a copy of each request referred to another office, together with the following information: (1) the date the request was received; (2) the office to which it was referred; and (3) the date on which it was referred.

[40 FR 7895, Feb. 24, 1975, as amended at 41 FR 20645, May 20, 1976; 44 FR 16001, Mar. 16. 1979]

$9.9 Initial determination.

(a) If, after consultation with the Executive Legal Director or his designee, the head of the office to which a request has been referred finds that the record sought is exempt from production or disclosure, but that its production or disclosure is not contrary to the public interest and will not adversely affect the rights of any person,

the head of the responsible office will authorize the production or disclosure of the record, and will notify the requester within 10 working days after receipt of the request that the records will be promptly made available.

(b) Except as provided in § 9.15, if the head of the office to which a request has been referred finds that a request should be denied in whole or in part, he will submit such finding to the Director, Office of Administration, in sufficient time to comply with the time limits set forth in this paragraph for a response by the Director. The Director, Office of Administration, will, after consultation with the Executive Legal Director or his designee, make an independent determination whether to comply with or deny the request. If the Director, Office of Administration, determines that the record sought is exempt from production or disclosure pursuant to § 9.5(a), and its production or disclosure is contrary to the public interest or will adversely affect the rights of any person, the Director, Office of Administration, will notify the requester in the manner provided in § 9.10 within 10 working days after receipt of the request.

(c) The 10 working day period for response to a request for records provided in paragraphs (a) and (b) of this section may be extended for unusual circumstances as provided in § 9.13.

(d) In exceptional circumstances where it does not appear possible to complete action on the request within the maximum 20 working day limit as provided in § 9.13, the Director, Office of Administration may seek an agreement with the requester for a specific extension of time in which to act upon the request. Any such agreement shall be confirmed in writing.

(e) If the head of the office to which a request has been referred or the Director, Office of Administration, does not respond to a request within the 10 working day period, or within such extended period as provided in this Part, the requester may treat such delay as a denial of the request and immediately appeal to the Executive Director for Operations as provided in § 9.11(a) or to a district court as provided in § 9.11(c).

[40 FR 7895, Feb. 24, 1975]

§ 9.10 Form and content of responses.

(a) When a requested record has been identified and is available, the head of the office of which a request has been referred or the Director, Office or Administration, will promptly furnish the record or notify the requester as to where and when the record will be available for inspection and copying. Copies of records disclosed in response to Freedom of Information Act requests will normally be placed in the NRC Public Document Room and, in the case of records relating to nuclear power facility, in the Local Public Document Room established for that facility. The notification will also advise the requester of any applicable fees under § 9.14.

(b) A reply denying a request for a record or denying a request for waiver or reduction of fees filed pursuant to § 9.14a will be in writing signed by the Director, Office of Administration, or his designee, and will include as appropriate:

(1) The reason for the denial;

(2) A reference to the specific exemption under the Freedom of Information Act and the Commission's regulations authorizing the withholding of the record;

(3) The name and title or position of each person responsible for the denial of the request, including the head of the office recommending denial of the request;

(4) A statement as to why the request does not meet the requirements of § 9.14a if the request is for a waiver or reduction of fees; and

(5) A statment that the denial may be appealed within 30 days from the receipt thereof to the Executive Director for Operations.

(c) A copy of each letter granting or denying requested records or denying a request for waiver or reduction of fees will be maintained by or furnished to the Director, Office of Administration, or his designee.

[44 FR 16001, Mar. 16, 1979]

§ 9.11 Appeal from initial determination.

(a) Except as provided in § 9.15, a requester may within 30 days of receipt of a notice of denial of the request for records or denial of a request for

waiver or reduction of fees pursuant to this subpart, appeal such denial to the Executive Director for Operations. The appeal shall be in writing, addressed to the Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, and should clearly state on the envelope and in the letter, that it is an "Appeal from Initial FOIA Decision.” An appeal that is not so marked will be deemed not to have been received by the NRC until it is actually received by the Executive Director for Operations.

(b) Except as provided in § 9.13, the Executive Director for Operations will make a determination with respect to any appeal pursuant to this section within 20 working days after the receipt of such appeal.

(c)(1) If on appeal the denial of the request for records is upheld in whole or in part, the Executive Director for Operations will notify the person making such request of the denial, including the exemption relied upon, an explanation of how the exemption applies to the records withheld, and the reasons for asserting the exemption.

(2) If on appeal the denial of a request for waiver or reduction of fees for locating and reproducing records is upheld in whole or in part, the Executive Director for Operations will notify the person making such request of the denial, including a statement as to why the request does not meet the requirements of § 9.14a.

(3) The requester shall be informed 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 his principal place of business, or in which the agency records are situated, or in the District of Columbia.

(d) Copies of all appeals and written determinations on appeal will be furnished by the Executive Director for Operations, or his designee, to the Director, Office of Administration, or his designee.

[44 FR 16001, Mar. 16, 1979]

§ 9.12 Production or disclosure of exempt

records.

(a) Records of the kind specified in § 9.5(a) shall not be produced or disclosed by NRC personnel, or NRC contractors who have possession of such records, except in accordance with this Part or §§ 2.744 and 2.790 of this chapter.

(b) NRC personnel and NRC contractors from whom a record exempt from disclosure is sought shall follow the procedure specified below:

(1) If an exempt record is sought from NRC personnel, the request or subpoena shall promptly be forwarded to the Director, Office of Administration, who shall process the request as provided in this Part or take such other action as may be appropriate.

(2) If an exempt record is sought from an NRC contractor, the request or subpoena shall promptly be forwarded to the NRC contracting officer administering the contract who will then follow the procedure specified in paragraph (b)(1) of this section.

(3) NRC personnel or NRC contractors who are required by a subpoena to produce or disclose a record of the types included in § 9.5(a) shall appear in response thereto and shall respectfully decline to produce or disclose the record described, basing refusal on this paragraph, unless production or disclosure has been authorized pursuant to this part.

[40 FR 7896, Feb. 24, 1975]

§ 9.13 Extension of time for response.

(a) In unusual circumstances specified in paragraph (b) of this section, the time limits prescribed in § 9.9 or § 9.11 may be extended by not more than 10 working days by written notice to the person making such request, setting forth the reasons for such extension and the date on which a determination is expected to be dispatched.

(b) For purposes of this section, "unusual circumstances" means:

(1) The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request;

(2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or

(3) The need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the NRC having substantial subject-matter interest therein.

(c) Any extension of time limits prescribed in §§ 9.9 and 9.11 may not exceed a combined total of 10 working days per request.

[40 FR 7896, Feb. 24, 1975]

§ 9.14 Charges for production of records.

(a)(1) Charges for the copying of records at the NRC Public Document Room (PDR), 1717 H St. NW., Washington, D.C. by the copying service contractor are as follows:

(i) Five cents per page for paper copy to paper copy, except for engineering drawings and any other records larger than 81⁄2 x 14 inches for which the charge varies between $1.00 to $2.00 per square foot, depending upon size.

(ii) Twenty-four cents per page for microform to paper copy, except for engineering drawings and other records larger than 81⁄2 x 14 inches for which the charge is $3.00 per square foot or $6.00 for a reduced size print (18 x 24 inches).

(iii) Twenty-two cents per microfiche to microfiche.

(iv) Forty cents per aperture card to aperture card.

(v) Charges for records copied by the contractor at the PDR must be paid when the copies are furnished.

(2) Self service, coin operated, copying machines are available at the PDR for the use of the public. Paper to paper is $0.05 per page. Microform to paper is $0.10 per page on the readerprinters.

(3) Mail order requests for contractor copying of NRC records may be made by writing to the PDR.

(i) The charges for mail order reproduction of records are the same as those set out in paragraph (a)(1) of this section, except there is a $2.00

minimum charge for records, plus mailing or shipping charges.

(ii) Each order submitted by mail must contain a statement that the requester is willing to pay the applicable charges. The contractor will include an invoice when it sends the order to the requester. A requester may also open an account with the copying service contractor, Literature Research Company, P.O. Box 1001, Annandale, VA 22003 (703-941-8010).

(b) Requests for copies of records to be reproduced and furnished by the NRC at locations other than the NRC Public Document Room located in Washington, D.C., will be honored at the following charges:

(1) Sizes up to 81⁄2 x 14 inches made on office copying machines-$0.05 per page of copy.

(2) The charge for reproducing records other than those specified above will be computed on the basis of NRC's direct costs.

(3) If a request is for records at locations other than the NRC Public Document Room, a charge of $5.00 per hour will be made for searching for the requested records by clerical or administrative employees and a charge of $12.00 per hour for searching by professional or supervisory employees.

(4) When a computer search is necessary in order to fulfill a request, the computer search charge will be the actual direct cost of the computer search.

(5) Except as otherwise provided in § 9.14a, unless the request specifically states that whatever cost is involved will be acceptable, or acceptable up to a specified limit, the NRC will, for requests involving anticipated costs in excess of the minimum specified in § 9.14a(a), so advise the requester as provided in § 9.14(b), and the request I will not be deemed to have been received until a deposit equal to the estimated costs is received, or the requester has agreed to bear the anticipated costs, or a determination has been made on a request for waiver or reduction of fees. Fees may be required to be paid in full prior to the issuance of the requested records.

(6) Refunds of unused deposits or additional billings will be made to

adjust to the anticipated cost to the actual cost.

(c) In compliance with the Federal Advisory Committee Act, transcripts of testimony in NRC proceedings, which are transcribed by a reporting firm under contract with the NRC, may be purchased directly from the reporting firm at the cost of reproduction as provided for in the contract with the reporting firm, or may be purchased from the NRC at the cost of reproduction as provided in paragraphs (a) and (b) of this section.

(d) Copyrighted material will not be reproduced in violation of the copyright laws.

(e) The Director, Office of Administration, or his designee, or the Executive Director for Operations, on appeals, in accordance with the provisions of § 9.14a, will waive or reduce any fee required by this section upon a determination that waiver or reduction of the fee is in the public interest because furnishing the information can be considered as primarily benefiting the general public.

[44 FR 16002, Mar. 16, 1979, as amended at 45 FR 70225, Oct. 23, 1980]

§ 9.14a Waiver or reduction of fees.1

(a) Fees for searching and reproduction of records at locations other than the NRC Public Document Room shall be waived:

(1) For search fees when the time for the search does not exceed four hours, in the aggregate, for a request or series of related requests;

(2) Where the records are requested by and made available to a Federal, State, or local government, to an intergovernmental agency, or to a foreign government or international agency, and furnishing the records without charge is an appropriate courtesy.

(b) Except as provided in paragraphs (a) and (f) of this section, fees for searching and reproduction of records may be waived only upon request. A person requesting the NRC to waive or reduce search or reproduction fees under this subpart shall, as set forth

'The application requirements contained in §§ 9.14a(c) and 9.14b(d) have been approved by the U.S. General Accounting Office under number B-180225 (R0582).

in § 9.14b(b) provide sufficient factual information to permit NRC to make the determination whether waiver or reduction of the fee is in the public interest because furnishing the information can be considered as primarily benefiting the general public.

(c) In making a request for waiver or reduction of fees, the requester shall provide a statement setting forth the following information to the extent possible:

(1) How the information obtained from the records, or how the conclusions or results from any review or analyses of the records, will be published or otherwise disseminated to the general public;

(2) The size of the public that will be benefited by the disclosure;

(3) The nature, significance and likelihood of any tangible benefit that the public may receive from dissemination of the information;

(4) The financial benefit, if any, the requester will receive from the use of the requested materials;

(5) The ability of the requester to pay for any of the anticipated costs;

(6) How the intended use of the various types of records requested is reasonably likely to:

(i) Result in actions to maintain or enhance the public's health, safety, or the quality of the environment;

(ii) Result in improved regulatory processes;

(iii) Reduce the cost of providing a government service;

(iv) Contribute substantially to public debate on an important policy issue; or

(v) Contribute substantially to matters of historical importance.

(d) Public benefit will not normally result:

(1) When the requested records will be used primarily for the personal benefit of an individual or group rather than the general public;

(2) When the requested records will be used primarily for a commercial purpose or financial benefit;

(3) When the requested records have already been made available, or are being made available in response to the request, for inspection and copying in the NRC Public Document