Room or a Local Public Document Room;

(4) When the requested records will not add appreciably to the information already available to the public in the NRC Public Document Room or a Local Public Document Room;

(5) When the requested records consist primarily of technical data which will only be distributed or made available to the public by the requester without further analyses or comment;

(6) When the costs to the public outweigh any benefit which may accrue to the public.

(e) Based upon the information furnished by the requester in response to paragraph (c) of this section and the criteria set forth in paragraph (d) of this section, and the NRC will determine if waiver or reduction of the fee is in the public interest because furnishing the information can be considered as primarily benefiting the general public. In determining whether to waive fees in whole or in part, the NRC will consider the total estimated search and reproduction costs necessary to comply with the request and the extent to which the requester has carried the burden of making the necessary public interest showing under paragraph (c) of this section.

(f) In the absence of a specific request for waiver or reduction of fees, if the information furnished by the requester is sufficient to meet the requirements of this section for waiver or reduction of fees, NRC may determine that production or disclosure of the requested records can be considered as primarily benefiting the general public.

(g) The NRC will not waive the reproduction costs for documents located or made available in the NRC Public Document Room or a local public document room in the absence of a compelling reason to do so. [44 FR 16002, Mar. 16, 1979]

§ 9.14b Processing of requests for a waiver or reduction of fees.2

(a) Within 10 working days after receipt of a request for access to records

"The application requirements contained in §§ 9.14a (c) and 9.14b (d) have been ap

which does not involve more than four hours of search time, or in which the NRC agrees to waive fees pursuant to § 9.14a (f), the NRC will respond to the request as provided in § 9.9. If the request is expected to require more than four hours of search time to locate the requested records and the NRC has not waived fees under § 9.14a (f), the NRC will notify the requester that fees will be assessed. The notification shall include the estimated cost of search fees and the nature of the search required. Requesters are encouraged to discuss with the NRC the possibility of narrowing the scope of the request while retaining the requester's original objective. The requester will be advised that he may agree to bear the estimated costs, submit a deposit equal to the estimated cost of complying with the request, or submit a request for waiver or reduction of fees pursuant to § 9.14a.

(b) Within 10 working days of the receipt of NRC's notice that fees will be assessed, the requester shall notify NRC in writing that he agrees to bear the estimated costs, submit a deposit equal to the estimated cost of responding to the request or submit a request for waiver or reduction of fees pursuant to § 9.14a. In making a request for waiver or reduction of fees, a requester must provide the information required by § 9.14a (c).

(c) Within 10 working days after receipt of a request for the waiver or reduction of fees made in accordance with § 9.14a, the NRC will waive or reduce the fees and notify the requester of the NRC's intent to promptly provide the records or will deny the request and provide a statement to the requester as to why the request does not meet the requirements of § 9.14a (e).

(d) In those cases where a waiver of fees was requested and denied and the requester has agreed to bear the estimated cost, the requester may within 30 days of receipt of the requested documents resubmit a request for a waiver or reduction of fees if the receipt of documents has materially

proved by the U.S. General Accounting Office under number B-180225 (R0582).

changed the information originally furnished by the requester pursuant to § 9.14a(c).

(e) As provided in §§ 9.11 and 9.15, a denial of a request to waive or reduce fees may be appealed within 30 days to the Executive Director for Operations or to the Commission, as appropriate. [44 FR 16003, Mar. 16, 1979, as amended at 45 FR 9729, Feb. 13, 1980]

§ 9.15 Committees, boards, panels, and offices reporting to the Commission.

re

(a) For boards, panels, and offices reporting directly to the Commission, and the Office of the Executive Legal Director, the initial determination on a request for records or request for waiver or reduction of fees for locating and reproducing such records, quired by § 9.9 shall be made by the head of such board, panel, or office, or his designee, instead of the Director, Office of Administration, and appeal of an adverse determination shall be made to the Commission instead of the Executive Director for Operations.

an

(b) The Advisory Committee Management Officer shall make the initial determination required by § 9.9 on requests for records of advisory committees established pursuant to Part 7 of this chapter, including the Advisory Committee on Reactor Safeguards, or requests for waiver or reduction of fees for locating and reproducing such records, and an appeal of an adverse determination shall be to the Commis

sion.

(c) The head of boards, panels, and offices reporting directly to the Commission, and the Advisory Committee Management Officer for advisory committees established pursuant to Part 7 of this chapter, will make the initial determination required by paragraphs (a) and (b) of this section only after consultation with the Office of the General Counsel

[44 FR 16003, Mar. 16, 1979]

§ 9.16 Annual report to Congress.

(a) On or before March 1 of each calendar year, the Director, Office of Administration, will submit a report covering the preceding calendar year to the Speaker of the House of Repre

sentatives and President of the Senate for referral to the appropriate committees of the Congress. The report will include

(1) The number of determinations made by the NRC not to comply with requests for records made to the NRC under this Part and the reasons for each such determination;

(2) The number of appeals made by persons under § 9.11, the results of such appeals, and the reason for the action upon each appeal that results in a denial of information;

(3) The names and titles or positions of each person responsible for the denial of records requested under this section, and the number of instances of participation for each;

(4) The results of each proceeding conducted pursuant to 5 U.S.C. 552(a)(4)(F), including a report of the disciplinary action taken against the officer or employee who was primarily responsible for improperly withholding records or an explanation of why disciplinary action was not taken;

(5) A copy of every rule made by the NRC regarding this Part;

(6) A copy of the fee schedule and the total amount of fees collected by the NRC for making records available under this Part; and

(7) Such other information as indicates efforts to administer fully the provisions of 5 U.S.C. 552.

(b) A copy of each report to the Congress made pursuant to paragraph (a) of this section will be made available for public inspection and copying in the NRC Public Document Room. [40 FR 7897, Feb. 24, 1975]

Subpart B-Privacy Act Regulations

SOURCE: 40 FR 44484, Sept. 26, 1975, unless otherwise noted.

§ 9.50 Scope of subpart.

This subpart implements the provisions of section 3 of the Privacy Act of 1974, Pub. L. 93-579, 5 U.S.C. 552a, with respect to (a) the procedures by which individuals may determine the existence of, seek access to and request correction of NRC records concerning themselves, and (b) the requirements applicable to NRC person

As used in this subpart:

(a) "Individual" means a citizen of the United States or an alien lawfully admitted for permanent residence.

(b) The term "maintain" includes maintain, collect, use or disseminate.

(c) "Record” means any item, collection or grouping of information about an individual that is maintained by the NRC, including, but not limited to, his education, financial transactions, medical history, employment history or criminal history, and that contains the individual's name, or the identifying number, symbol or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.

(d) "System manager" means the NRC official responsible for maintaining a system of records.

(e) "Systems of records" means a group of records under the control of the NRC from which information is retrieved by the name of an individual or by an identifying number, symbol, or other identifying particular assigned to an individual.

(f) "Statistical record" means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by the Census Act, 13 U.S.C. 8.

(g) "Routine use" means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected, as described in

§ 9.52 Types of requests.

(a) Individuals may make the following requests respecting records about themselves maintained by NRC in a system of records subject to the provisions of the Privacy Act of 1974:

(1) Request a determination whether a record about the individual is contained in a system of records.

(2) Request access to a record about the individual. Access requests may include requests to review the record and to have a copy made of all or any portion thereof in a form comprehensible to the individual.

(3) Request correction or amendment of a record about the individual.

(b) Requests for accounting of disclosures. Individuals may, at any time, request an accounting by NRC of disclosures to any other person or Government agency of any record about themselves contained in a system of records controlled by NRC, except the following: (1) Disclosures made pursuant to the Freedom of Information Act, 5 U.S.C. 552; (2) disclosures made within the Nuclear Regulatory Commission; (3) disclosures made to another Government agency or instrumentality for an authorized law enforcement activity pursuant to 5 U.S.C. 552a(b)(7); (4) disclosures expressly exempted by NRC regulations from the requirements of 5 U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a(k).

§ 9.53 Requests; how and where presented.

(a) Requests may be made in person or in writing. Assistance regarding requests or other matters relating to the Privacy Act of 1974 may be obtained by writing to the Director, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. Requests relating to records in multiple systems of records should be made to the Director, Office of Admin

istration, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. The Director, or his designee, shall assist the requestor in identifying his request more precisely and shall be responsible for forwarding the request to the appropriate system manager.

(b) All written requests shall be made to the Director, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, and should clearly state on the envelope and in the letter, as appropriate: "Privacy Act Request," "Privacy Act Disclosure Accounting Request," "Privacy Act Correction 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.

(c) Requests may be made in person during official hours at the U.S. Nuclear Regulatory Commission office where the record is located, as listed in the "Notice of System of Records" for the system in which the record is contained.

[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976]

§ 9.54 Verification of identity of individuals making requests.

(a) Identification requirements in paragraphs (a) (1) and (2) of this section are applicable to any individual who makes requests respecting records about himself, except that no verification of identity shall be required if the records requested are available to the public under the provisions of the Freedom of Information Act. With respect to certain sensitive records, additional requirements for verification of identity stated in the appropriate published "Notice of System of Records" may be imposed.

(1) Written requests. An individual making a written request respecting a record about himself may establish his identity by a signature, address, date of birth, employee identification number if any, and one other item of identification such as a photocopy of a driver's license or other document.

(2) Requests in person. An individual making a request in person respecting a record about himself may establish his identity by the presentation of a

single document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph but do bear a name, address and signature (such, as a driver's license or credit card).

(b) Inability to provide requisite documentation of identity. An individual making a request in person or in writing respecting a record about himself who cannot provide the necessary documentation of identity may provide a notarized statement, swearing or affirming to his identity and to the fact that he understands that penalties for false statements may be imposed pursuant to 18 U.S.C. 1001, and that penalties for obtaining a record concerning an individual under false pretenses may be imposed pursuant to 5 U.S.C. 552a(i)(3). Forms for such notarized statements may be obtained on request from the Director, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.

(c) Verification of parentage or guardianship. In addition to establishing the identity of the minor, or other individual he represents as required in paragraph (a) of this section, the parent or legal guardian of a minor or of an individual judicially determined to be incompetent shall establish his status as parent or guardian by furnishing a copy of a birth certificate of the minor showing parentage or a copy of a court order establishing guardianship.

$9.55 Specification of records.

(a)(1) Requests relating to records shall, insofar as practicable, specify the nature of the record sought, the approximate dates covered by the record, the system of records in which the record is thought to be included and the system manager having custody of the record system as shown in the annual compilation, "Notices of Records Systems", published by the General Services Administration. Requests shall, in addition, comply with any additional specification requirements contained in the published "Notice of System of Records" for that system.

(2) Requests for correction or amendment of records shall, in addition, specify the particular record involved, state the nature of the correction or amendment sought and furnish justification for the correction or amendment.

(b) Requests which do not contain information sufficient to identify the record requested will be returned promptly to the requestor, with a notice indicating what information is lacking. Individuals making requests in person will be informed of any deficiency in the specification of records at the time the request is made. Individuals making requests in writing will be notified of any such deficiency when their request is acknowledged.

§ 9.56 Accompanying persons.

An individual requesting access to records about himself may be accompanied by another individual of his own choosing. Both the individual requesting access and the individual accompanying him shall sign the required form indicating that the Nuclear Regulatory Commission is authorized to discuss the contents of the subject record in the presence of both individuals.

NRC PROCEDURES FOR PROCESSING REQUESTS

§ 9.60 Acknowledgement of requests. (a) Written requests by individuals to verify the existence of, obtain access to or correct or amend records about themselves maintained by NRC in a system of records subject to the provisions of the Privacy Act of 1974, shall be acknowledged in writing by the Director, Office of Administration, or his designee, within ten working days after date of actual receipt. The acknowledgement shall advise the requestor if any additional information is needed to process the request. Wherever practicable, the acknowledgement shall notify the individual whether his request to obtain access to the record or to correct or amend the record has been granted or denied.

(b) When an individual requests access to records or permission to correct or amend records in person, every effort will be made to make an imme

diate determination as to whether access or correction or amendment should be granted. If an immediate determination cannot be made, the request will be processed in the same manner as a written request. Records will be made available for immediate inspection whenever possible.

$9.61 Procedures for processing requests for records exempt in whole or in part. (a) When an individual requests information concerning the existence of, or access to, records about himself which have been compiled in reasonable anticipation of a civil action or proceeding in either a court or before an administrative tribunal, the NRC shall advise the individual only that no record available to him pursuant to the Privacy Act of 1974 has been identified.

(b) Specific exemptions pursuant to 5 U.S.C. 552a(k). Individual requests for access to records which have been exempted from access pursuant to the provisions of 5 U.S.C. 552a(k) and § 9.95 shall be processed as follows:

(1) Information classified pursuant to Executive Order 12065 and exempted pursuant to 5 U.S.C. 552a(k)(1). Requested information classified by NRC will be reviewed by the responsible official of the NRC to determine whether it continues to warrant classification under the criteria of section 1-301 of Executive Order 12065. Information which no longer warrants classification under these criteria shall be declassified and made available to the individual. If the requested information has been classified by another agency, the responsible official of the NRC will request the classifying agency to review the information to ascertain if classification is still warranted. If the information continues to warrant classification, the individual shall be advised that the information sought is classified, that it has been reviewed and continues to warrant classification, and that it has been exempted from access pursuant to 5 U.S.C. 552a(k)(1).

(2) Investigatory material compiled for law enforcement purposes exempted pursuant to 5 U.S.C. 552a(k)(2). Requests shall be responded to in the

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