Summary of requirements under 10 CFR Part 9

DESCRIPTION OF REQUIREMENTS UNDER
10 CFR PART 9
Requirements included in OMB clearance #3150-0043:
10 CFR 9.25(e) permits a requester to request expedited processing. (1) NRC may place a
person’s request at the front of the queue for the appropriate track for that request upon receipt
of a written request that clearly demonstrates a compelling need for expedited processing. For
the purposes of determining whether to grant expedited processing, the term compelling need
means–(i) That a failure to obtain requested records on an expedited basis could reasonably be
expected to pose an imminent threat to the life or physical safety of an individual; or (ii) With
respect to a request made by a person primarily engaged in disseminating information, urgency
to inform the public concerning actual or alleged Federal Government activity. (2) A person
requesting expedited processing must include a statement certifying the compelling need given
to be true and correct to the best of his or her knowledge and belief. The certification
requirement may be waived by the NRC as a matter of agency discretion. (3) The FOIA/PA
Officer will make the initial determination whether to grant or deny a request for expedited
processing and will notify a requester within 10 calendar days after the request has been
received whether expedited processing will be granted.
10 CFR 9.28(b) permits the submitter 30 calendar days from the date of the notice described in
paragraph (a) of this section to object to disclosure. If a submitter has any objection to
disclosure, the submitter must provide a detailed written statement. The statement must specify
all grounds that support why the information is a trade secret or commercial or financial
information that is privileged or confidential. If a submitter fails to respond to the notice within
the time specified in the notice, the submitter will be considered to have no objection to
disclosure of the information. Information provided by the submitter that is not received until
after the date specified for response will not be considered unless that date is extended by the
FOIA/PA Officer upon request by the submitter.
10 CFR 9.29(a) requires that a requester may appeal a notice of denial of a FOIA request for
access to agency records, denial of a request for waiver or reduction of fees, or denial of a
request for expedited processing under this subpart within 30 calendar days of the date of the
NRC’s denial.
10 CFR 9.29(b) requires an appeal of records denied by the Assistant IG for Investigations be in
writing, directed to the IG, and sent to the FOIA/PA Officer. The NRC does not consider an
appeal received until the date it is actually received by the FOIA/PA Officer.
10 CFR 9.29(c) requires an appeal of records denied by the Executive Assistant to the
Secretary of the Commission, the General Counsel, or an office director reporting to the
Commission be in writing, directed to the Secretary of the Commission, and sent to the FOIA/PA
Officer. The NRC does not consider an appeal received until the date it is actually received by
the FOIA/PA Officer.
10 CFR 9.29(d) requires an appeal of records denied by an Office Director reporting to the EDO
be in writing, directed to the EDO, and sent to the FOIA/PA Officer. The NRC does not consider
an appeal received until the date it is actually received by the FOIA/PA Officer.

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10 CFR 9.29(e) requires an appeal of a denial of a request for expedited processing be in
writing, directed to the EDO, and sent to the FOIA/PA Officer. The NRC does not consider an
appeal received until the date it is actually received by the FOIA/PA Officer.
10 CFR 9.29(f) requires an appeal of a denial of a waiver or reduction of fees for locating and
reproducing agency records be in writing, directed to the EDO, and sent to the FOIA/PA Officer.
The NRC does not consider an appeal received until the date it is actually received by the
FOIA/PA Officer.
10 CFR 9.40(g) requires those requesters that are notified that fees will be assessed for
processing their request to notify the NRC in writing of their agreement to pay the fees.
Requesters can use NRC Form 509 (see attached).
10 CFR 9.41(a)(1) The NRC will collect fees for searching for, reviewing, and duplicating
agency records, except as provided in §9.39, unless a requester submits a request in writing for
a waiver or reduction of fees. To ensure that there will be no delay in the processing of FOIA
requests, the request for a waiver or reduction of fees should be included in the initial FOIA
request letter.
10 CFR 9.41(a)(2) states that each request for a waiver or reduction of fees should be
addressed to the Office of Information Services and sent using an appropriate method listed in
§9.6.
10 CFR 9.41(b) requires that a person requesting the NRC to waive or reduce search, review,
or duplications fees will–(1) Describe the purpose for which the requester intends to use the
requested information; (2) Explain the extent to which the requester will extract and analyze the
substantive content of the agency record; (3) Describe the nature of the specific activity or
research in which the agency records will be used and the specific qualifications the requester
possesses to utilize information for the intended use in such a way that it will contribute to public
understanding; (4) Describe the likely impact on the public's understanding of the subject as
compared to the level of understanding of the subject existing prior to disclosure; (5) Describe
the size and nature of the public to whose understanding a contribution will be made; (6)
Describe the intended means of dissemination to the general public; (7) Indicate if public access
to information will be provided free of charge or provided for an access fee or publication fee;
and (8) Describe any commercial or private interest the requester or any other party has in the
agency records sought.
10 CFR 9.55(a)(2) requires 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.
10 CFR 9.65(b) Appeals from denials of access. If an individual has been denied access to a
record the individual may request a final review and determination of that individual's request by
the IG or the EDO, as appropriate. A request for final review of an initial determination must be
filed within 60 calendar days of the receipt of the initial determination. For agency records
denied by the Assistant IG for Investigations, the appeal must be in writing directed to the IG
and sent to the FOIA/PA Officer by an appropriate method listed in §9.6. For agency records
denied by the FOIA/PA Officer, the appeal must be in writing directed to the EDO and sent to
the FOIA/PA Officer by an appropriate method listed in §9.6. The appeal should clearly state on
the envelope and in the letter "Privacy Act Appeal-Denial of Access." The NRC does not
consider an appeal received until the date it is actually received by the FOIA/PA Officer.

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10 CFR 9.66(b) Appeals from initial adverse determinations. If an individual's request to amend
or correct a record has been denied, in whole or in part, the individual may appeal that action
and request a final review and determination of that individual's request by the IG or the EDO,
as appropriate. An appeal of an initial determination must be filed within 60 calendar days of
the receipt of the initial determination. For agency records denied by the Assistant IG for
Investigations, the appeal must be in writing directed to the IG and sent to the FOIA/PA Officer
by an appropriate method listed in §9.6. For agency records denied by the FOIA/PA Officer, the
appeal must be in writing directed to the EDO and sent to the FOIA/PA Officer by an appropriate
method listed in §9.6. The appeal should clearly state on the envelope and in the letter "Privacy
Act Correction Appeal." The NRC does not consider an appeal received until the date it is
actually received by the FOIA/PA Officer. Requests for final review must set forth the specific
item of information sought to be corrected or amended and should include, where appropriate,
records supporting the correction or amendment.
10 CFR 9.67(a) provides that 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
IG or the EDO. "Statements of Disagreement" directed to the EDO must be sent to the
FOIA/PA 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 IG must be sent to the FOIA/PA 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."
Requirements previously included in OMB clearance #3150-0043, which have been
removed from the current submission (due to exemption from PRA requirements):
10 CFR 9.23(a)(1) requires that a person may request access to records routinely made
available by the NRC under §9.21 in person or by telephone, fax, e-mail, or US mail from the
NRC Public Document Room (PDR). (i) Each record requested must be described in sufficient
detail to enable the NRC PDR staff to locate the record. (ii) In order to obtain copies of records
expeditiously, a person may open an account at the NRC PDR with the private contractor who is
responsible for duplicating NRC records for a fee.
10 CFR 9.23(b) requires that a person may request agency records by submitting a request
authorized by 5 U.S.C. 552(a)(3) to the Freedom of Information Act and Privacy Act (FOIA/PA)
Officer, by an appropriate method listed in §9.6. The request must be in writing and clearly
state on the envelope and in the letter that it is a “FOIA request.” The NRC does not consider a
request as received until the date it is actually received by the FOIA/PA Officer. (1) A FOIA
request covers only agency records that are in existence on the date the FOIA/PA Officer
receives the request. A request does not cover agency records destroyed or discarded before
receipt of a request or which are created after the date of the request. (2) All FOIA requests for
copies of agency records must reasonably describe the agency records sought in sufficient
detail to permit the NRC to identify the requested agency records. Where possible, the
requester should provide specific information regarding dates, titles, docket numbers, file
designations, and other information which may help identify the agency records. If a requested
agency record is not described in sufficient detail to permit its identification, the FOIA/PA Officer
will contact the requester within 10 working days after receipt of the request and inform the
requester of the additional information or clarification to process the request. (3) Upon receipt of
a request made under paragraph (b) of this section, the NRC will provide written notification to
the requester that indicates the request has been received, the name and telephone number of

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the NRC point of contact to find out the status of the request, and other pertinent matters
regarding the processing of the request. (4)(i) The NRC shall advise a requester that fees will
be assessed if–(A) A request involves anticipated costs in excess of the minimum specified in
§9.39; and (B) Search and duplication is not provided without charge under §9.39; or (C) The
requester does not specifically state that the cost involved is acceptable or acceptable up to a
specified limit. (ii) The NRC has discretion to discontinue processing a request made under this
paragraph until–(A) A required advance payment has been received; (B) The requester has
agreed to bear the estimated costs; (C) A determination has been made on a request for waiver
or reduction of fees; or (D) The requester meets the requirements of §9.39.
10 CFR 9.53(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 FOIA/PA
Officer, by an appropriate method listed in §9.6. Requests relating to records in multiple
systems of records should be made to the FOIA/PA Officer. The FOIA/PA Officer shall assist
the requester in identifying his request more precisely and shall be responsible for forwarding
the request to the appropriate system manager.
10 CFR 9.53(b) requires all written requests be made to the FOIA/PA Officer and sent by an
appropriate method listed in §9.6 and should clearly state on the envelope and in the letter, as
appropriate: “Privacy Act Request,” “Privacy Act Disclosure Accounting Request,” or “Privacy
Act Correction Request.” The NRC does not consider a request received until the date it is
actually received by the FOIA/PA Officer.
10 CFR 9.54(a) requires identification requirements in paragraphs (1) and (2) of this section
which 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 FOIA. 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 copy
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).
10 CFR 9.54(b) requires 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 FOIA/PA Officer and may be sent by an appropriate method listed in §9.6.
10 CFR 9.54(c) requires 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.

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10 CFR 9.55(a)(1) requires 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 GSA. Requests shall, in addition, comply with any additional specification requirements
contained in the published "Notice of System of Records" for that system.

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