(a) In general. The NRC does not consider a request as received until the date it is received by the Freedom of Information Act and Privacy Act Officer. When NRC personnel determine that a request was misdirected within the agency, the request will be routed promptly to the Freedom of Information Act and Privacy Act Officer. If a Freedom of Information Act request is misdirected, the response time provided by this section will begin on the date that the request is received by the Freedom of Information Act and Privacy Act Officer, but in any event not later than 10 working days, as defined in § 9.3, after the request is first received.

(b) Time for initial disclosure determination. In determining which records are responsive to a request, the NRC ordinarily will include only records in its possession as of the date the NRC begins its search for the records. If any other date is used, the NRC will inform the requester of that date. A record that is excluded from the requirements of the FOIA pursuant to 5 U.S.C. 552(c) is not considered responsive to a request. Except as provided in paragraphs (d) and (e) of this section, the NRC will notify a requester within 20 working days of its determination.

(c) Multitrack processing. (1) To ensure the most equitable treatment possible of all requesters, the NRC will seek to respond to requests according to their order of receipt within each track of the multitrack processing system. The NRC has designated processing tracks that distinguish between expedited, simple, and complex requests based on the estimated time it will take to process the request.

(2) The NRC will advise a requester of the track into which their request falls and, when appropriate, will offer the requester an opportunity to narrow the scope of their request so that it can be placed in a different processing track. The NRC will notify the requester in writing if subsequent information substantially changes the estimated time to process a request. A requester may modify the request to allow it to be processed faster or to reduce the cost of processing. The NRC may provide partial or interim responses to requester, as appropriate.

(3) The NRC uses a three-track system.

(i) The first track is for expedited processing. The NRC will process a FOIA request on an expedited basis when a requester satisfies the requirements for expedited processing as set forth in paragraph (g) of this section.

(ii) The second track is for simple requests (e.g., requests involving possible records from two or three offices and/or various types of files of moderate volume, of which, some are expected to be exempt).

(iii) The third track is for complex requests that, because of their unusual volume or other complexity, are expected to take more than 30 working days to complete (e.g., requests involving several offices, regional offices, another agency's records, classified records requiring declassification review, records for business information that are required to be referred to the submitter for their proprietary review prior to disclosure, records in large volumes which require detailed review because of the sensitive nature of the records such as investigative records or legal opinions and recordings of internal deliberations of agency staff).

(d) Extension of time limit in unusual circumstances. (1) Whenever the NRC cannot meet the statutory time limit for processing a request because of “unusual circumstances,” as defined in § 9.13, and the NRC extends the time limit on that basis, the NRC will, before expiration of the 20-day period to respond, notify the requester in writing of the unusual circumstances involved and of the date by which the agency estimates processing of the request will be completed. Where the extension exceeds 10 working days, the NRC will, as described by the FOIA, provide the requester with an opportunity to modify the request or arrange an alternative time period for processing the original or modified request. The NRC will make available its FOIA Public Liaison for this purpose in accordance with § 9.25(c).

(2) In unusual circumstances, the NRC may extend the time limit prescribed in paragraph (b) of this section by not more than 10 working days. The extension may be made by written notice to the person making the request to explain the reasons for the extension and indicate the date on which a determination is expected to be made. The NRC may consider the following factors in determining whether “unusual circumstances,” as defined in § 9.13, apply:

(i) The need to search for and collect the requested records from three or more offices within NRC's headquarters and/or regional offices;

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

(iii) The need for consultation with another Government agency having a substantial interest in the determination of the request;

(iv) The need to undertake a declassification review of records;

(v) The need to refer records to a licensee or other business submitter under § 9.28; or

(vi) The need to retrieve records from Federal Records Centers or other off-site facilities.

(e) Aggregating requests. To satisfy unusual circumstances under the FOIA, the NRC may aggregate requests in cases where it reasonably appears that multiple requests, submitted either by a requester or by a group of requesters acting in concert, constitute a single request that would otherwise involve unusual circumstances. The NRC will not aggregate multiple requests that involve unrelated matters.

(f) Exceptional circumstances. (1) If the NRC cannot act upon the request within the time periods described in paragraph (b) or (c) of this section due to exceptional circumstances, the NRC will provide the requester with the reasons for the delay and provide a projected response date.

(2) A requester will be provided an opportunity to limit the scope of the request so that it may be processed in a shorter amount of time, or to agree to a reasonable alternative time frame for processing. When notifying a requester under this paragraph (f), the NRC will make available its FOIA Public Liaison to assist in the resolution of any disputes between the requester and the agency and will notify the requester of the requester's right to seek dispute resolution services from the Office of Government Information Services within the National Archives and Records Administration. See § 9.25(c).

(3) For the purposes of this paragraph (f), “exceptional circumstances” do not include delays that result from the normal predictable workload of FOIA requests or a failure by the NRC to exercise due diligence in processing the request. A requester's unwillingness to agree to reasonable modification of the request or an alternative time for processing the request may be considered as factors in determining whether exceptional circumstances exist and whether the agency exercised due diligence in responding to the request.

(g) Expedited processing. (1) The NRC may take requests and appeals out of order and give expedited treatment if the NRC determines that such requests or appeals involve a compelling need as defined in § 9.13.

(2) A request for expedited processing must:

(i) Be made in writing;

(ii) Be labelled “Expedited Processing Requested”;

(iii) Be submitted as part of a request for records in accordance with § 9.23; and

(iv) Include a statement certifying the compelling need given to be true and correct to the best of their knowledge and belief. The NRC may waive the certification requirement as a matter of administrative discretion.

(3) The Freedom of Information Act and Privacy Act Officer, or their delegate, 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.

(4) If the NRC grants a request for expedited processing, then the NRC will give the expedited request priority over non-expedited requests and will process the expedited request as soon as practical.

(5) If the NRC denies a request for expedited processing, then the requester will have the right to submit an appeal to the denial determination in accordance with § 9.29. The NRC will communicate this appeal right as part of its written notification to the requester denying expedited processing. The requester will label its appeal request “Appeal for Expedited Processing.”