Energy Regulatory Partnership Program of National Association of Regulatory Utility Commissioners of the USA and National Commission

for Energy State Regulation of Ukraine

The fifth visit within the framework of the Partnership Program

The Order of Access to Public Information in NERCDaily Proceedings

21-25.05.2012Kiev

Reporter – Deputy head of organization of the Commission activities department

Solovey T.G.

1.General Provisions The Order was developed in accordance with provisions of Law of

Ukraine “On Access to Public Information” (hereinafter referred to as the Law) for the purpose of exercising the right of every person to have access to public information.

The Order establishes internal procedures of public information disclosure, provision of public information on request, deferral and rejection of requests, considering complaints in view of resolutions, activity or lack of activity of National Energy Regulation Commission (NERC) regarding these issues.

This order is not distributed to getting the information by authorities when they implement their functions and also to appeals of citizens which are regulated by the law of Ukraine “On citizens Appeal”.

NERC is not a provider of:

Information possessed by other government agencies of Ukraine, state authorities of other countries, international organizations, legal and natural persons;

Information gained by summarizing, analytical processing of data or information to be obtained through other means;

Information possessed by legal entities determined by Article 13 of the Law of Ukraine “On Access to Public Information”.

Access to Public Information provided by NERC is obtained through:

Publishing of public information in “Information NERC bulletin” and other mass media (hereinafter to be referred as Media);

Publishing of public information on the NERC official website; Placing of public information on informational stands in the headquarters

and territorial NERC subdivisions; Placing of public information in all-Ukrainian legal information networks

“Legislation” of the Verkhovna Rada of Ukraine and “League: the Law”; Attendance by information requestors at the Commission open hearings; Provision of public information on request.

An official responsible for issues concerning requests for public information administrator of which is NERC (hereinafter referred to as a request issues official) :

accepts information requests which have been submitted to NERC orally, by e-mail, a website, fax, phone or delivered in person; ensures categorization, analysis and control of information requests provision;

provides advice on development of such requests; keeps record of public information requests received and requests met; draws up reports on request provision and submits them; exercises other functions in accordance with the Procedure and job

description. Head of departments provide timely reporting of information to be

published and on request for public information

Scheme of Information Requests Processing

Natural person, legal person, group of citizens without legal

entity status

Request

NERC structural subdivision in whose competence the required

information is

Commission work, documents circulation and archive-keeping

organization department

•Qualifies information type•Registers an information request•Determines the department which may possess the required information•Passes on the request for further proceeding•Keeps a register (record) of requests/resolutions•Re-addresses a request if the information is possessed by another regulatory agency•Prepares reports•Conducts monitoring

•Determines the status of information or is a possessor/provider •Prepares a response to a requiring person or required information within the time periods specified by the Law

Copy

On the day of receipt (working day)

answer

During 5 (20) working days

2. Providing Public Information on Request

A public information request is submitted to NERC orally, by e-mail, a website, fax, phone, mail or delivered in person are to be registered by the paper circulation and archive-keeping in the Commission work organization department, document circulation and archive-keeping organization (hereinafter to be referred to as documents circulation department).

Information requests submitted by phone, fax, e-mail, a website and delivered in person are accepted on working days and during office hours by a request issues official

If a person is unable to submit a written request for valid reasons (i.e. incapacitation, disability, etc.) and a request is submitted by phone or other means an official shall develop it by completing a request form for public information.

When submitting a request a natural person is to produce a passport or other document establishing the person’s identity.

Written requests are submitted in any form. A requestor may use a sample information request form adopted by the NERC enactment #118 “On approval of submission procedure of requests for information provided by National Commission for Energy State Regulation” of 23 February 2012, which was registered at the Ministry of Justice of Ukraine of 12 March 2012 under #384/20697 and published on the official website of NERC. Requests shall contain information specified in Part 5 Article 19 of the Law.

An official provides advice on request development if such is needed or for valid reasons (i.e. incapacitation, disability, etc. of an information requestor) completes a request form which bears the official’s name and contact phone number and provides a copy of the request to the requestor.

2. Providing Public Information on Request

Providing Public Information on Request If a requestor addresses NERC orally by phone (the contact phone number is given

on the “Access to Public Information” page of the official NERC website) or in person and the required information doesn’t need further processing, it is provided to the requestor orally by his/her approbation (i.e. requisite elements of documents for examination, information concerning NERC orders publishing, information concerning documents publication on the official website, etc.)In this case a written request shall not be submitted and registered.

Providing Public Information on Request

After a request is submitted the document circulation department acting together with a request issues official conduct preliminary consideration of the request as soon as possible to identify it as an information request and to determine departments responsible for provision of the information. Assistant of the Commission Chairman, Head of the Juridical Authority, other departments representatives and a member of the Commission ensuring the Law implementation in accordance with the allocation of duties shall be engaged if it is needed.

To arrange addressing of a request on the day of its registration by the documents circulation department a copy of it is forwarded to heads of departments which have been previously determined responsible for the information provision.

After the copies of the request are received the heads of departments should immediately appoint authorized employees responsible for the information provision and conduct control over the request processing.

Providing Public Information on Request The term of resolution project preparation in departments, getting approval of a

request issues official and Commission members in accordance with the allocation of duties, getting it signed by a Commission member ensuring the Law implementation in accordance with the allocation of duties may not exceed 3 days starting with the date of the request receipt (with the exception of cases stipulated in Part 2 Article 20 of the Law).

A resolution and corresponding addenda (copies of requested documents) are provided to a requestor no later than within 5 business days starting with the date of the request receipt. In cases stipulated in Part 2 Article 20 of the Law the Commission Chairman should shorten the term to 48 hours starting with the date of the request receipt which is recorded in a corresponding order.

If there are reasons stipulated in Part 2 Article 20 of the Law and the head of the department addressing the request provides a motivated petition approved by a Commission member in accordance with the allocation of duties and a Commission member ensuring implementation of requirements of the Law in accordance with the allocation of duties the Commission Chairman may extend the term for addressing the request up to 20 business days. In case of extension of the request addressing the requestor shall be informed in writing no later than within 5 business days starting with the date of the request receipt.

Providing Public Information on Request

If in order to meet a request it is necessary to produce copies of documents amounting to more than 10 pages the department addressing the request informs the requestor on the matter by passing to him/her within 5 days term a notification signed by a Commission member ensuring implementation of requirements of the Law in accordance with the allocation of duties along with a bill to be paid in accordance with the NERC enactment of 1 March 2012 #206 “On confirmation of amount of actual expenditure for producing copies and publishing of documents provided on a request for information possessed by National Commission for Energy State Regulation and the procedure of reimbursement of such expenditure” registered in the Ministry of Justice of Ukraine on 21 March 2012 under #425/20738.

In case a request is submitted for information NERC doesn’t possess but is aware of the information provider a request issues official shall forward the request in written form and signed by a Commission member ensuring implementation of requirements of the Law in accordance with the allocation of duties to a proper information provider and pass on a notification on the matter to the requestor simultaneously and no later than within 5 business days starting with the date of the request receipt.

Incoming correspondence which is an information request but wasn’t identified as a request for public information when previously addressed after NERC authorities examination shall be forwarded to departments for further processing in accordance with legislative requirements on issues of citizens appeals consideration. The provider shall notify the requestor on the matter within 5 days term.

Providing Public Information on Request

3.Deferral or Denial to Access of Public Information Deferral in meeting requests for public information is allowed if the requested

information cannot be provided for examination within the time periods specified in the Law in the event of circumstances of insuperable force. The decision of deferral shall be passed to the requestor in written form with content of requirements in Part 7 Article 22 of the Law along with an explanation of the procedures for appealing against the decision.

A request may be rejected for the reasons stipulated in Part 1 Article 22 of the Law. Access to restricted information is provided with consideration of provisions of

Articles 6-9 of the Law and the Laws of Ukraine “On state secret” and “On information”.

A list of data constituting confidential information of NERC is developed by classified records department with consideration of requirements of Part 2 Article 6 and Part 1 Article 9 of the Law. The list of such data shall be approved by NERC Chairman in virtue of the protocol decision of expert technical commission of NERC.

Information on a natural person shall be provided and used in compliance with requirements of Article 10 of the Law and with consideration of provisions of the Law of Ukraine “On personal data protection”.

3. Deferral or Denial to Access to Public Information

A department responsible for information provision when preparing a resolution to a request for restricted public information whether there is a legal cause for access restriction at the time of the request submission which existed earlier and also whether the information has been already published rightfully by NERC.

Denial and deferral to meet a request for information is to be endorsed by the juridical authorities and rejection to meet a request for restricted information is to be endorsed by the documents circulation department also (considering confidential information) or by classified records department (considering secret information).

Denial of meeting a request shall be provided to the requestor in written form and signed by a Commission member ensuring implementation of requirements of the Law in accordance with the allocation of duties in order and within the time periods specified by Paragraphs 3.11, 3.12 Section 3 of the Order in compliance with requirements specified in Part 4 Article 22 of the Law.

4. Reporting on Requests for Public Information

All requests for public information and provided resolutions are subject to registration in an electronic data base which contains the following data:

an individual or a collective request; means of request submitting (orally, in writing, by mail, fax, phone, e-mail, website); means of receiving a request resolution (postal address, e-mail, fax, phone); general description of information or type, name, requisites or document’s content

which has been requested (in accordance with registers of public information); a note about incapacitation, disability of a requestor; date of a request and its registration number; date of submission of a request and its entry registration number; term for request examination.

4. Reporting on Requests for Public Information

responsible department; executive person of this department notes about payment obligation and payment for information and its cost; decision on a request (positive, denial, deferral); information on provided resolution (date and reference number of a document); types of appeals against decisions (rejection of information request, deferral of information request,

failure to provide answer to the request, providing inaccurate or incomplete information, untimely provided information, failure of provider to perform the duty of publishing information in accordance with Article 15 of the Law, other information providers’ decisions, actions or lack of thereof which violated legal rights and interests of a requestor) or other.

A monthly report shall be drawn regarding meeting requests for information on basic facts contained in electronic data base of public information requests and signed by a Commission member ensuring implementation of requirements of the Law in accordance with the allocation of duties and forwarded to the Commission Chairman to be approved.

On the base of official records made by a request issues official the department of public relations, communications and information analysis publishes a report regarding meeting information requests on the official website of NERC on monthly basis no later than the 5 th day of the month following the one under review.

Thank you for your attention