Text

Annual Rept for 1978 on Administration of Govt in Sunshine Act of 1976
	ML19225B509
Person / Time
Issue date:	12/31/1978
From:	; NRC COMMISSION (OCM)
To:	;
References
	REF-10CFR9.7 PP-781231, NUDOCS 7907250276
	Download: ML19225B509 (28)
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TABLE OF CONTENTS ' age 1 1. Agency Repcrting................................... 1 2. Year Being Reported....... 3. Total Namber of Meetings......... 1 4. Reasons for Closing Meetings....................... 1 Budget Meetings............................... 1 Congressional Testimony Meetings.............. 2 Briefings by Agency Staff........... 2 5. Description of Lit'.yation.......................... 3 6. Notation Voting.................................... 3 7. Public Observation................................. 5 6 8. Public Notice..................................... 9. Public Interest.................................... 7 10. Releasing of Meeting Records....................... 8 8 Transcripts.... Tapes......................................... 8 Minutes....................................... 9 Availability of Records....................... 10 Index Systems................................. 10 Requests for Records.......................... 10 11. Requests to Open................................... 10 12. Formal Complaints.................................. 11 13. Ex Parte Communications............................ 11 14. Additional Information............................. 11 APPENDIX A - Definition of Meetings APPENDIX B - Tabulation of Open and Closed Meetings by Month APPENDIX C - Tabulation of Meetings by Days Notice APPENDIX D - NRC Regulations as Amended Implementing the Sunshine Act APPENDIX E - NRC Ex Parte and Separation of Functions Regulations .[.. h .d. APPENDIX F - Sample Page of Index [Ej d

ANNUAL REPORT GOVERNMENT IN THE SUNSHINE ACT 1. AGENCY NAME: U.S. Nuclear Regulatory Commissirn 2. CALENDAR YEAR: 1978 3. MEETINGS: (See definitions in Appendix) A. Total Number of Open.......................... 203 (673) B. Total Number of Closed........................ 101 (33%) C. Total Number of Partially Closed............... 1 Total Number of Meetings................. 305 4. REASONS FOR CLOSING OR PARTIALLY CLOSING MEETINGS 32* A. Exemption 1.................................... 1 Exemption 4.................................... 33 Exemption 6.................................... 7 Exemption 9.................................... 22 Exemption 10................................... Exemption 6 and 10............................. 4 Exemption 1, 6, and 9.......................... 1 Exemption 4 ar.d 9........ 1 Exemption 2 and 6.............................. 1 TOTAL............................... 102* B. NRC's policy regarding P.he closing of meetings aertaining to the budget, Congressional testimony and briefings c? agency members by staff 13 as follows: (1) Budget meetings. Presentations by NRC staff on budgetary matters, including initial presentations on staff recommended budget Includes one meeting held partially closed to the public. 398 284 levels, are generally held in open session. Markup and recall sessions of the Commissior are closed under Exemption 9. During these closed sessions, the Commission considers budget strategies and priorit.es, and reaches decisions regarding future interactions and negotiations with the Executive Branch and the Congress with respect to funding levels for NRC's licensing research and regulatory activities. It is the belief of the Commission that the premature release of these discussions would be likely to significantly frustrate its future interactions and preempt those of the Executive Branch to whom the budget is submitted in confidence. The Commission's policy is to release transcripts of these closed meetings af ter the Commission's appropriations become law. A full description of the release policy is contained in Section 10 below. In 1978, five budget meetings were held in open session and six me**'ngs were held in closed session (Exempti '). Transcripts of the five open meetings are i. o PDP and those for the six closec meetint '1 be released to the PDR when NRC FY.980 appropriations has been approved. In accordanca with this policy, transcripts of all closed budget meetings held in 1977 are currently available in the PDR. (2) Meetings at which Congressional testimony is discassed. The Commission believes that, in appropriate circumstances, Exemption 9(B) of the Sunshine Act may properly be employed to close Commission meetings dealing with testimony to be given to Congress or options to be followed in negotiations on pending legislation. Nevertheless, during 1978, the Commission did not choose to close any of the seven meetings held for the purpose of discussing Congressional testimony. (3) Briefings of agency members by NRC staf f. All briefings by NRC staff of a cucrum of the Commission are considered to result in the joint conduct of official Commission business and are therefore treated as meetings under provisions of the Act. A further description of the Commission's definition of meetings is contained An Appendix A to this report. In 1978, there were approximately 398 285 187 staff briefinga; 143 were held in public session and 44 were in closed session. Of the closed sessions, 11 were closed or partially closed under Exemption 1 since classified information was integral to the discussion; 22 were closed under Exemption 10 for the discussion of cases in formal adjudication; and the remainder were closed under other exemptions, primarily Exemption 6. The transcripts of all public briefings were placed in the PDR; meeting records of closed briefings are subject to review for retention / release as described in Section 10 below. For open sessions, copies of viewgraphs and principal staff papers are also made available at the briefing and placed in the Public Document Room after the briefing along with the transcript. 5. DESCRIPTION OF LITIGATION. One Sunshine action was initiated against the Commission in 1978. Hunt v NRC, Civ. No. 79C-122-C (ND Okl). The plaintiff in that case contended that the Sunshine Act applies to meetings of the Commission's Atomic Safety and Licensing Boards, which are subordinate NRC adjudicatory tribunals not composed of members of the Commission. The Commission's position, in common with every other agency of which we are aware, is that the Act applies only to meetings of the Commission members themselves. On February 22, 1979, the Court denied plaintiff's request for a temporary restraining order. On April 19, 1979, the Court decided the case in the Commission's favor and dismissed the suit on the merits. 6. NOTATION VOTING. Pursuant to Section 201(a) (1) of the Energy Reorganization Act, 42 USC 5 8 41 (a) (1), certain action of the Commission can only be taken in actual meetings. Accordingly, the Commissica has adopted p.actices which have certain s imilarities to notatio' voting and which deserve mention. First, the Cr.sent Calendar system is utilized to obtain Commission decisions on agency business which, by nature, does not require detailed discussion among the Commissioners, but nevertheless requires action by the Commission in a meeting. Such business is generally limited to administrative matters (such as 398 286 i i appointments and reappointments to advisory committees, delegations of authority and security clearance waivers when access to Restricted Data is required), matters of relatively minor policy significance (such as FOIA appeals, minor rule changes, responses to certain petitions and review of ALAB decisions) and non-controversial policy matters if all Commissioners have agreed that no discussion is necessary. This system is also used to obtain a final Commission vote on policy matters, such as those resulting in publication of interim rules, amendments to rules or policy statements, in cases where the substance of the issue has been previously discussed at an open meeting, and where no Commissioner has indicated a desire for further Commission discussion. All affirmation sessions are noticed in the Federal Registe r and announced in accordance with the ciner announciment methods of public.,otification described in Section 8, Public Notice, below. The Consent Calendar is administered by means of a system of written preliminary notation " votes". Subsequently, the Commissioners formally vote in public " affirmation" sessions, without discussion of the subject aefore them. If discussion is required, the item is no longer an affirmation item and will be scheduled as a discussion item with appropriate public notification. In 1978, there were 40 such sessions, all open. At each scheduled affirmation session open to the public, copies of the staf f paper (s) being voted on are made available to public attendet.3 at the meeting; these staff papers constitute the principal written materials which provide the basis for decisions and include staff recommendations. These papers and a transcript of the meeting are later piiced in the Public Document Room (1717 H Street, N.W., Washington, D.C.), as is the Record-of-Decision Memorandum of the meeting, recording the vote and any other Commission instructions. Second, for matters which do not involve formal rulemaking, adj udica cion or licensing activity, the Commission employs procedures under which individual Commissioners comment on and approve staff actions in writing to the Secretary. Examples of matters handled under these procedures are approval of outgoing Commission corres-pondence and notation of actions being taken or about to be taken under delegations of authority to the staff.* The Commission has before it for consideration the release to the Public Document Room of additional categories of records, including documents circulated under these procedures together with the record of the Commissioners' action on them. 398 287

_ 7. PUBLIC OBSERVATION. The Commission has continued its policy of providing meaningful public observation and understanding of open meetings through the following measures: The Commission's mair. conference room, with a a. seating capacity or 130, and an adjcining conference room, which seats 50 people, are provided with multiple overhead speakers and with a cimaed circuit television system to ensure that every person desiring to attend a meeting can see and hear as well as any other attendee. b. Copies of any viewgraphs to be used in the course of meetings are made available to meeting attendees at the entrance to the conference room prior to the commencement of the meeting. Copies of the principal staff papers scheduled to c. be considered at the meeting are also provided to public attendees in the conference room. This includes copies of the staff papers that are to be approved in an affirmation session without detailed discussion. These papers are also placed in the Public Document Room at the conclusion of the meeting, along with viewgraphs and other material hanced out at the meeting. Additionally, copies of other papers reference 6 _t the meeting are normally released. During 1970, 162 meeting-related documents were released. d. Public attendees are permitted to tape record Commission discussions of open meetings. e. Transcripts are taken of all cpen Commission meetings. These are unofficiai transcripts which are not edited by the Commissioners or by the staff and are placed in the Commission's Public Document Room within 48 hours of the conclusion of the meeting. Transcripts of the 203 open Commission meetings and briefings are available in the pDR. f. A pamphlet entitled " Guide to NRC Open Meetings" is available in the Commissionere Conference Room and in the Public Document Room. The guide describes for public attendees the nornal secting arrangement for participants at the conference taole, the general functional responsibilities of these participants, Commission procedures for voting on agenda items, general rules fer public conduct at Commission meetings, and sources of additional information on the Commission and its meetings. 7no g. A list of abbreviations and acronyms has been placed in the Public Document Room to further help the public in understanding the many technical terms discussed in Commission papers. h. It is the Commission's practice to allow camera and television coverage of open meetings and briefings without prior notification. Recently, such coverage has been very extensive for discussions regarding actions being taken as a result of the March 28, 1979 accident at the Three Mile Island Nuclear Power Plant. The use of cameras, including television coverage, at open licensing proceedings conducted by NRC's licensing and appeal boards is also permitted. Our regulations are being updated accordingly. 8. PUBLIC NOTICE. Each meeting is publicly announced by the methods listed below. In addition, the NRC is exploring the use of a toll free telephone number for interested persons to use when seeking current information about the Commission's meeting schedule. a. Publishing in the Federal Register the time, date and location of the meeting, the topic (c) to be discussed, whether it is open or closed, and the name and telephonc number of a contact. b. Publicly posting in the NRC Public Cocument Room, 1717 H Street, N.W., Washington, D.C. 20555, a copy of the announcement at the time it is sent to the Federal Register. c. Mailing a copy of the announcement to those persons on a mailing list maintained for that purpose (currently 80 names and addresses) at the time it is sent to the Federal Register. d. Submittal of a copy of the Federal Register Notice to the news media (AP, UPI, Energy Daily, Nuclec aics Week, the Washington Post, Washington Star, and Nuclear Industry Magazine) at the time it is sent to the Federal Register, e. Telephoning interested parties when a public meeting is announced with less than a week's notice. 398 289 Appendix C contains a tabulation of the number of days notice for NRC meetings. In summary, more than three-fourths of all meetings (85% of the open meetings) were announced with seven or more days notice. The remaining meetings (32 open and 39 closed) were held with less than seven days notice. Our record in this regard is improving, but we continue to be faced with problems caused by the need to consider without delay subjects of a very urgent nature, such as consideration of problems concerning operating nuclear power plants, and to reschedule other items which are displaced by the more urgent ones. 9. PUBLEC INTEREST. The commission, in adopting its Sunsnine Regulations, explained how it would employ the public interest crit 2rion in exercising agency discretion to open meetings when an exemption is available: "Section 9.104(a) of the rules, like the proposals of several other agencies, gives presumptive but not conclusive force to the determination than an exemption is available in deciding the public interest question. The fact that a meeting does come within a specific provision of 8 9.104(a) indicates that the Congress recognized a public interest in closing, not opening, meetings of this character. The Commission staff has been instructed to consider the public interest in recommending to the Commission whether or not to close particular meetings. The Commission believes that this internal procedure and the awareness of the Commissioners themselves and their advisors of public interest concerns will ensure adequate consideration of the public interest before any decision to close a meeting is made, without need for a formal procedure of th2 type proposed." 42 Fed. Reg. 12876 (March 7, 1977) In the implementation of its rules, the Commission calls upon the staff to consider the public interest factors in any recommendations to the Commission for closed meeting discussions. The Commissioners review staff's recommendations for closed meetings, consider the advice of the General Counsel as to whether the item is properly closeable, and discuss among themselves the necessity for precludi.ng public attendance, including the interest of the public in the subject matter. Implicit in this procedure is the understanding that a vote to close represents the Commission's determination that the public interest does not require an open meeting. 398 290 10. RELEASING OF TRANSCRIPTS, RECORDINGS AND MINUTES OF CLOSED MEETINGS. The Commission's policy is to release to the public transcripts of all open meetings within 48 hours of meeting time. There are presently 316 transcripts of open meetings available to the public in the Public Document Room. Transcripts of closed meetings are released as soon as it is determined by the Commission, upon review, that there is no justification for continued withnolding. The oublic can review these documents in the PDR, and purchase copies if they desire. Details regarding NRC's procedures and indexing system are set forth below, a. Closed Meetings Recorded by Transcript. Most of the Commission's closed meetings (except those described in b. and c. below) are recorded by transcript. The transcript, or portions thereof, is made available to the public unless a determination has been made to withhold the entire text. The procedure for determining which transcripts, or portions of transcripts, should be publicly disclosed includes three levels of review:

1) by the office presenting the briefing or discussion for a determination of classification and sensitivity of subject matter; 2) by the Office of the General Counsel for review of classification, sensitivity, compliance with Sunshine Act requirements and advising the Commission on ultimate disposition of the transcript;

3) by the Commission for a final determination regarding public disclosure.

For the information cf the public, a statement is filed in the Public D cument Room identifying the portions being withheld and the reason for withholding. Withheld transcripts are also reviewed again after 18 months after the date of the meeting to determine whether the basis for withholding continues to apply. For closed meetings held during 1978, the Commission has released 11 transcripts in whole or in part; has withheld 4 in their entirety; has eight currently in review; and has agreed to release eight additional tranccripts after appropriate Legislative / Executive Branch actions have been completed. b. Closed Meetings Recorded by Tape Only. The Commission on occasion conducts meetings on subjects which are so sensitive chat the presence of the staff and a court reporter has been deemed ? n,- b L /,l to be inhibiting. These meetings generally involve the exchange of highly classified information with representatives of other agencies not subject to the Government in the Sunshine Act, or highly sensitive discussions of the Commissioners on personnel /orgar.izational mattera. The latter discussions involve matters such as the filling of organizational positions, the performance of key employees, and significant organizational and management alignments. Meetings of this type are recorded by magnetic tape only. The Commissioners determine immediately at the conclusion of the meeting whether any portion of the tape should be released. Withheld tapes are again subject to review either after 18 months after the date of the meeting to determine whether the basis for initial withholding actions continues to apply, or on the submission of an FOIA request. During 1978, 34 tapes of the 46 meetings in this category have been withheld. Withheld tapaa of these li'aited attendance meetings, because of their much greater degree of sensitivity, are retained in locaticas other than those utilized for other withheld records. The 12 tapes that have been dete rmined to be releasable were subsequently tranucribed and released to the Public Document Room in transcript form with the tapes available on request. c. Clos 3d Meetings Recorded in Long Form Min "'s. Meetings closed to public attendance pursuant to Exe ption 10 have been recorded in minutes, as authorized by the Act. During 1978, there were 24 such meetings. The minutes are prepared by the Office of the Secretary and reviewed by the Office of the General Counsel and by the Commissioners as a matter of policy. Minutes are not immediately made available to the public in view of the adjudicative character of these meetings; however, they are reviewed on an annual basis, to determine whether the bases for the initial withholding action continue to apply. The General Counsel': cffice has recently begun a reexamination of the minutes of all closed adjudicatory sessions held in 1977 and 1978 to see if any may be released. i nl d. Index Systems and Tabulation of Requests for Transcripts, Recordings and Minutes (Open and Closed) The Nuclear Regulatory Commission indexes and abstracts all documents placed in the Public Document Room including transcripts of open and closed meetings and meeting summaries. A daily accession listing of this materi al, with weekly and monthly cumulations, is made publicly available in the commission's Public Dccumant Reading Room and mailed out to interested parties and citizens. Appendix F is a sample page from the system used to index these docerents and identifies the data elements used. The number of requests for meeting-related documents in 1978 was 522. The number of documents reproduced foi '.he public :Ts 146. All requests for these documents are t

lled immediately.

This is a very small fraction (less than 1%) of all documents requested by the public through the PDR. During 1978, NRC received 24 requests for trans-cripts of closed meetings. Of these, 19 requests were granted, four were denied in part, and one was a request for a transcript of a meeting that was cancelled. These requests are processec in the NRC Division cf Rules and Records and are reviewed first by the staff responsible for the subject meeting, second by the General Counsel, then by the Commission. The average time from date received to date respenced for all items was 54 days, 11. REQUESTS TO OPEN. The Commission's rules describe the precedure to be followed by a person who wishes to request a change in the status of a closed meeting. 10 CFR 9.lC6(b) and (c) provide that "any person" may ask the Commission to reconsider its decision to close a meeting by filing a petition for reconsideration. Any such petition must specifically state the grounds on which the petitioner believes the Commission decision is erroneous, and the public interest in opening the meeting. Filing such a petition does not automatically act to stay the effec-tiveness of the Commission decision or to postpone the meeting in question. However, in practice any request, formal or informal, is referred to the Commission for decision. 398 293 12. FORMAL COMPLAINTS. No formal complaints were received in 1978 on NRC's Sunshine procedures and practices. 13. EX PARTE COMMUNICATIONS. A copy of the current ex parte and separation of functions regulations (10 CFR 2.719 and 2.790) are attached at Appendix E. The Commission has published p'oposed revisions to those regulations (March 7, 1919 Federal Register). The General Counsel's of fice i' studying the question of communications between the Commission and the staff and may submit recommendations relevant to the Commission's ex carte and separation of functions regulations. 14. ADDITIONAL INFORMATION. This report was prepared in the Office of the Secretary, U.S. Nuclear Regulatory Commission. Comments or inquiries on this report or related matters are invited and should be addressed to: Office of the Secretary Nuclear Regulatory Commission 1717 H S treet, N. W. Washington, D. C. 20555 Telephune inquiries can be made to the Office of the Secretary on (202) 634-1469. APPENDICES A. Definition of Meetings B. Tabulation of Open and Closed Meetings by Month C. Tabulation of Meetings by Days Notice D. NRC Regulations as Amended Implementing the Sunshine Act E. NPC Ex Parte and Separation of Functions Regulations F. Sample Page of Index (Sec. 10e) b 'N'4 ../9g

APPENDIX A Definition of Meetings NRC's Statutory Meeting Requirement The Nuclear Regulatory Commission is a five-member, independent regt ' itory commission established by the Energy Reorganization Act 1974 (P. L. 93-408). It is responsible for assuring the atection of the public health and safety through the lice.. sing and regulation of the uses of nuclear materials. The Commicsion is required by the Energy Reorganization Act to take action only through meetings. Section 201(a) (1) of the Act, 42 U.S.C. 58 41(a) (1), states that " action of the Commission shall be taken by a majority vote of members present." In keeping with its sienificant and substantial public health and safety responsibilities, this Commission has emphasized the participation of each Ccmmissioner in its decision-making activities. Commission meetings are therefore generally scheduled at times when all Commissioners can be present so that each may participate in and contribute to the deliberations. Meetings lefined by Sunshine Act With enactment of the Government in the Sunshine Act and in compliance with its provisions, NRC had adopted regulations clearly defining meetings of the Commission which are subject to the announcement and record keeping requirements of the Sunshine Act. In summary, a meeting is defined as the deliberation of at least a quorum of Commissioners where such deliberation determines or results in the joint conduct or dispositica of official Commission business. Gatherings of a social or '.remonial nature and certain informational discussions which are conducted without specific reference to any particular matter nding before the Commission are considered exempt from the provisions of the Sunshine Act. A complete definition of the term " meeting" is contained in Section 9.101 of NRC's Sunshine Regulations (Appendix D). For purpcses of tabulating meetings in this report, each separate item scheduled for discussion or briefing is counted as a meeting. Additionally, each session at which one or more matters were scheduled for affirmation under the limited notation voting procedure described elsewhere is counted as a meetinc. 398 295

APPENDIX B TABULATION OF OPEN AND CLOSED MEETINGS BY MONTH CY 78 OPEN CLOSED OPEN/ CLOSED TOTAL Jan. 19 9 0 28 Feb. 20 6 0 26 Mar. 7_ 2 0 9 SUBTOTAL 46 (73%) 17 (27%) 0 63 Apr. 15 3 1 19 May 24 6 0 30 Jun. 22 12 0 34 SUBTOTAL 61 (73%) 21 (26%) 1 (1%) 83 Jul. 18 16 0 34 Aug. 10 7 0 17 Sep. 15 8 0 23 SUBTOTAL 43 (58s) 31 (42s) 0 74 Oct. 8 8 0 16 Nov. 24 12 0 36 Dec. 21 12 0 33 SUBTOTAL 53 (62%) 32 (38%) _0_ 85 GRAND TOTAL 203 (67%) 101 (33%) 1 305 A. Total Number of Open 203 B. Total Number of Closed 101 C. Total NuIabel of 1 Partially Closed Total Nunber of Meetings 305 398 296

APPENDIX C TABULATION OF MEETINGS BY DAYS NOTICE DAYS NOTICE OPEN CLOSED CLOSED /OPEN TOTAL 14 1 1 13 1 1 12 1 0 1 11 2 1 3 10 3 3 6 9 7 3 10 8 20 6 26 7 138 47 1 186 SUBTOTAL 171 62 1 234 6 2 1 0 3 5 4 7 0 11 4 3 6 0 9 3 0 3 0 3 2 1 1 0 2 1 5 6 0 11 Less than 1 17 15 0 32 SUBTOTAL 32 39 0 71 TOTAL 203 101 1 305 Number of times less than seven days notice given -- 71 398 297

APPENDIX D PART 9 e PUBLIC RECORDS . 1 42 U S C. Sec. 2011 et sec. and the En-Subpart C--Government in the Sunshine to puthe cbserva!!cn. ergy Reorgamzation Act of 1974, as Act Regulations 9.10a General providons. amended. 42 U S C. Sec 5801 et sea. or $ 11f10 Nopen* Subpart. The Secre'.ary shall ensure that an information wh:ch !! written would be Th:s sub;ar! preact:be precedures cpen Commmon tneetmgs are he d in a conta:ned in such records. but on!y to purn. ant to w h:ch NRC meetr.;s shall locaticn suc.h that there is reasonable the extent that the production of such be cpen to putlic et=ervat:en pursuant to space. and adequate visittlity and accus-t records or information would #1) inter-the prouswns of 5 U S C. Sec 5520 h t:cs. f or pubi e observaticn. No add:ticnal fere w:th enforcement prxeedings. (11) subpart does' not a0ect the procedures f r'ght to participate in Commission meet-denrive a person of a rieht to a fair trial or an impartial adjudication. (111) pursuant to sh ch NRC records are made g :ngs is granted to any peson by this sub-part. An pen meeting is not part of the censtitute an unwarranted invasion of ava.lable to.he pubhc f*--pect:en and f ormal er =fermal reccrd of decision of perscnal privaev, <1v) disclose the iden-n cop > tng wh:ch rema:n goserned.c:c su 7 the matters.d:scussed therein except as tity of a conddentf at source and. in the part A, except that the exemctions set J ctherwise requ: red by law. Statements of case of a record comD!!ed by a criminal for'.h in i 9.100 a, stall go,er in the else v:e;;s er express 2cns of cpmicn rnade by law enforcement authority in the course Comm.ss20ners or NRC empicyees at open of a criniinal invest: gat:0n. or by an ci any request made pursuant to ! 9 6 meetings are not :ntended to represent agenc7 conducting a lawful natanal se-to ecpy or inspect the transcripts. record-nM determinsucns or benefs. curity intelligence investigation, conf!- in:;s or mmutes descr: bed in i 1103. a Such stmements may not be ial int f Access to documents considered at NRC3, pleaded, cited, or reded upon before d[e confiden t s urc v

sc in meeungs shall contmue to be governed ~ the Commission or in any proceeding vestigative techniques and procedures or by subpart A cf this Part.

under part of these regulations (10 (vi) endanger the lif e or physical s.afety . CFR part 2) except as the Commission of law enforcement personnel; $ 9.101 De 6 nition s. + [ Reserved 1 [may direct. Members 'llhe pubile attend. (9) disclose inf ormation the premature ~ As used in this subpart: o 'ai " Commission" means the ecueg:al e ing open Commhtfon meetings may disclosure of which would be Iliely to body of Sve Ccmmissioners or a quorum ; use ent! electronic sound recorders to significantly frustrate implementauan of thereof as provided by section 001 of the ; record the meeting, but the use of a proposed Commission action, except Energy Reorgantzat:on Act of 19~4, or ; other electronic record.!ng equipment that this oubparag'aph shan not apply in cameras requires the advance any instance where the Commission has any subdiviston of that collegial body au- '{and thented to act on its behalf, and shan not Tritten approval of the Secretary, already disclosed to the public the con-tent or nature of its proposed act:en. or mean any body not composed of members 9.106 Cowd meetinA of that ccDeg2a1 body. where the Commissicn is required to ib) "Commissioper" means an indi-fa) Except where the Commission make such disclosure on its own initiative vidual who is a member of the Ccmmis-Snds' that the pubuc interest requires pr:or to taking final acticn on such pro-Otherwise. Cc=missicn meetings shall be posal m 5;c n. 'c) " Meeting" means the cencerations closed. and the requirements of 11 9.105 (10) spe':!ficany concern the Commis-of at least a qucrum of Commissteners and 9.137 shan not apply to any Infor* sion's issuance of a subpoena, or the where such de!!berations determine or mation ;er*.aining to such meeting other-Commissicn's participation in a civil result in the soint ecnduct or disposition vise requimd by this subpart to be dis o acti:n or proceeding or an action or pro-

of oficial Commission business but does closed *.o the pubHe, where the Comma-g ceeding before a state or federal admin-f g not include deliberations required or per-sion determines in accordance with the g istrative agency, an action in a foreign mitted by 119.105, 9.1C6, or i 9.108(c),

procedures of I 9.105 that opening such n court or international tribunal, or an gatherings of a social or ceremonial nat-meetings or portions thereof or disclos-w arbitration, or the initiation, conduct or g w ing Such information is hiely to: Disclose matters that are (!) spe y disposition by the Co y ure, or briefngs of the Commission by representatives of other agencies or de. (1) ticular case of formal agency adjudica-partments of the United States govern. cifcally authoriced under criteria es-a s t 5USC. 54 e ment, or representaties of foreign gov-tablished by an Executive order to be ernments or istm.nicnal bodies where kept secret in the interests of national me reced aRer an cppetunny fu a such brienngs o/ discussions tre informa-defense or foreign poucy, and (11) in hearing pursuant to part 2 or ammar t:enal in rature and are not conducted fact properly classifed pursuant to such provisiona. with specife reference to any particular Executive order; (b) Examples of situations in which ma:ter then pend =g before the Ccmmis. Q) Re! ate solely to the internal per-Comnussion action may be deemed to be sonnel rules and practices cf the Com-signincantly frustrated are (1) if open-sicaidh " Closed meettg" means a : netting R mission: ".g any Corrmiu1:n meeting or negeta-of the Cot.nussion closed to pub;1c ob g Q) Dischse matters specif:any ex-ticas would be hkely to disclose inior-servation as provided by I 9.104. - e=pted frem discIcsure by statute (other mationW.ded w nests made to N 'e > "Open meeting" means a meeting n than 3 U.B C. Sec. 532) provided that Commission in con $dence by persw...s of the Commission open to put3c co-; such statute :1) requires that the mat-outside the Comm:.ssion and which would e ters be withheld from the pubHe in such not have been provided cr made other-sertauon pursuant to this subpart. it) " Secretary" means the Secreta y a :nanner as to leave no di:cretion on wise; (2) if coening a, meeting or dis-the !ssue or (11) establishes particular (g) " Gene:1LL Counser' means the Gen-criterta for Tithholding or refers to par = closing any informat!on would reveal, to the Commission. eral Counsel of the Commission as pro-ticular types of matters to be withheid: legal or other poucy advice. public knowledge of which could substantiauy (4r disclose trade secrets and com-viced by section :Sa bi cf the Atanic En-afect the outcorne or conduct of pend-ergy Act cf 1954 and section OLf) of rnercial or M e etal information ob- ~ ing or reasonably anticipated utigat;on the Energy Recrgminucn Act of 19"4. tained from a persen and privileged or conddential. frdud!ng such mformat'on or negotiations: cr Q) tf opening any and, untu such time as the oSces of that

neetmg or disclosing n information as denned in.. ~90(d) of this title:

CScer are m the samelocation as tho-e of the Com= w.n. anv =emcer of ha cSer @ 4Dvc!' t -~*"".any person of a would revealiniormatio. requested by ur cri=e. imposing a civil penalty en any testimony or proposals to be gtven to spec: ally oesignated in writi.ng by him person pursuant to 42 U.S C. Sec. 2:30 or other agencies of govern =ent, including pwsuant to this subsection to carry out 42 U.S.C. Sec. 5848. cr any revoca:'3cn of the Congress and the Executive Branch L.s responsElties under this subpart. before the r* questing agency would re-any ucense pursuant to 42 U S.C. Sec. $ 9.102 G w n!r @ - nt. ? 36. or formany censuring any person-ce:Te Que informa:1cn. testimony or pro-Commissioners dan net jointly ccn-(6) disclose informat!on cf a personal posals. The exarntvs in the above sen-duct er disrrw of Commualon bnynm nature where such dtselesure would con-tence are for Luustrative purt:mses cnly in Commission meetings other tw in stitute srt1 car 17 unwarranted invasten of and are not intended to be exhausuve. acccrdance with this surpart. Except as perscnal privacy: 1 9.105 Comminuon procedures. M) disclose investigatory repor+J ec=1-provided in I 9.104, eve-y portien of every (a) Acticn under i 9.104 shall be taken m.reting of the Commmic-M be cpec piled for lay en.fercement purposes. in-c!uding spec:fesliy enforcement of the

~ P ART S e PUBLIC RECORDS on!y a r. a maiore of '.e ent re em. tr.. c'o<in; er :pamng cf the meet-og paragraph < a a or ibi of this section ben n.p ' ne Co--.;m:- m to u,:e ~~ne 2; ' such a Etien shall shall be taken only when the Comrr s- 'o "2 r

e"ec'it e ess of the sion ands that the public mterest m

.tucn a - -

c. 'acar:te s cv of ne C: -

C :." :m 2:en set::n or to restpo'ne or de-mm.c .-s c h'an h.eetON [p?Et$o.S cr - -. n e -.eet;.: n cue.< tion unless the prompt Commission action or the need - 9. p -.* ree e,.., ern C C 7"C 3;;n crge s ctherwise, to protect the common defen<e or secu-part: ors cf ni-h are proco=*d to te '*U U " M h## # clo< ed t ne - u%: pur*uant to ! 9104. 4 gg pg,;;c announcement of Com-safety os e rrtdes the pubhc uu rrest in or with remet to anv infc mat:on 'ahich mn kn mectants. is propo<ed to be tithhe'd under 4 9. 05 having full prior notice of Commiss:on (c). A s;ng!e vote may be taken w.th re- ' ai In the ca.<< of each meeting. the meetings. spect t a se :es of meetmgs, a porti:n S e:reta. shn make public announce-or per : ne cf whi-h are rr ro<ad to be =en

leas: ene reak ':efere the meet.

9 9.103 Certifica tion, tra ti-crip t s, re-closed to the pubh-. o-with r=<pe:! to g c; the n .e. place, and subject (a) For every meeting closed pursuant any 1-f:-mat::n ecn:e-neg such se.es =1mr of the =e1nng, whether it is to be to subparagraphs < !) through (10) of of meenn;s. so lon; as each meeting 1" CPG 0 closed Ic the Public, and the l9.lMia) and for every determmation such ser.es involves the same part:cu ar ..t=e and phone number of the oScial pursuant to subsection 9.105 c c s. the m.atters and is sche:uled to be held no r.mnated by he Cc=nnssion tc respond General Counsel shall pubhcly certify at more than thirty days af ter the in:t;a.

) requests for :.nferrnation atout the the time of the public announcement of meeting in su:h ser:es. The vote of er.t mee t =g. Sech 1-ouncement shal.1 ' e the meeting, or if there is no public an-o Com.m;ast:r.er ; art:c;;ating in such vote tade un.!ess a =a.crity cf the members of nouncement at the earliest pract: cal shad be ree:rded and no proxles s?.all be ne Cc==tssion determmes by a recorded tune, that. In his or her optmon. the

.o:e tnat Co~x ca busmess ree.uires metmg may be closed to the public and allowed.,Mh;n one day cf any vc ie taken n.. nch meenn; be caUed at an earlier - shall state each relevant cxemptive pro-dbi % pursuan-to parag- ;h 'a' cf *h;s sec-ca:e. = wh:ch c.se the Secretary shall vision unless the Commission votes pur-tion.13 -.2se publ:e a.nn:uncement of the time, suant to i 9105 t e s that such certtSca-tary sus,100a; cr I,9.108'ci the Secre-1 r ake pub.: !v ava:'a:::e in the .are ind sub:act matter of such meetmg. tion :s protected agamst dtsclosure b" Public Doc *.: ment Re?m a - nten copy of

nd rnether cpen or closed to the public.

! 9.104 ' a i A copy of such cert:ficatiori. such vote re*ecting the.: e of esch a he eartrest pract::al time. together with a statement f rom the pre-member :n the quesucn. If a ;; ort:on of a c' The time or place of a meeting sidme of3cer of the meetang settmg forth neet.ng ;s to be clocec to The puthe. the ma-be changad fellowmg the public the time and place of the meetmg. and Secre tar shall, wi-hm cn* day o' N - -~ ~ cement rMu. red by paragraph the person; present, shall be retamed by . ate :asen pursuant to ;3 rag-aph fan s o' th:.s section onjy Lf the Secretary the Commission. The Commission shall of th:s sectar: cr ! 9100 3'. m-ke pub-rume:y announc+s such changes at the maintam a complete transcr:pt or elec-hely av..la:le. the Pt :ll: Occu=ent t.t r u e."

ra: :st:e tune. The sub;ect trome recording adequate to record fullv l'icm a fu'l T-itten emanaticn of its nnner cf a :neenng. or t.he determma*

the prcc redmgs of each meetm". or par-acu:n c!:smg the port;on tosether C.th un cf the CC-u:an to onen or close tion of a mettm; ricsed to tM pu li. cx-a hst of an perstnt expeeted to attend a =ee ini. or pc tien of a meeting to ce-t that in the ca=e of a me:im er per-the meanng and their a".hation. ne pubhe mar be changed following tion of a meeting. closed to the public 'c) The notices a'id lists required by the pubhc announcement required bya majority of .n pursuant to paragraph (10s of 19104.c t. a paragraph ib> of this section to be made f inis subsection oQ if (1)R ne entire memb*rship of the Commis* E the Commissic a public may be withheld from the Dubli: O transcript or recording or a set of min-2 to the ex*ent that the Commission deter-s:03 determines by a recorded vote that c: utes. Such minutes shall fully and clearly n mmes that such infcrmation itself would - Commi.ston buttness so requires and that ' describe all matters discussed and shall '" be proteeted aga nst disclosure by I 9.104 no ea.rber announcement of the change Q provid? a full and accurate summary of @ f ai. Any such dete-ninations shan be

Tas possible. and c the decretary pub-any actions taken. and the reasons made independently of the Com.=1ssion's hely a.nnounces such change and the vote therefor. including a description of each cete-m:nat:on pursuant to paragra;h ia) c! each member upon such change at of the views expressed on any item and of this !act:en to close a meeting but in t.ne earliest practuable ti:ne.

the reccrd of any rolicall vcte 're"ectmg accortante with the procedure of that .es Tr-mediatelv followmg each public the vote of each Commissioner on thc s'lttect: n. Ane such dete:inination.1.n* ar.ouncement rM;utred by this section. question ! An documents consdered m w mi a wntten explanation for the

3.: re of the time. place. and subject connecticn 'vith any sett n shr.l! te idc r -

a :cn and the s ec;"c provision er p o-meer of a==et'.ng whether the meet-ta.ed.n cuch mmutes. a ' crs -! 1 9 '. 04 ' a relied upcn. mu.it . r L< o en or r!cred. ant change in one ibe Th? C : m.m. 9 Cl rr. be ~.d+ nbll-lv av11!able to 'he ex*ent 7,

7e,*c:rr and ne no me and prcmptiv available to the patWc. m a ty the c; :umstances.
.rne number of tre o!*cial designated Pubhc Dccument Rocm the inner: pt u-pa-"

t 0.106 Per one aiTect ed and motiorts cy the C0mml"Icn tc sescond to requests electronic recording. or mmutes ' as r*- for rnon.ideration. f - -!cr=atic. a cout the meetmg. shan quired by parag ra p h ' a i of th t: =ec t :c t ' 0' C #'- ~N 3

m....r. w. e a.. ~. ersc a.. w hos e.*. = *. -

-r W.trc:5 Ir agenda. or of any. tem of 'he tetimo! ' e<- mar he d:rectiv a'fected by a por-c Enn0uire ent raquired of any witness received at :he mrt! r.g. tmn of a vettne rmuests that the Com-bv ara *raph 'a - of th:s sect:cn shan except for such item or items af un n mission c!cse such portion to the putac d1=cussion or test;monv as.he Co'nmr-of L e Se-* eta:v:

ec_,

'l e publicly rNicr a copy of the docu. slon determines pursuant to parnr.1r b r o t 'c) of this section to contam :rf orma-3)'p 6 ' request of any'one "ent in the Put"* Document Room at Ua aI ~ b' DC. tion which may be w:thheld tmder ! 'l 104 Ccmmis : :- u cn shad vote by recorded or ! 9105 < c t. Cop;es of such tra.: crmt. oteNe propriate 'l-der the Ccmm;";oner i ot e s he 4.e. so c!cte such me*,.... or mmutes. or a transt'ntacn of such re- 'b' Any pc5nn may petit;on the Com. cordmg disclosmg the :dantit' c1 car'h cm umst.ances. m:sMen to reconsider its action under D mailmg a ec .o a3 pes..,3 m% o,,. u tama m on a = ail.:ng list mamtamed ' s h M ce l u j s h ed t o a n ". -{e i., f 3105 a Or paranach ial of this sec. q tion bv *.img a pent:on f r reconside-a. .cr -.ts purpose Micalien or tranernntlen.n ' w&i ,or penible tion w:tn the Comm1Micn c.th:.n seven i3+ rubmitt:rg a copy g davs af ter the date of such action and publication to at les.st two nen spapers complete ' erbattm ccpv of the transcr;pt before the meetmg m question is held. of gtneral circu!ation in the Washmg. a compbte copy of the mmutr= na a 'ci A pet: tion for recer*1deration Ned ten. D C. metro"ohtan ares: complete electrome recordme of eacn obrsuar to parag-aph 'bi cf this sec- '4s any other means which the S(c-cP*ed t;cn sha'l siste specifically the grounds reta rt believes win serse to further m-meet mg. or port;r n of a me,e' uc gg g g, gg on which the Commistion action is (crm any persons who might be mter-cars af ter such mee t:r t m wt n, e s laimed to.be erroneout. and shat! set e-t ed hcar af ter the enrr!"uon ca a m-C [m-for?'1. If e

ropr: ate, the public mterest ee-Actien under the secord centence mi ston "ro red a w ;th ics n ? o u me n 7DO 70

PART 9 e PUBLIC RECORDS l the meeting or portion was helet. Wh:c!i- {et er occurs later. c' In the case of an> mecung clo2ed pursuant to i 9.104, as the last item of business. the Commission shall deter. nine which, if any, portions of the elec. R tronic recording transcript or minutes R and which, if any. Items of information

withheld pursuant to I 9.10$ d en con-

tain mformation which should be with-Z held pursuant to I 9.104; provided how-a-

that huiJ the ( ommnuon not mAe msh Jeterminations mimediatef) f ollow in.. .,n3 sash slined met tm. t he Sesrc un of t he Commiwiun.' u pon the aJme at the Of t.ce ni the (.e 1eral Counwl and ;lter ;onsult;nc w it h t'1e t ommimon. shall mde sus h _Je te r mina tio n s id) If at some f ate.* time the Commic- ':en determines that t'lere is no further 'usttacation for withhr iding any trans-script. recording or other item of infor-m-tton frem the public which has pre-lauely been withheld. then such inf:r-mrtion shall be made avP1'able. ".109 Hewrt to Congrm. C The Secratarv sha:1 annually repcrt to R th : Congrets retardhe the Comm1*sion s - Mmp'!anca with the Government in the

" m einne Act. including a tabulation of

[ '. a Octal numt'ar of open meeting

the
w:al number of clased meetings. the re* sons for closing such meetings and descr:ption of any litigation brought a

aga:nst the Commission pursuant to tne Government in the Sunshine Act, includ-mg any costs a.ssessed against the Com-mis =1on in such litigaticn (whether or net paid by the Commis31on). t'q 3 ') nO Jbb Amenaco 43 i w no 9-13 September 1,1978

PART 2 o RULES Oc PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS APPENDIX E '- :.m Power of prniding ofricer. \\ presiding of ficer has the duts conJu t a tair and impartial hearing sc cording to law. to take appropriate ac - tion to avoid de ay. and to maintam I order. He has all pawers necessary 30 these ends. including the powers to 'ai Administer oaths and a ffir m a. tions to, Issue subpoenas authorized by law t c i R ule on of fers of proot. and recen e es idence, c. E tdi Order depositions to be taken tei Regulate the course of the hear [~ ing and the conduct of the participants if Dispose of proced.ral requests or similar matters. i,i Examine witnesses c thi Hold conferences before or dur. ing the hearing for settlement. umplification of the issues. or any other proper purpose Certify questions to the Commn. til unn for its determination. either in his discretion or on direction of the Com-mission sii Reopen a proceeding for the reception of turther esidence at any time priier to initial decision ikl issue initial decisions. and ~ Take any other action consistent tii with the Act. this chapter. and sections $$1-358 of title 5 of the United States Code. i en4 ; 2.719 Separation of functions. $ (an A pc. siding ofticer shall perform g no duties inc insistent with his respon - sibilities as a cresiding of ficer. and will not be responsible to or subiect to the supers isor or direction ot' any of ficer or employee engaged in the performance of -ins estigative or prosecuting tunctions ibi in any ad.,udication. the presid-ing otticer may not consul. any person other than a member or his statt on any tact in issue unless on notice and oppor. tunity t'or all parties to participate. es-cept i 1 ) as required for the disposition of es parte matters as authorized by IJw and (2i as provideo in paragraph Ici of thti section. E000 0m aM I 0j3 ~. . ~ _ m,

PART 2 e 3ULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDING e f -. i at '.;ies:i.n :..r the deter-and gn eiesum C~ produce specifiei sinnen and named NRC perwnnel.r a .a n _ rN ea tion or iniual documents..r omer :nings A a d ag. he.irq or on Jeposition may not be re. er

nan a contested pro.

r.ated time and riaee The wrpoena will quircJ $ ine nreudine otther, bs sum ."[ ?.e cre. Jing ot6cer un alv ads ise e

he phme prisedure poena or mnerwise moiided That the

~ con e s att. a.d i2. memr'ers of the y a ided in par igraph i t; or this section. presiding othcer may. upon a show ng of 5 cc e. Ormr:ed tn the Commssion from Lnicss the sersice ut a subpoena exceptional circumstances. such as a case aci memeers of atomic safety and is acknowledged on its face by the wit. in w hich a particular named NRC -n::-

ewng boards are drawn Prosided.

ness or is sers ed by an officer or employee has direct personal knowledge 2 -- - That in adiudications in w hich empioyee t the Commission. it shall be of a material fact not known to the ut-I i.ert.ns t; the :nitial cecismn may be sersed by a person who is not a party to .iesses made as atlable by the Executne

ne Atomic Safet', and Licen' sine the hearing and is not less than eighteen Director for Operations require the at.

a: : A::et B,ard. tne presiding otticer shal'l (l >C3r5 of dEC Serv 1" dSub oena tendance and testimony of named NRC P . sasult ans member 'of the Atomic shall be made by delis ery of a copy of personnel Liensing Appeal Board or 5 en in: the wb oena to the person named in it (iii in addition, a party may tile with P j g (n. m,ge' and tendering him the fees for one day s the presiding officer written interrogato-anendance and :he milenge allowed b ries to be answered by NRC persc..ael Etcep: as prmidcJ in paragraph law Wher the subpoena is issued on with knowledge of the facts designated 'd rn 'e : son and ; 2.10i c). in any behalf f the Com m ission. fees and ey the Executive Director for Opera-n c.se M adg;dicat:on. no officer o' mileage need not be tendered. and the.{ tions L pon a Gnding by the presiding r a

of the Commission who has

@poena may b: served by registered y officer tnat answers to the interrogato-e..a; in tne performance of ans in. mail ' - fa:.e or rcsecating ' unction in the 'di Witnesses summoned by - ries are necessary to a proper decision in 4 the proceeding ind ' hat ans* cts to the sun. j fa:n.ain rQted case mas par-poena shall be paid. by the party at interrogatories are not reasonably ob-e r ads ise in the :nitial or' 6nal ~ w hose instance they appear. the fees and tainable from any other source. the a we l.::n - euept as i witness or counsel ? mikage paid to witnesses in the district presiding officer may require tha. the p Ncee: nz Where an initial or : couris of the United Sates. staff answer the interrogatories > A. cec sv n ti stared to rest in whole or The person sersing the subpoena (iii) No deposition of acular 'ei Oc in: e opmion obtained as a shall make proef of sersice by Gling the named NRC employee or ns%r to in. a ;or.su::at on or communica- @poena and affidasit or acknowledge. terrogatories b) NRC personnel pur-w r::ed by piragropn ici of this ment of service with the ot6cer before suant to paragraphs (hI(2)(i) and tii) ot .1.70ici. the substance of the w hom the witness is required to testify or this section shall be required before the i. - en :at:on shall be specified ir the produce evidence or with the Secretary. matters in controversy in the proceeding ee,rc in the proceeding and every party Failure to make proof of service sha'l have been identified by order of the na.. ce afforded an opportunity to con. not affect the validity of the service. Commission or the nresiding officer, m er: the fact or opinion. If the parties ( f) On motion made promptly.and in pursuant to i 1751a, or after the begin. .6 e not had an opportunity to con-any event at or before the time specified ning of the prehearing conference held Ns er such fact or opimon prior to the 'n the subpoena for compliance by the pursuant to i 2352 except upon leave of ^!. g of tre decision. a party may con, person to w h orr the subpoena is the presiding officer for good cause - w er. the fact or opinion bs filing an d'rected and on notice to the party at shown. - :Gestan to the initial decision, or a whose instance the subpoena was issued 2 - .or f r recunsideration of a Gnal the presiding officer or. if he is unavaila hv) The provisions of 4 2.740(c) and . ::. m - ..early and conersely setting 51e. the Commission may (1) quash or (e) shall apply to interrogatories served t e -formaion er arcument relied medity the subpoena afit is unreasonable O pursuant to this subparagraph. 3-...: e,ntrary. "r requires esidence not relevant to any f (3) Records or documents in the matter in issue.or Ci conditmn denial of I custody of the Commissioners and NRC 2, ;0 s ubpoenas. the. notion on just and reasonable terms. ;; personnel are available for inspection igt On application and for good and copying or photographing pursuant P sepi.catrn by any party. the cause shown the Comrnission will seek to M 2 744 and 2 790 i

s :: Orwing officer or if he is judicial e n fo rc em en t of a sucpocha I.. M e. tac' Cnairman of the issued to a party and which has not been j 2.721 Atomic s.fety and licensing V c.c Safety.nd Licensing Board quasned.

boards. P4:e1 ine Chief Administrative Law ~ L. ige or other designated of6cer will f th.i i) The provisions of paragraphs (a) The Commission or the Chair-ut sawnas requirit'g the attendance 3 (a s tnrough (g) of this section are not ap-man of the Atomic Safety and Licensing

st. nt m of witnesses or the pro g plide to rhe attendance and testimony Board Panel may from time to time f hidence The officer to - of the Commissioners or NRC personnel, establish one or more atomic satery and n

' a0pocat.on is made mas require a 4 r to the pr duction of records or docu. g licensing boards, each comprised of 4 c cf general reles anhe of tne L,ments in the custody thereof. g three memt'ers. one of whom will be r-h or es idence sought. and mas

qualified in the conduct of administra.

.h ad the suctmena if su'ch a showinf (Qi in 4 proceWing n *hien tne ; ttve proceedings and two of whom snali I not made, but he shall not attempt to NRt is a party. the NRC staff will make m have such tecnnical or other quahf' -.::er.ne tr.: admissibiists of evidence. ; vai one or m re witnesses desig. tions as tne Commission or the Chairn..n R nated by the Executive Director for of the Atomic Safety and Licensing -I Es er. su t poena will bear the : Operations for oral examination at the Board Panel deems appropriate to the ce c ' the Commission, the name and y hearing or on depoitton regarding any issues to be decided, to preside in such

e < f tne issurmt afficer and the title ' ma er. not privileged which is relev.nt proceedings for granting. suspending re carir g. an'd will command the to the issues in the proceeding The at-revoking. or amending hcenses oi to unum it is directed to attend tendance and testimony of the Commis.

authorizations as the Commission mav d Mtember 1.1978 ) l i' ' O 'qq 4

u. _

2-20 s 4f s a e,

PART 2 o RULES OF PRACTICI. FOR DOMESTIC LICENSING PROCEEDINGS e P v rE Cmm v oms L,he pnRmg inmef ' ~T QTfacts oTfTcTaFnWe7T -a parte communications. - ..., 8 0 l , The ruhng on eac h mate ria! e t-t.i a: 76 - o.t i This section does not apply to ~ 2 'G mv 7; c e p t:-n,

- i4i The appi.,priate ruhng. orde r. or paagraph f e ) of this section. neither c o m m u n i c.i t i o n s a ut h o rize d by A denial of rehef. with the effectise date.

tie t.,m mis u ners, members of their paragraph telof this section to the dis-immediate stafts, or other NRC of6cials posinon of e t parte matters authonzed. n

2.771 Pelition for reconsideration.-

and emplayees who adsise the Com-by la w, or to c o m m u n ic a tion s re I sai A petition tor recenside ration ot m is s :o n e rs in the e xe rcis e of their quested by the Commission cocnern-a tinal decision may be tiled by a part) quasi-judicial functions will request or me. w tthin ten (IO) days after the date of the e.n e rt a m o ft the record e teept from it; its propnetary functions, ,a dec tsson. No petition may be tded with ea h other, nor Q any party to a pro-(2) Gene ral he alth and safet) ! respect to an nitial decnion w hich has e e din g fo r the is s ua nc e. de nia l. proble ms and resoonsibihties of the$ 0 bemme 6nal throug h failure to tile ed a m e n d'm e n t. t ra n s f e r. re ne w al. Commis sion, or (ceptions the reto. modi 6 cation. s uspension, or revoca-

0) The status of proceedings.

(b) The petition for reconsiderat.on R tion of a lic e ns t or pe rmit, or any te i in any adjudication fo r the shall state speci6cally the respects in 2 ot6cer e m ploye e. re p re s e n ta t n e, or determmation of an anplication for in. w hich the Gnal decision is claimed to } any other person directly or indirectly stial hcensing, other than a contested be erroneous, the grounds of the pett- ~ ac tin in behalf thereof, shall submit proc eedmg, Comnus sioners. membeit tio n. and the relief soug ht. Within ott tne record to Commiss:oners or mmediate staffs and other NRC ten i 10)* days a fte r a pe titio n fo r such s ta f f members. o ffic ials, and ,,ais and employees who adsise the. u., $ reconsideration has been filed, any employ ees. any : vide nce. e xplanation, { Commissioners in the e sercise of the:q [ other party may fiie an answer in op-analy sis, or adv:ce. w hether w ntten or O quasi-;udicial functions may c o n s ult, I position to or in s upport of the petition. oral. reg arding any substantive matter : the staff, arid the staff may communti '.; Ho w e ve r. the staff may Gle such an at,s s ue m a proceeding on the record h cate with Commissioners, members of answer within twelve (12) days atter a then pend:ng before the NRC for the ts-their immediate staffs and other NRQ petition t'or reconsideration has been s ua n:e. denial. amendment, tra n s fe r. officiais and employees w ho advise nej file d re ne w al. modification. s us pension, or Commissioners in the e xercise of the r; [ aci Neither the 6!ing nor the g rant. re s uc ation of a heense or permit. For quasioudicial functions. 2 ing of the petition shall stay the deci. Ihe purposes of this section. the term (f) The provisions and hmitations of{ C s ion unle s s the Com mis s ion orde rs proceeding on the record then pend-this s e c tion a pp hca ble to Commis. i E othe rwise. ng before the NRC" shall melude any sioners. members of their immediac 7 2.772 Auttiority of the Secretary to application or matter w hich has been s ta ffs. a n d other NRC officials andi Rule on Procedural Matters. noticed for hearmg or concerning employees who advise the Com m n - W hen bnefs.monons or other papers w hich a heanng has been requested s toners in the e xe rcise of their quas t4 listed herem are submitted to the Com-dursant to this part. judicial func tion s are appbcable toi me mbe rs of the &mic Safety and, miss' ion itself, as opposed to officers ion Co pic s or a nue.i communica. who hase been delega'ted authonty to tions covered by paragraph (a) of this IJcensing Appeal Foard members ot3 act for the Commission, the Secretary secuon shall be placed in the NRC their immediate staffs ano 'ther NFC or the As s is t a n t S e c re ta ry are pubhc document room and served by offic ials and errpioy :es who advise authocized to-the S e c re ta ry on the communic a to r members of the Appeal Board in the, (a ) Presenbe schedules for the fil-and the parues to the proceeding in-exercise of theti Qaast-judicial func 1 ' ng of briefs, motions. or othe r plead-s oh e d. tio n s. i in g s. w he re s uc h s c he dule s ma y diffe r ic ! A Commis sione r, member of his NOTE: [veleted 40 : R 29N fro m those e ls e w he re presenbed m immediate starf. or other NRC official _r-these rules or where these ruies do not or e mploy e e a dv:s m g th e Co m mis - 2 p-esc r:ee a schedule, sioner m the e xercise of the:r quasi. ? A MIC SAFETY AND Lie.Nsisc ibi Rule on monons for extensions a u d ic ia func tions. to whom is at- { APOE AL BOARD @ of ume. tempted any oral communicanon con-ic > Reject motions. bnefs, plead, cerning any substantive matter at :ssue t l 2.785 Functions of Atomic Safetv 2 ings. and other docurnents filed witn ~; m a proc e edin g on the re c ord as' ? ihe Com mis s ion later than the time : desenbed in paragraph (a) of this sec-and Licensing Appeal Boards. presenbed by the Secretary or the

tion, will decline to listen to such com-As s is t a n t Secretar or estabbshed by
municanon and a di e xplain that the tal The Commission has authorizeu an order ru le, o r re g ula tio n of the matter is pending for determinatien. If Atomic Safe.y and Licensmg Appeal Co m m is s io n u n ie s s eood cause is unsaccessful m preventmg such com-, Boards to exercise the authority and per-show n for the late fihng.

r iu nic ation. the re cipie nt thereof w ill 2 orm the review functions which would f (d) Pre s e nbe all procedural ar. Sise the communicator that a written 3 otherwise have been exercised and per range nents relatmg to any oral argu. s ummary of the conversation will be I formed by the Commission, including men' to be held before the Commq, de hvered_to the NRC public doc ument ?r but not limited to, those under }t _nonq room and a copy sened by the Secre-2.7t 0-;.771,;.912. and 0.913 m (l) pro-(e) Extend the time for the Commis-tary of the Commission on the com-ceedings on apphcations for hcenses sion to rule on a petition for revtew municator and the parties to the pro-under Part $0 of this chapter and (2) ,;g under 10 CFR 2.786(bt (f) Extend the ceedmg mvolved. The rec pient of the such other licensing proceedings under g time for the Cornmission to grant oral cornmunication thereupon will the regulations in this enapter as the review on its own motion under 10 make a fair, w ntien summary of such Commission may specify' e

CFR 2.788(a); and (g) Extend time fer communicanon and deliver such sum-N, <J Commission review on its own motion

,Jc7 m a ry to the NRC pubhc document J / () 3 Lof a Director's denial under 10 CFR

.006(c)_

room and serve copies thereof upon.

mended a3 FR b94 q

gyg) g s the communicator and thegarties to; c h, h i %ctember 1,1979 g

1 12428 s

proposed rules

EGisrEt canons nor.ces *o the ebLc of the proposed sswance of "Aes and regviot.oes. The pepose of these not<es Na secon of me FEpf R A e rules.

g,.e inte.ested persons on opoor+vn ty to pomcipo'e e me ru.e enosing pner to the odochon of the frav 1 I FOR FURTHER INFOR51ATION FOR FURTHER INFORMATION CONTACT: j ym apgi CONTACT. DEPARTMENT OF AGRICULTURE Additional information may be se-Stephen S. Ostrach. Esq., Of fice of j cured on request, submitted to the General Counsel. U.S. Nuclear ;Y No of the 5.w ery Weldon V. Barton Director. Office Regulatory Commission. Washing-f( e of Energy. Department of Agricul-ton. D.C. 20555, CO2) 634-3224. (7 C7a P.,,29c0) ture. (202) 447-2455. SUPPLEMENTARY INFORMATION: SUPPLEMENTARY INFORMATION: These proposed amendments have two I 155tNTIAL AGUCtJtTURAL UtES OF NAftMtAl Comments are particularly invited primary purposes. They are designed gas from State and local agencies which to adapt the Commission's rules to the are authorized to d2Velop and enforce terminology of the Government in the A.aesty of Deaf, trrvir.anseatet teipec, environmental standards and from Sunshine Act and they are also de-Federal agencies having jurisdiction signed to codify the practices the 5,,,,,,,,, by law or special expertise with re-Commission now employs in its adjudi-AGENCY: Office of the Secretary. spect to any ennronmental impact in-catori proceedings with regard to e2 1*SD A. volved frcm which comments have not parte communications. AC" ION: Notice of availability of baen requested specifically. Both the separntion ci functions i i draf t environmental impact statement Ccpies of the OE Draf t Environmen-regulation, f 2.719. and the c; parte and request for comments. tal Impact Statement have been sent regulation. { 2.780. are based on the various Federal. State and local concept of "Commmion adjudicatory I

SUMMARY

Notice is hereby given to that the Office of Energy (OE) has agencies, as outlined in the Council of employees." This term is new, but the prepared a Draft Environmental Ennron= ental Quality guidelines, principle it represents is embodied in the present regulations. It is intended Impact Statement (DEIS) in accord-Dated at Washington. D.C. this 27th t include all of those employees who ance nth Section 102(2Xc) of the Na*

day of February 1979' participate in the making of the Com-tional Environmental Folicy Act of WooM V. BARToM. mission's (or the subordinate adjudica-1969 (NEPA) in connection with the Dtrector. Office of Enern. tory panels') decisions in adjadicatery proposed rule by the Secretary of As-f FR Doc. 79-710S Fued 3-4-79: 8.50 am) proceedmgs, and it should be broadly

r. culture to certify the er.sential agr1 construed. Of course, it does not m-clude those people whose participatton cuMural uses of natursi gas to the Sec- [7590-01-M]

retary of Energy und^r Sect;on 401 of L ec ma g pmem is M the Natural Gas Policy Act (Pub. L-NUCLEAR REGULATORY 95-621L (43 FR 54938. November 24. COMMISSION sel.The Commissien has requested the W CFR PM 2] D*partment of Agriculture ear. General Counsel s office to examine liar p~p M a prel' *Ery impact RtJtE5 CF PRAC71CI the extent to which cirect communica-tions between the Cemmissioners and ann.vsu of the proposed rule. In re-AGENCY: U.S. Nuclear Regulatory the Commission staff may legally and mna to public com=ent, a draft en-Cernrmssen. i:rennental i= pact statement has practically be employed as manaca-been prepared which discusses the eco-ACTION. Proposed rule. ment tools. In particular. the study nomic and ervironmental conse-SUhDdARY: The Commission is will examine the extent to wntch Com-

uencas of four alternative curtall' rmending its rule dealtng with c: Imssioners can. not on the reccrd.

ment ::lans. This statement exammes pc*te communications and the separa. communicate with staff on :snes the impacts on ag : culture. affected tion of adjudicatory and non-adjud - which arise in spec:fic proceedm.t adustnes, air quality, water quantF. tory functions su that those ruks sul adjudicat:on Ethout violat:nz tne c and biolog: cal resou ces. accord Eth the Government in the parte provisions of the Attmmistrame Sunshme Act. Pub. I. No. 94-400. The Procedure Act and without vichtmg DATE: Cc nment.s must be received cn substance of the proposed rules is "le " hearing" requirement of the or before April 23.1979. largely unchanged from the Commis-Atomic Energy Act. This study. which ADDRESS: Send comments to: Direc-ston's current rules and practices in is now scheduled to be ccmpided in approximately two months. may lead tor. O!!1ce of Energy U.S. Department the areas mvolved. to reccmmendations for modificatica of Agnculture. Room 226-E. Admirus-DATE: Comments must be received on of the regulat:cns proposed be:c v or muon Bu_mg.,.-... and Indepen-cr before April 23'1979' for other modifications in the Cam. dence Ave S.%.. Washmgton. D.C. 20 50. The Draft Environmental AD DRESSES: Written comments mission's current regulations ard ;rac. Irnpact Statement may be enmmed should be submitted to the Secretary tices Pubhc comment on the issue of duatng regular bus: ness hours at the of the Commission. U.S. Nuclea-Reg-such commun.cancns may be mwe Of fice of Energy in the South Agne'rt-ulatory Comnussion. Washmgton, D.C now or may be made after the General ture Building. 12th Strut and inde-205:5. A'I'1'N: Docaeting and Service Counsel's rec mmendations are mace pendence As enue. S.W., Washing en. Branch. Copies of all ecmrnents re-pub!!c. D.C. Room 5173. Ccpies of the OE cewed may be examined in the Com-Proposed 12.719 is drant from 5 DEIS may be obtained upon request to misston's Public Documen. Room at U.S.C. 554(d) and the Ccmtmss:en's the OE at the above andress. 1717 H Street. N.W.. Washhgton. D.C. present regulation on separation of ..q 7.. b ) f tsttu etGnTit, voL 44, Mo. 4--wtDNtsDAY. MARCH 7, nT9 P00R Gm!NL

PROPOSED RULES 10429 functions. Subsection (b) is designed 2.780(e) as it !s presently written. The catory empleven n:11 te tretW n to prevent adjudicatory employees absence of any dispute in olving the are modeled af ter tne prov:sions m from being subordinate to non adjudi-application ensures that this provtsion Suruhtne Act, and also pros:de thn catory employees so that no situations will not prejudice any party. most cases. the Secretary of 'he C'm-can artse in which the independence of The final exclusion from the defini-mission will send copies of :he ecmtro the Commission's adjudications may tion of c: parte commu ifcations tn-n cation to all parties to the prone + be scspect. Subsection (c) will prevent vohes generic issues. This exclusion ing. Commission staff personnel who have takes account of the CommisstoWs Subsection th) e xplams how pro-appeared as parties in adjudications dual responsibilities as both an adjudi-ceedings to ;mpose sanctions for vrola-from participating in making the deci. catory and a rulemak}.g tody. The tions of the er parte rule shall be ecm-stons in those or factualy related adju-Commission of ten has before it gener-menced. The Commission expects that dications. This provision does not ic rulemaking proposals which would the sanctions imposed in any case w: apply to uncontested applications for alter Commission policy in broad areas take into acx Ent the intent of the uutlal licenses or to informal rulemak-of its responsibilities. In many cases persons involved, the ser:ousness cf ings conducted pursuant to 5 U.S.C. such proposals. if adopted would have the violation, the nature of the issues an effect on adjudicatory preceedings and their importance to the procc-i-553. Section 2.780 is intended to cover all and. in some cases, on matters current

ing, the interests of other part es c.-

Commission adjudications. It does not ly in esue in such adjud! cations. To in-persons, the pubile interest and ct!u r apply 'o informal rulemakings or to elude these genaric matters withm the relevant factors. Subsect:Jn ti) defines dects: ens on requests for enforcement definition of er parte communications when the prohibition against c: pam action pursuant to 10 CFR 2.006. It would sigmficantly impair the Com-communications comes into effect does apply once an enforcement pro-mission's ability to resolve generic Subsection (J M1) defines the te-m pro-ceeding has been institutr d pursuant issues through rulemaking. Since the ceedmg so as to exclude export and to 10 CFR 2.202. There are several spe-same genene issue may affect many import proceedings from the deitne cific exclusions from the definition of adjudications, each w:th separate par-tien. since those proceecngs are scp.1 er parte communication in subsection ties. resolution of these issues through rmtely treated in P1rt 140 cf the C;m-2.780( b ). The first exceptien involves adjudicatory or quasi-adjudicatory mission's regulaticns. F e he m are requests for reports on the current procedures might in some cases pre-consistent wit h current Commissi m status of a proceeding or upon sched-vent the Commission frem taking poLcy. rulemaking proceecings con uling matters. This exception permits needed regulatory action in an expedi-ducted pursuant to Subpar

H of 1 the parties to obtain easily this neces-tious fashion. The Commisrion be-CFR Part 2 are also not :nciuh sary and routine information. The lieves that this policy accords with law within the coverage of the e b;on

-c-second exception is for er parte com-and is justi.fted for the policy reasons rohibition except as the Comm mumcations which are specifically given above. However, the Commission " ay otherwise direct in particular r-m permitted by statute or regulation, recognizes that this provis:on cannot leme gs. Subsech W 2) de h, such as requests for subpoenas or dis-be used as a means of circumventing the term " interested penon,, as that cussions of certain classified informa-the adjudicatory process and will act term is defhed in the :eg:siathe huto. tion (see 10 CFR 2.912). This excep-to ensure that its use is limited to mat-ry of the Sunshine Act H.R, Rep. 94-tion simply recognizes that the policy ters that are of generic rather than 880 Part I. 94th Cong. 2nd Sess. at 19-against c: pa rte communteations can limited concern. 20(1976). be osercome by other policy consider-Subsections (c) and (d) of 12.730 are Pursuant to section ist of tha ations. Aslo excluded from the defini-the essential operative provisicns of Atomic Energy Act and 5 U.S.C. 552. tion are commumcations by or to the er parte rule. Together they bar er notice is hereby gnen that adopt;on o' members of the Offlee of the General parte communications either to or the following amendments 'o 10 CFR Counsel regarding matters pending from Commission adjudicate y em-Part 2 is contemp.ated. All :nterestcd before a court or another agency. Al-ployees. The prohibitions apply to "in. persons who desire to submit wt ' ten though in most cases !ssues are litigat. terested persons" as that term !s used comments or suggesticns fer cons. der-ed in the courts only af ter they hase in the Government in the Sunshine ation in connection w:th the propcsed been adjudicated by the Commission. Act The long-standing Commissicn amendments shoulc send them to the there have been cases in which mat-policy against er parte commun!ca. Secretary. Umted States Nudear Re:- ters were pending in litigation at the tiuns between adjudicatory ar d non. ulatory Commission. Wash:ngton. D C. same time that those or related issues adjudicatory employees is alc nde were before the Commission or the explicit. Subsection (e) is a c fic.. 20555. Attention: Docket.ng and Ser ice Branch. All comments must be re-Boards. In such cases it :s sometimes tion of current procedures 'or di sling necessary for merr3ers of the Office of with er parte commumcaticns. It pro. ceived by Apr:] 23.1979. Copies of a3 comments received may be examined the General Cot.nsel to discuss the liti-vides that, to the extent possible, c: In the Commission's Pub;ic Occument gation with the parties who may also parte communications will be chan. Room at 1717 H Street NW., W1shing-be parties to the Comrnission proceed-neled to the Office of the Executive ing. Subsection 2.730(b)(3) recogn::es Director for Operations for handling ton D.C.

1. It is proposed to amend j 2.719 to this need and excludes such communi-by that office. Since the communica.

cations from the definit'on of c parte tions will not reach any adjudicatory read a.s follows: communications so lcng as they are employee, this means they wtll in most limited to discussions of the matters c:Lses nct have to be ecpted and circu-j :q 9pamon d Funent Gmm un Adjudic t ry Employees. pending before the court (or other lated to the par *ies. This will result in agency). The fourth exempticn per-a s:gnificant cost sav ngs to the Ccm. (a) As defined in this sect:cn. Cm mits adjudicatory employees to com-missicn 'xhich presently copies and missio n id;udicatory em;;o> ces m-municate diractly with the staff m un-c;rculates all er pcree cor.munications ciude: contested licensing proceedings which. regardless of the volu=e of such :om. (1) The Chair nan and Commis.ncn-as defined by 10 CFR 2.4t n), are pro-mumcations or whether they reached ers and members of the:r perwncn credings in which the only part *s are the Commission employee to whom staffs; the staff and the applicant and where they sere sent. Subsections (f) and (g) (2).',fembers of the Atom:c Ssf oty there are no tssues in d:spute. This pr oude how c: pcrte communicat:cns and Lcensing Appeal Par.el and mem-provtston is carried over from 10 CFR s hich are recetved or =ade by adjudi-bers of the staff of that panel; FIntRAL Rt3$itt. VCt. 44, NO. 44--WEpNt30AY. MARCH 7.1979 in PO'b unikt .t

PROPOSED RULES IM30 (3) Members of the Atom;c oafety or T Itten communication relevant to with but sepa. rate from the public and Ocensing Board Pane! a.nd clem-Ine merits of any proceeding on the record cf that proceeding; ber: of the staf f of that panel; reccrd pend.ng before t" NRC which (1) All such communicadons which t o The General Coansel and e=- is r.ot made on the pubi.c record and are uTitten; ployees of the Of fice cf the Genersi uth respect to which reasonable prior C) Memoranda stating the s u b-not.:e to all pa:ticipants in the pro-stance of any such communications Counsel; (5) The Direetor of the O!!ica cf ceedg ts rio; given. but it shall not in-shich %erc oral; and (3) All sTitten responses. and tnemo-Po'.;ty E.alaauon and em;Z ees cf ciude. that office; < 1; Requests for status repor+s; randa stating the substance of all oral '6 i The Secreta.y and Uncloyees of C! E: paru communmtlen.s specifi-responsas to the matertah discussed in the Office of the Secretar~. sad cally permitt 'd bv sta ate or regula-paragra;hs (f X1) and (f x2) of this sec-(7) The Director of the CM.ca cf In-tion (for erarr ple, f 2.700 of this partn tion. spector and Auduor and em:2yees of (3) Cotununiendons made to or by (g) The Secretary will send copies of mec bers of the Office of the General any communication of the kinds listed that office, (b) Commi 'n adjudicatory cm-C ot.nsel regarding mat ers pending in paragnphs (f)(1). (2) and (3) of this sectibn to all partic2 pant.s to the pro-playees s ' ; perform no duties tscon-.c!cre a court or anotner agency; ~ ceeding rith respect to which it was sutent 5.an the'.r adjudicat. 7 respon-

44) Communications between ss s:bilities. In carrttig out Oetr adjudi-and any Comm%on adjudicatory er.

made, and will noufy the communica-catc7 respo'tstbilities these employees ployee in a proceeding involving an ap-tor of the provisforJ of this regulation .11 not be respons!'-le to or subject to pbca.lo for Lnitial licensing other protubitmg c: parte communications. the s :pe:Tision or d;tection of any than in a aontested proceedira as de-U the communications are from per-C o m =ss;on officer or employ ~ f;ned by Ii.4(n) of this Part; and sons other than participants to the exc-pt another Cottm:ss:en adjudics-(5) ' ammunleations between the proceed =gs or their agents, and the torr employee acting undar th s Sub. Comn saor and staff regardmg gener. Sec.etary determines that it would be ic tasues involung public health and too burdensome to send copies of the p ar* m Excapt as providad 1 12.780 of s.afety or uther statutory responsibil-communications to all participants be-this S abpart and exce;:t in uncentest-it.ies of the Commf.stion not specifical-cause: (1) the communications are so ed precewimgs invoinng sn applica-ly related to any particular proceeding volummous. or (2) the communica-t:on for init.al licensing. ro officer or pectng before the Commmion. tions are of such borderline relevance empicyee of the Commuwc except a (c) No Commission adjudicatory em-to the issues of the proceeding, or (3) member of the Cotmmen who has ployee w;11 make or knowingly cause the partic pants to the proceeding are enraged in the perfcrmance M any in-to be made to any interested person so numerous, the Secretary tnay in-vest:gative cr prosecutmg fun,.~ons in outs;de the NRC or to any NRC ern-stead notfly the participants that the that case or in any factually ' eisted playee engaged in the perfor-ance of commun: cations have been received, case r.ay participate or adnse ;n tre investigauve or prosecuting functions placed in the ille, and are available f or initial or f.nal decision. excep* as a in that or in any factually related pro-exammanon and Mll be sent upon re-utness or counsel in the proceading. eeeing an c pcrte communication. Quest. Representation cf the Ccmmicslen tn (d) No interested person outside the (h) Upon receipt of a corrununication an" court of law or befora any agency NRC and no NRC employee engaged knoMng!y made or knowingly caused cther than the Cor"- mon does not in the performance of investigative or to be made in violation of this section, constitute the performance of miesti-prosecutmg functions in that proceed-a Commission adjui.:.atory employee gat.'.e or prosecuting ft;.nctions f or the mg or any f actually related proceeding may, to the extent consistent with the parpcses of this section. sha;) Inake or shall knowingly cause to interests of jusuce and the pclicy of 2 It is preposed to amend j 2.730 to be made to any Commation adjudica-the underlying statutes. recorntnend to read as follows-tery employee an c parte communica-the appropriate Cor m mion adjudica-tory tribunal that the person making ti en. ! ;.bo Ex parte cotumunwwonn Com-(e) To the extent possible, all er or canWg the prohibited communica-minion adjudicatory empof ees.

cme ecm: nunications directed to any tion be made to shotv cause why his

'a) As defined in th;s section. Com-Commisun adjudicatory e =p'.cyee c! alm or interest in the proceeding =.13100 adjudicatory e=plcrees in-will be r-Mr.d to the Office of the should not be denied. disregarded. dis-Execumve Dnctor for Operations for rntssed or othersue adversely a.ffected Nude: (1) The Chairman and Cor-- *lon-handling by that office. and such c: because of such violation. es and me=bers of their pa sonal pane ccumunications s til not be (t) The prohibitions of this section transmitted to the Commission adjudi-shall apply wnen a proceeding ts first <t a f fs: C) Membars of the A'.cmic Safety catcry employee to whom they were noticed for a formal hearing or: the ind I 2censmg Appea! Panal and =ern-mr -ted. Such er pcrte co nmunica-record. unless the person respons:bk cers cf the staff of that pand; tens shall be placed in a file usociat-for the communication has knowledge (3 > Members of the Atem1C Safety ed with but separate from the racord that it atll be noticed. in wh!ch case In" Lcensmg Board Panel and mern-cf the proceeding to w hich the c: the prohibition shall apply at the time um cf the staff cf that panel; paMe cc=munication per*ams. If a he acm ;res such knowledge. < 1) The Ceneral Coun.sel and em-cc=mun. canon wa.s :nade or solicited (j) As used in this sectiont Smas of the Office of the Gene 11 by a Commission adjudacatory e= ploy-(1) The term proceeding st'all not Co un.sel: e+. or !! tt is otherwise apprcpriate, refer to any proceedmg or pr. ceedmss r D The Director of the Off;ce of the Exec;. tis e Dtrector for Opersuons governed by Part 110 of this chapter. Pcacy Evaluanon and employees of s w serve the c: parte communicat:cn and except as the Comm Macn may ' hat cffice; on all pa.rtles to the proceedmg to other nse direct. shall not refer to any D The Secretary and employees of s n.cn it pertains. proceed.ng for the adoption, amend-the Of fice of the Secretary. snd (f) Any Commmion adjudicatcry ment cr repeal of any rule or reguia-iT) The 12trector cf the Of fice cf in-em;loyee who, despite parag*ach (e) t:on which is conducted pursuant to sracter and Auitor a-d em;icyees cf cf th;.s section, receivts, makes or Subpart II of th;s Part, and tnat office. knomngly causes to be made a com-(2) The term interested person is in-cc3 As used in this sect.cn. the term rnunicanon prohibited by this section tendM to be a wtde. inclusive term parte cccmun;cancs rnes.ns an c.11 sGI Mace in 1 public file associated coverms any individual or other c: - nn J I K;11A (10:5712. VC4 44. NO. 4--wtDNESDAY, MAACH y,1979 p{ w( f 3 m ? H ' PD g d,, ; M 2tb O & g " 6

L

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PROPQ5tD RULES 124.3' person sith an interest in the agener Robert C. Gillette (Hearing Proce-NCUA-31 and ent!tled *.itigation C.; proceeding that la greater than the dures). Economic Regulatory Admm-Files. Thus. NCUA prc;oses to arre general interest the public as a whole istration. 2000 M Street N.W., Room 17:0.35 to reflect the enstence of *h may have. The Lnterest need not be 2:14B. Washington, D.C. 20461 new exempted system. monetary, nor need a person be n (202) :54-4 01. When a new system of records proposed, subsection t o t of the Pm ac p*.rty to. nr intervenor in, the agency Daniel J. Thomas (Regulations and Act (5 U.S.C. 55 st o)). requires that proceeding to come under this section. Emergenc < Planning). Ecc m mic The term includes, but is not limiter.: Regulatorh A'dminuttation. 2000 M Report on the New System of Recort: (" Report") te subrrutted for revtew to, parties, campetitors, public offi-Street. N.W. Rocm 2310. Waning. Congress and to the Office of Mar c clais, and nonprofit or public interest ton. D.C. 20461. C02) :54-7477. ment and Budget. Additionally, an i - organizations and associations with a special interest in the matter regulat-Issued in Wash!ngton, D.C March portunity for public notice and com ed. The term does not include a

1. 1979-ment on the proposed new system member of the public at large who Docct.as G. RonzNson.

NCUA-31: Littgation Case Files makes a casual or general expression Assutant Admtrtutrtztion. Regu-betng provided concurrently with

E of opinion aoout pending proceedings.

lctions and Emergency P!cn-proposed amendment. W Econome RWcton* NCUA-31 would be exempt fr = For the Comnussion. Admtn strator. subsections (cH 3). (d) r ex 1), t e 9 D G SAMcu. J. CHIUC. (FTt Doc. 79-49t5 Ft'ed 3-4-79; 8.45 aml (H) and (I), and (f) of the Pnvacy Ac Secretary o/ tAe Commission. (5 U S.C. 55:ac c x 3). ( d t. re tl Dated at Washington, DC, this ist ( e x 4 M G ). ( H ). s I x f)). msofar aa *n, day of March 1979. [7535-01-M] system of records cont ns mve...c. forcement purposes. However,N '7 * * # " * "" (FR Doc. 79-6674 s'iled 3-4 79; 8 45 am] MAT 10NAL CREDIT bHION a r ADMINISTRATION .ndiv: dual is derued any :ght. pr lege or benefit to which the mciv;cu [6450-01-M] [12 C7R Pere 7201 would otherwise be ent:tled by Fede.1 DEPARTMENT OF ENERGY raofEcrioN of pervaCY or INo(wouAt law or for which the indir. dual cP -- REcotos w se w uld be eligible, as a resu.: w cy Adminiseretien the maintenance of such records. : Ec.a.= a a ' "'*d ' *** * [10 C7R Per+s 211 and 2121 records or informat;on contama; AG ENCY: National Credit Uruon Ad. therein will be accessible to the mL (Docket No. ERA-R 78-t2) ministration. vidual: P-ottded. The identity cf : c nndential souxe is not Oc!csed. AMENOMENTS TO IMPOSI TNE ENTITLEMENT ACTION: Pnvacy Act Notice and Pro-m ree rds contaM M EA~,,. OSUG ATICN CN THE FIRST PURCHASE OF pused Rev:sions to 12 CFR 720.35. are used in connection nth the exca-Pt CI CONTROLLED DCMESTIC C1Uof Cil SU%iMARY: NCUA proposes to tion of NCUA's legal and enforcement Pree. d tWemakms C,w netien of Pubs amend 1 CFR 7:025. Exemptions, to responsibilities under the Federa! N.'ias give notice of another new system of Credit Union Act (12 U.S.C. 17F records which is exempt from certain 1739) and the Feder11 Tort C;atms Ac: AGENCY: Economic Regulatory Ad-provisions of the Pnvacy Act of 1974 CS U.S.C. 2671-2580 ). Records mm min:stration. Department of Energy. (5 U.S.C. 552a (1974)) (the **Pnvacy contain unvertfled, unsolicited state-ACTION: Proposed rulemaking; can-Act") pursuant to subsection (kx2) of ments sornetimes recetved frcm coni cellation of pubhc hearing. the Pnvacy Act (5 U.S.C. 55:a(kx2)). dential sources. In addition reporta 0: investigations or other mtemal agenes SU?a1ARY: On January 25,1979,the D FrS: Comments must be received memoranda may be meluded :n the" Eccnomic Regulatory Administration on or before April 7.1979. f!!es. NCUA believes that the discio-( ER A) of the Department of Energy ADDRESS: Send wntten comments to sure of the e.tistence of the infor-a-(DOE) proposed to amend it.s domestic Office of G' eneral Counsel.gttorney. w tion in this system or the identit c: crude otl allocarmn (or entitlements) n Ahmtradon. (ational sources of information may sertow prog'am to impose the entitlement 0:5 M hamper and undermine ef fective an. re purchase obilgation on the first pur-Street. NW, Washmgton. D.C. ;0456. forcement of the Federal cred un:en chase of pr:ce<ontrolled domestic crude oil, regardless of whether the FOR FURTHER I: WOR 51ATION !ars. Such disclosure may prematar-ly purchaser.s a refiner, reseller, or some CONTACE alert individuais that they are under investigation or provide access to e other user of crude oil. (44 FR 5296) Beatnx D. Fields. Staff Attorney. dentiary informat:on. Similar/. an ac In the same notice. DOE announced Office of Genersi Counsel, or tele-counting as required by subsect:on that a public hearing would be held on phone CO2) 632-4870. (cx1) of the Privacy Act (5 U SC. March S.1979. in Denver. Colorsdo for SUPPLE 31ENTARY INFORhiATION: 52:a(cx1)) should not be disclosed, u the purpose of accepting oral com-Subsection (k) of the Privacy Act (5 it may indicate that reccrds have b-n ments on the proposed regulations. U S.C. 55:a(1)) sets forth specific ex. forwarded to the Justice Depar' ment Because only two requests to speas emptions for syste=s of records which for consideration of cruntna! proce were inade. COE has determined af ter may be exempted from certain provt. in gs. If such an accountir.g :s t stons of the Privacy Act. Those NCUA closed, an individual may flee the p-e t at ep b Ic earra ill ro systems of records Thich are exetnpt risdletion or otherTue mterfere w:* ' necessary* According!v t'he heanna pursusnt to subsect:en (1) are d e-crtatnal prosecution. Durtng lit:gatan previously scheduled for March 8. scr: bed in } 7:0.35(c) of it.s rules and access to case fue infcrmation :s &J d canceded. regulat!cns (12 CFR 7 0.35(c)). In ac. ed by the bounds of applicable daccv Was g o'n. C. be he - cordance wtth the Pnvacy Act. NCU A ery rules as to disclosure of mves a.;a-ces a new system of mom W matena.s. h me conchn n nounced on March 13.1979' that is censidered to be an exe=pted an administrative or lud:cial proceef-FOR FURTHER IFFORhiATION system under subsection (1x2) of the ing it is necessary to retain invesm CONTACT: Prtvscy Act The system ts designated tcry materials intact. Further :ec FECitAt IEGISTER. VCL 44 NO. 46-WECNE50Af, MARCH 7,1979 mm 90Ji imt

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SUMMARY

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