ML20010C661
| ML20010C661 | |
| Person / Time | |
|---|---|
| Site: | 02700039 |
| Issue date: | 08/18/1981 |
| From: | Martin T NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | |
| Shared Package | |
| ML20010C658 | List: |
| References | |
| NUDOCS 8108200286 | |
| Download: ML20010C661 (10) | |
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Attachment A 4/2a/79 hRC POLICY AND PRCCEDURE FOR CONVEYING NEW INFCRMATION TO LICE?tSING SCARDS Tne Comission has acproved an agency-wide :olicy regarding staff notifica-tion to Licensing Scards, Apceal Boards, or the Ccmission of new and
- otantially important information whicn the staff believes to be relevant to one or more proceedings pending before the Boards or the Comission.
Tnis pacer sets forth the basic provisions of the new policy as it affects the Division of 'dasta Managecent (WM) and the crececures to be Observed within 'dM in meeting the recuirements of the policy. Tne roles of other offices in processing information recemended #ar forwarding to the Boards or Ccmission are also discussed.
The suoject is treated under the felicwing neadings:
1.
PURPOSE - scme background o and reasons for the colicy.
2.
CRITERIA - the tests by whien to detemine whether information should be recomended for for.varding to the Scards.
3.
PROCEDURAL RESPONSIBILITIES - steps to be taken and resconsibilities at each level for processing a rec: mended notification to the Boards.
a.
APPENDICES - samole lettars of transmittal.
Most broadly stated, the new policy cal".: for every memoer of the NRC staff to be alert to the emergence of information--from outside sources or within the staff-wnich is new, cotentially imoortant, and potentially relevant to one or more pending proceedings. Such information should be channeled, together with the rec:mmendation that it go to tne Board (s) and with the rationale for that recomenda-tion, to NRR or NMSS for further. assessment and rec:mendation for a final detemination on notifying the Board (s).
I.
PURPOSE Tne purpose of this new policy is to ensure that Licensing Boards, Appeal Boards, and the Comission prcmotly receive c:oies of any new infor=ation whicn is relevant and material to their censidera-tion of aaplications pending before them in an adjucicatory hearing for construction and/or ocention of c:mercial nuclear facilities.
810Es2OO286 810818' PDR ADOCK O2700039 C
. Aop11 cations for construction, oceration, license renewal, ano major '
. license amenc=en for c:mmercial nuclear facilities are first sucjec:ac
- extensive safety, environmental anc safeguard reviews. Cnce the.
staff has c:molated its reviews and adcoted a position on :he acclica: ion, it issues final staff evicentiary documents, e.g., the Final Environmental Statement (FES), Environmental Imcac: Jocraisal (EIA) and Safety Evaluation Report (SER), as apprcoriate.
In the event that hearings are to ce. heid..the. issuance of thmsa.- -
final staff evidentiary documents marks the beginning of the adjudicatory process i wnich tne acclication bec:mes a :ending mattar before the Board or Ccmmission for hearing and decision.
It is intended that prior to the publication of these staff cocuments, all relevant and matarial matters should be discussed in :ne acclication and amendments theretc, the staff FES, E A, or SER, if accroariate, anc suc=lements thereto.
It is : resumed by One Board, tnerefore, tnat these final cocuments creperly infom the Soard of all information available to and c:nsicered by :ne staff un until the time of issuance, including the staff's evaluation of tne tecnnical merits of the infomation.
Cnce the matter bec:mes a cending adjudicatory creceeding with tne issuance of the final staff documents, it is assential that new information subsecuently developed or received oy the staff wnich is relevant and material to the consideration of the Board or Ccemission be crevided to the Scard or Ccer.ission. in a pr: mot and orderly fashion, to ensure that the decision is based ucnn all known and available information.
II.
CRITERIA The key to the success or failure of this policy is the cetamination of what is " relevant and =a:arial." Tne following definitions are provided as an aid in interpreting the recuirements for forwa'rding information under tnese guidelines:
" Relevant" information is any infomation wnich, in the minds of reasonaole men, has any tandency to cut a new or different lign:
uoan a ma:arial issue before the Board or to raisa a new issue.
A " Material" issue is an issue that is of c:nsecuence :: :he detam1 nation to be made by the Boarc.
It is one the resolution of wnich. vill bear some relationship to the outcome of the Board's deliberations.
Relevant infomation is not limitad to substantive issues, bu: may deal with sec:ndary issues such as credibility of other infomation before the Boarc.
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It is intanded that the foregoing definitions should be liberally
' construed in favor of suoplying infcrmaticn o the Board or Ccemission, but with the exercise of sound discretion at all levels.
If there is scme uncertain y as to the relevance of a cieca of information, it should be forwarded.
If, however, it is clear to a reascnable certainty that the information is not relevant or material, then it should not be forwarded to the Soard.
There is an uncerstandable tandency to-try to protect against later criticism for " withholding information" by forwarding every scrao of information that might aopear to have even the most remote connection wi:n a case.
It is the intention of -his Policy Latter to foster in staff membars the assumption of resconsibility for screening cut material which is obviously irrelevant. A deluge of useless and irrelevant information would serve only to further tax the already strainec rescurces of 30 arcs ano the Ccmmission and would be obviously counter;recuctive to info.rmec cecisionmaking.
III. p?GCECURAL RESPONSI3ILITIES A.
General l.
Each mcnth OEL3 will provide to NMS5 and otner offices a if st of ac-ive proceedings pending before Licensing Scards, Apoeal Boarcs, and the Cenmission. This list will be provided to Divisicn Directors and Assistant Division Directors for aporcoriate distribution to ensure that staff.Sersonnel are made aware of ongoing proceedings which may crecerly be a focus fcc information receivec or generated by the staff.
2.
After publication of final staff documents (e.g., FES, E!A, SER) if the mattar is to be heard by a Soard or the Commission, the Board or the Ccmmission will be claced on tne service If st to receive all incoming and outgoing corresconcence in the casa.
3.
Information recafved from scurces outside NRC, frem other NRC officas, or developed within 3 MSS will be screened for relevance and materiality to any pencing proceecings.
If it is detarmined to be relevant anc material it will be forwarced to the accreariate Board.
In general, internally generatac information we tid be provided to the Scard at the point at wnich the staff cet_. mines that it is necassary to get more information frcm a source external to the staff abcut the problem.
That is, if such new information is deemed to ce of sufficient imonr anca to seek further information, analyses, tests, etc., fecm If eensees, l
vendors, NRC contrac:ces, or others outsice the MRC staff, then the issue has develoced to the point at which concerned Boards snould be informeo.
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4 Information determined to be celevant and material to one recaeding will be screened for a determination as to wnether or not it should also acprecriately be forwarded to other Boards or the Ccmmission.
5.
Information beyond that which is potentially significant to individual procaecings is not to be orovidec to :ne Boards.
For example, c:mmen:s received in the course of development of regulations, codes, standards, guices, etc., should not be provided to One Boards.
5.
If tne originator of :ne information pr0cosal is not satisfied with the cis osition, he should forwar: a writ:en sta: ament of his views througn accrocriata management to the Jirec:cr, wno will then arrange to discuss the matter with the individual i
di rectly. Furtner recourse to higher authority 1s available
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in accorcance with publ.ished, "ocen coor policy" procedures.
3.
3ranen Chiefs 1
All Branch Chiefs shali:
1.
Ensure that ali technical staff members under their sucervision are made aware of thesa Board notification crocedures and of their individual resconsibility for initiating notification action for informaticn received by or generated by them which appears relevant and ma:arial to a pending procaecing.
2.
Ensure availability of the monthly GEL] list of pending proceedings to the technical staff.
3.
After publication of final staff documents crececent to a licensing determination (e.g., FES, EIA, SER), if :ne mat:ar is to be heard by a Board or the Ccmmission, ensure nat tne.
Boarc or the Commission is placed en ne servica lis: to recaive ali inc: ming and outgoing corres;oncence in :ne case.
- 4. Review information received from accifcants, if censees, cu: side sources or other NRC offices to determine whether it is directly related to c:nsideratiens in the licensing prccess.
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Refer information wnica is cotantial'y relevant anc ma erial :o :Me acercoriate s:sff meccer for determina:fon of acplicaciif y :o scecific acfudica:ory proceecings.
5.
If the information is determined to be relevan: and material to one proceeding, ensure Mat the information is screened for a de:ermination as to wnether it snould also be proviced :o other Scarcs.
7.
.rorward information and recommencations to Licensing Boards anc/or Ccmmission' and to the NMSS Board Notifica:f on Coordina:ce for ac Junting and coordination.
3.
Ictify tne originator of any Soard Notification procosal of
- ne disposi icn of the informatien.
3.
If information proposed for notification :o 3 cards or the Commission is deemed not relevant or materiai to a pending adjudicatory croceeding, and hence is not forwarded, provide,
a written notification of sucn cetermination o.the originator of the prooos'al, with cocies to Ine NMS5 Ecard No:f fication Coordinator, Civision Oirector, and Office Director.
10.
If information is received or generated which may be relevant and material to a reac:ce licensing oroceeding, forward it promotly to the Assistan: Director for Light '.la:er Reactors NRR, for determination of acclicability to NRR proceedings.
Aapencix 2 provides a sample transmittal ietter.
C.
Individual Resconsibilities Each member of the technical s:sff shall:
1.
Accuaint himself with thes'a procecures for reporting new relevan:
and material information to Licensing Scards, Acceal Scarcs, anc the Commission.
2.
Screen all information which he may receive or generate :o identify information :na: may be relevant anc ma:eriai to pencing adjudicatory proceecings cefore Searcs or ne Commission.
3.
Review the monthly CELD list of pending croceedings as necessary to identify any proceedings wnich mignt te concerned with information he may receive or generate.
a.
If he receives or generates any information whicn to him accears potentially relevan: anc material to a pending proceecing, forward tne information in writing thr ugh his brancn chief Oc Me Division Oirec:ce for evaluation.
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??!AL 0:SPOSITI0t!
It is the prerogative of sucervisory staff at eacn level of tnis procacure to return the document (s) recommendec for Soard notiffcation to the originator on the ground tnat the relevance of the information to one or more pencing hearings has not been acequately es ablishec.
If such a cetermination is mace and the cricinator continues to believe that the information snould be forwarded to the Board (s) or to the Commission, the information will go forward through the acave-notad enannels, with tne negative assessment of relevance duly notad.
Y.
APDEil0ICSS Transmittal of information and assessment of significanca should conform generally to tne ascenced sacole transmittal letters:
1.
Samole transmittal of information to Scards and/or Com=f ssion.
2.
Samole transmittal of information to l!RR.
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kbW.4 w'chn 3.*4arting Director Division of 'Jaste 14anagement e
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b AP:ENDIX 1
!arcle Transmittal of Information to Boards and/or Ccemission MEMORANCUM FOR: Licensing Goard, Acceal Board, and/or Ccemission FROM:
John B. Martin, Ofrector Division 'of Nasta Management Office of nuclear t'a:erial Safety and Safeguards SUBJEC :
NEW INFOPRATION 0 TENT! ALLY RELEY'NT A?!D MATERIAL 70 LICENSING BOARD, AP:EAL 30ARD, CR CCMMISSION P:CCEED1'IG5 ursuant to the Ccomission Policy on.iotificadon to Licensing Boards, c
'Acceal Soards, or the Commission of new relevarit anc material information, the attached document 1: considered potentially relevant and ma:arial
- o (identify particular croceeding before soecific board).
The nature of the information is as follows:
(abstract or su=mari e the document or information).
The information is considered poten:f ally relevant anc material becausa (briefly state reasons).
(Include if accrocriate)
Theinformationisalsoconsideredpotentiallyrelevantandmateriai to the following other proceedings:
(List croceedings and briefly state reasons).
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A Jonn 3. Martin. Director Divisicn of Masta Managemen:
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Enclosures:
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I Concurrence:
Originator /3 ranch Chieff'..M Oivisicn Of rec::r Signature:
'*N Division Ofrector Distri'ution: - Ofrect[,!:ESS/ Division Of ractor/0ecu:y Divisicn Oirec: rf o
- MS5 Scarc Notification Coorcinater/3ranen Chief Originator of prcoosai t
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APcE?IDIX 2 Samole Transmittal of Information o *1RR ME.40RAtiCUM FOA. Ocminic 8. Vassallo, Assistant Of rector for Light Watar Reactors Office of fluclear Reactor Regulation FRCM:
Jonn B. Martin, Director Division of Wasta Management Office of ?!uclear Material Safety and Safeguar:s SL' EJECT:
.'IEW IlFORMATICf! POTE:ITIALLY RELEVAil? Af!O MATERIAL TO L!CE!!SI:!G 20ARD, APPEAL 30ARD, OR CCMMISSICH PRCCEEDUlG5 The attached cccucent (or information) may be relevant and material t0 an llRR licensing precaeding (scecify proceeding if :cssible) and is forwarded for your determination in accordance with *he !!RC Policy and Precadure for c:nveying ?!ew Informatica to Li';nsing Soards.
The nature of the information is as follows:
(abstract or summari:e the document er infomation).
The information is considered potantially relevant and ma:erial becausa 4
(briefly stata reascns).
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/%E John 3. Martin, Directo-Division of Naste Management Offica of Nuclear Material Safety anc Safeguarcs B
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Enclosure:
I Concurrence: Origina:or/Granch Chief / Cecu:y 3f rector /Direc or Signature:
Division Ofrector Cistribution: Of rector, tiMSS Of vision 3f rec cr/0ecuty Division ?iese.ar
.11155 Board ::otification Coorcinator/A/0/ Branch Chief Originator r-G S
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