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NUCLEAR REGULATORY COMMISSION C
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,o September 2,1981 Ms. Anne W. Coctingham 1025 Connecticut Avenue, N.W.
Suite 1214 IN RESPONSE REFER Washington, DC 20036 TO F01A-81-303
Dear Ms. Cottingham:
This is in response to your letter dated July 27, 1981 in which you requested, pursuant to the Freedom of Information Act, SECY and staff papers, including staff memoranda to the Commissioners regarding 10 CFR Parts 19 and 20.
i The documents listed on the appendix are enclosed.
The charge for reproducing records is five cents ($.05) per page, as specified in 10 CFR 9.14(b). Accordingly, the cost of reproducing the enclosed 800 pages is $40,00.
Please send a check made payable to the U.S. Nuclear Regulatory Coninission in the amount of $40.00, along with a copy of this letter, to the Director, Division of Rules and Records, Room MNBB-4210, U.S. Nuclear Regulatory Commission, Washington, DC 20555 J.
Felton, Director Division of Rules & Records Office of Administration
Enclosures:
As stated I
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DOCUMENTS FOR RELEASE FOR f0IA-81-303; ANNE COTTINGHAM DOCUMENTS RELATED T0 (1)--PART 19:
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1.
4/10/81 SECY-81-231 - AMENDMENTS TO 10 CFR PART 19 TO ESTABLISH NRC STAFF AUTHORITY TO CALL MEETINGS WITH LICENSEES 2.
6/30/81 Memo fm Chilk to Dircks re SECY-81-231 3.
1/16/80 SECY-80 PROPOSED AMENDMENT TO 10 CFR PART 19 TO ESTABLISH NRC STAFF AUTHORITY TO CALL. MEETINGS WITH LICENSEES 4-1/25/80 Memo fm Hanrahan to Chilk re SECY-80-25 5.
2/20/80 Extract from Affirmation Session 80-7 re SECY-80-25 6.
12/13/79 SECY-79-661 - EMPLOYEE PROTECTION FOR INDIVIDUALS THAT PROVIDE INFORMATION TO NRC 7-1/11/80 Correction Notice for SECY-79-661 8.
2/11/80 Extract from Affirmation Session 80-5 re SECY-79-661 9-7/13/73 SECY-R-74 ISSUANCE OF NEW REGULATION,10 CFR PART 19, " NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS; INSPECTION," AND AMENDMENTS OF PARTS 20, 31, 34, 35, 40, 70, 115, and 150" 10.
12/5/72 SECY-R-588 - PROPOSED NEW PART 19 AND AMENDMENTS TO 10 CFR PART 20 TO SPECIFY REQUIRED INFORMATION FOR LI-CENSEE EMPLOYEES AND EMPLOYEE OPTIONS REGARDING INSPECTIONS II-12/12/72 SECY-2841 - APPLICATION OF OCCUPATIONAL SAFETY AND HEALTH ACT OF 1970 TO AEC CONTRACT ACTIVITIES 12-12/18/72 Extract from Policy Session 80 re SECY-R 588 13.
7/6/72 Memo fm Lester Rogers to Comm. Ramey re Proposed New 10 CFR Part 19,
" Employee Rights Regarding Inspections" 14.
11/6/72 Memo fm Lester Rogers to Comrs, Ramey & Doubs re Proposed New Part 19 and Amendments to 10 CFR Part 20 to Specify Required Information for Licensee Employees and Employee Options Regar_ ding Inspections 15.
6/20/73 Memo fm Lester Rogers to Cmrs. Ramey & Doub re New 10 CFR Part 19
" Notices, Instructions and.. Reports-to Workers; Inspections," and Associated Amendments to Parts 20, 31, 34, 35, 40, 70,115, and 150 DOCUMENTS RELATED T0 (2)--PART 20:
2(a)--32 FR 15762,11/16/67; andi33:FR 18926F12/19/68:-
16-11/2/67 Memo fm C. L. Henderson to Comm. Ramey re Proposed Amendments of Reporting and Record-Keeping to Part 20 17.
11/7/67 Memo fm McCool to Western re Proposed Amendments of Reporting and Record-Keeping Requirements 10 CFR Part 20 18.
11/27/68 AEC-R 8/32 - AMENDMENTS TO 10 CFR PART 20 - IMPLEMENTATION OF REQUIREMENTS FOR SPECIFIED CATEGORIES OF LICENSEES TO REPORT RADIATION EXPOSURE INFO.
19.
12/3/68 Memo fm McCool to Western re AEC-r 8/32 2(b)--38 FR 17020, 6/28/73, and 39 FR 1000,'l/4/74:
20, 6/4/73 SECY-R 703 - PROPOSED AMENDMENT T010 CFR PART 20 ON PERSONNEL MONITORING REPORTS 21.
6/14/73 Memo for the Record - Extract from Regulatory Policy Session 74 re SECY-R 703 1
I 22 12/6/73 SECY-R-74 PROPOSED AMENDMENT T010 CFR PART 20 ON PERSONNEL MONITORING REPORTS
' 23.
1/14/74 Minutes of Regulatory Policy Session 74-19 re SECY-R-74-86
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Page 2 2(c)--40 FR 23478, 5/30/75 and 43 FR 44827, 9/29/78:
24.
3/14/75 SECY-75 PROPOSED AMENDMENT TO 10 CFR PART 20 ON PERSONNEL MONITORING REPORTS 25.
5/12/75 Memo fm Chilk to Minogue re SECY-75-98 26.
5/11/76 SECY-76-266 - AMENDMENT TO 10 CFR PART 20 ON PERSONNEL MONITORING REPORTS
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27.
5/25/78 SECY-78-278 - AMENDMENT TO 10 CFR PART 20 ON PERSONNEL MONITORING REPORTS 28 7/12/78 Extract from Affirmation Session 78-17 re SECY-78-278 2(d)--43 FR 4865, 2/6/78 and 44'FR 32349, 6/6/79:
29.
10/14/77 SECY-77-538 - PROPOSED AMENDMENTS TO 10 CFR PARTS 19 AND 20 TO CONTROL RADIATION EXPOSURE TO TRANSIENT WORKERS 30.
10/25/77 ikmo fm Pedersen to Comm re SECY-77-538 31.
1/4/78 Memo for the Record - Extract from Policy Session 78-1 re SECY-77-538 32.
1/12/78 Extract from Policy Session 78-2 re SECY-77-538 33.
2/12/79 SECY-79-ll4 ' AMENDMENTS T010 CFR PARTS 19 AND 20 TO CONTROL RADIATION EXPOSURE TO TRANSIENT WORKERS 34.
5/14/79 Staff Requirements - Affirmation Session 79-12, re SECY-79-ll4 The following two documents related to Part 20,' but not under'a: specific citation in the request itself:
35.
7/E7/75 SECY-R-499 - PROPOSED AMENDMENT TO 10 CFR 20 - POSTING 0F ENFORCEMENT
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CORRESPONDENCE AT LICENSEES' FACILITIES 36 6/1/72 Memo fm Muntzing to Comm re Discussion with A. Z. Roisman, Environmental Defense Fund 9
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RULEMAKING ISSOE.
(Affirmation) a For:
The Commissioners William J. Dircks, Executive Director for Operations From:
AMENDMENTS TO 10 CFR Part 19 TO ESTABLISH NRC ST
Subject:
CALL MEETINGS WITH LICENSEES To obtain Commission approval to publish, as a final rule, amendments
Purpose:
to 10 CFR Part 19 which would:
Provide NRC staff the authority to call meetings with licensees 1.
during inspections, Provide both the NRC and the licensee the option of inviting specified workers, and, if agreed to by both the NRC and the 2.
licensee, other individuals with legitimate interests, to these meetings, Broaden the scope of 10 CFR Part 19 to include concerns related 3.
to safeguards, radiological safety and environmental impact, as well as radiological working conditions, and Extend the provisions of Part 19, as appropriate, to all Part 50 licensees including holders of construction permits 4.
and limited work authorizations.
In SECY-80-25, the staff presented the Commission with a proposed rule to establish NRC staff authority to call meetings with licens-Discussion:
The proposed rule was approved for publication for public comment and was published in the Federal _ Register on March 26, ees.
Fifty-six letters of public comment were 1980 (FR 45-19564).
received on the proposed rule, forty-eight suggesting changes and eight opposed to the concept; an analysis of the comments, In including staff responses, is presented in Attachment B.
response to these comments, the following provisions of the pro-posed amendments were revised:
Contact:
A. Roecklein 443-5970
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i The Commissioners 2
1.
10 CFR Part 19.1, Purpose, has been revised to reflect the Commission's expressed intent that the provisions of Part 19 include concerns related to safeguards, radiological safety and environmental impact, as well as radiological working conditions.
Radiological safety pertains to the installation and construction of components or facilities which will later effect radiological working conditions.
2.
The proposed rule provided the NRC inspector and the Itcensee the option of inviting to conferences individuals with legiti-mate interests in matters pertaining to the inspection.
The i
predominant comment was that the definition of who may attend such conferences was too broad and might be interpreted as requiring that the conferences be open to the general public.
The NRC staff agrees with this comment and has revised the rule to specify who may be invited to meetings between NRC inspectors and licensees.
(See 5 19.14(h), (1), (2), and (3),
which limit invitees to workers and,1f agreed to by both the NRC inspector and the licensee, other individuals with a legi-timate interest).
)
7.
The proposed rule specified that informal conferences would be held at any time during an inspection.
Several commenters objected to "at any time," suggesting that certain times would i
be an unreasonable imposition on the licensee.
The rule has been revised to indicate that conferences will be held at any reasonable time during an inspection.
It is neither the intent nor the practice of the staff to schedule meetings with licensees at unreasonable times.
4.
Many of the commenters expressed concern about the extent of participation by invited participants and their access to proprietary information.
The rule has been revised to limit the attendance of invitees to pertinent portions of meetings, to be determined by the individual extending the invits. tion; and section 19.14 (j) precludes the disclosure of informa-tion required to be protected against unauthorized disclo-sure under NRC regulations.
The I&E Manual of Procedures specifies that "At the conclusion of each inspection, an exit interview shall be conducted with the most' l
senior licensee representative at the location of the inspection..."
i The purpose of an exit interview following an inspection is for the NRC inspector and the licensee to discuss tentative findings of the I
inspection; issues are sometimes resolved via this informal discus-sion. Currently, there is no reference in the regulations or in any regulatory guide to the exit interview.
The exit interview is indicated as a requirement only in the IE Manual.
The exit inter-view is considered necessary for an orderly and complete inspection
i
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The Commissioners 3
by the IE staff and is followed by formal letters to the licensees advising them of the final and official findings of the inspection.
Under the current Part 19, licensees have the option of choosing representatives, including their own employees and consultants, to accompany inspectors during inspections, which would include exit interviews.
The NRC, on the other hand, has r.o options (under the existing rule) concerning who should attend such interviews other than to request meetings with high-level licensee management.
In some cases, requests by the NRC for attendance of workers or representatives of workers have been denied by the licensee.
IE is convinced that allowing both the licensee and the NRC inspec-tor to invite workers and agreed-to third parties with specific interests to meetings during or after an inspection will increase the value of these meetings.
In light of the above, we are recommending the following additions to 10 CFR Part 19:
1.
An amendment to 519.1 by adding to the end thereof:
S 19.1 Purpose n
n n
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...regarding radiological working conditions, safeguards radiological safety and environmental impacts.
i 2.
An amendment to 5 19.2, adding a sentence,to the end thereof:
$ 19.2 Scope m
a a
a The provisions in 10 CFR Part 19 shall also apply to the holders of construction permits and limited work authorizations for production and utilization facilities pursuant to Part 50 of this chapter, as appropriate.
3.
New paragraphs (h), (i) and (j) to be added to 9 19.14 to read as follows:
6 19.14 Presence of Representatives of Licensees and Workers During Inspections.
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(h) At the initiation of the NRC inspector, an informal con-ference including the NRC inspector and a representative of licensee management shall be held at any reasonable time during an inspection to discuss tentative inspec-tion findings, complaints of individuals involved in the licensed activities concerning radiological working condi-l tions, radiological safety, safeguards, and environmental impacts, and resolution of matters pertaining to inspec-tion procedures or findings.
The NRC inspector and the
S.
The Commissioners 4
1 licensee shall each have the option of inviting to these meetings, or to pertinent portions of these meetings:
(1) A worker who has submitted a request for inspection under 9 19.15 and/or the worker's representative, provided that the invited worker and the worker's representative are employed by the licensee or by a contractor to the licensee; or (2) A worker who has expressed an interest in the inspec-tion as specified in 519.15(b) and/or the worker's representative, provided that the invited worker and the worker's representative are employed by the licensee or by a contractor to the licensee; or (3) Other individuals with interests in specific matters pertaining to the inspection, provided that concur-rence of both the NRC representative and the licensee has been obtained.
A licensee shall not unreasonably withhold such concurrence.
(i) The portion of the meeting which each individual invited pursuant to subparagraphs'h(1), h(2), or h(3), of this section is permitted to attend shall be determined by the individual extending the invitation, i.e., either the NRC inspector or the licensee.
(j) Action taken under paragraph (h) of this section shall not affect the option of confidentiality afforded any individual who provides information to the NRC, to the extent authorized by law, and shall not cause or permit the disclosure of information required to be protected against unauthorized disclosure under NRC regulations.
The staff believes that the revised rule adequately provides for greater involvement of workers in the improvement of health and safety matters and that such involvement is likely to benefit the inspection and enforcement program.
Recommendation:
That the Commission:
)
(1) Approve publication of the amendments in Attachment "A";
(2) Approve the staffs conclusions set forth in Enclosure F, which provides the analysis called for by the Periodic and Systematic Review of the Regulations.
The criteria used were derived from Executive Order 12044 which was rescinded on February 17, 1981 by Executive Order 12291 (see memorandum i
from Bickwit to the Commission, February 27, 1981).
This j
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l The Commissioners 5
approach is proposed as an interim procedure until the staff can make recommendations and the Commission decides what to do in response to Executive Order 12291.
l Note:
(a) That the amendments will be effective in 60 days from the date of publication in the Federal Register; (b) That accompanying this paper is Attachment E, an adden-dum providing additional information indicating that there are no potential conflicts between the proposed rule and existing union contracts with licensees; (c) That the amendment will have little or no manpower or dollar costs to the NRC, and insignificant, if any, manpower or dollar costs to licensees; (d) That in accordance with 10 CFR 51.5(d)(2), neither an environmental impact statement, environmental assess-ment or a negative declaration need be prepared since the amendments are made to Part 19 of the regulations.
The amendments do not significantly affect the quality of the human environment or involve unresolved conflicts concerning available resources.
(e) With regard to the Agreement States, the snendment which broadens the scope of-Part 19 to include radiological safety concerns will be considered a matter of compat-ibility.
The changes to Part 19 relating to such matters as safeguards, contractors, construction per-mittee, etc. are not applicable to Agreement State pro-grams and therefore will not be considered a matter of compatibility.
The rule granting the authority to call meetings is basically a procedural matter and will like-wise not be considered a matter of compatibility.
(f) That the Subcommittee on Energy and the Environment of the House Committee on Interior and Insular Affairs, the Subcommittee on Energy Conservation and Power of the House Committee on Energy and Commerce, the Sub-committee on Environment, Energy and Natural Resources of the House Committee on Governnent Operations, and m
0 6
The Commissioners 6
the Subcommittee on Nuclear Regulation of the Senate Committee on Environment and Public Works will be informed by a letter such as Enclosuro "0".
William J.<Dircks Executive Director for Operations
Enclosures:
"A" - Federal Register Notice "B" - Abstract of Comments and Staff Response on Proposed Antendment 10 CFR Part 19 "C" - Value/ Impact Statement "D" - Draft Letter to Congressional Committees "E" - Information Paper "F" - Analysis - Periodic and Systematic Review of Regulations (TMI Action Plan Task IV.G.2)
Commissioners' comments or consent should be provided directly to the Office of the Secretary by c.o.b. Monday, April 27, 1981.
Commission Staff Office comments, if any, should be submitted to the Commissioners NLT April 20, 1981, with an information copy to the Office of the Secretary.
If the paper is of such a nature that it requires additional time for analytical review and comment, the Conmissioners and the Secretariat should be apprised of when cannents may be expected.
This paper is tentatively scheduled for affinsation at an Open Meeting during the week of May 4, 1981. Please refer to the appropriate Weekly Cannission Schedule, when published, for a specific date and time.
DISTRIBUTION:
Commissioners Commission Staff Offices EDO ACRS ASLBP l
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ENCLOSURE A se
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[7590-01]
Title 10 - Energy l
CHAPTER I - NUCLEAR REGULATORY COMMISSION PART 19 - NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS; INSPECTIONS -
Informal Conference During Inspection AGENCY:
U.S. Nuclear Regulatory Commission.
ACTION:
Final Rule
SUMMARY
The Nuclear Regulatory Commission is amending its regulation,
" Notices, Instructions, and Reports to Workers:
Inspections," 10 CFR Part 19, to permit an NRC inspector to call an informal conference with a representative of licensee management to discuss tentative inspection findings and their resolution, and to allow both the licensee and the NRC to invite specified workers and agreed-to third parties to these conferences if there are specific reasons for their presence.
The pur-pose of 10 CFR Part 19 is broadened to include concerns with safeguards, radiological safety and environmental impact, as well as concerns with radiological working conditions.
Radiological safety pertains to the installation and construction of components or facilities which will later effect radiological working conditions.
In addition the provi-sions of Part 19 are extended, as appropriate, to all Part 50 licensees, including holders of construction permits and limited work authoriza-tions.
The amendment also applies to licensees holding licenses issued pursuant to Parts 30 through 35, 40 and 70 of the Commission's regulations.
1 Enclosure "A"
[7590-01]
EFFECTIVE DATE:
(60 days from publication date)
FOR FUTHER INFORMATION CONTACT:
Alan K. Roecklein, Office of Standards Development, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, (301) 443-5970.
SUPPLEMENTARY INFORMATION:
On March 26, 1980, the Nuclear Regulatory Commission published for public comment proposed amendments to Part 19 of its regulations (45 FR 19564).
Existing paragraph 19.14(a) of 10 CFR 19 states that "each licensee shall afford to the Commission at all rea-sonable times opportunity to inspect materials, activities, facilities, premises, and records pursuant to the regulations in this chapter." Pro-cedures established by the Office of Inspection and Enforcement of the NRC include entrance and exit meetings with licenseee representatives for the purpose of discussing matters pertaining to inspections.
These meetings are necessary for an orderly and complete inspection process, and are used by the NRC inspectors to clarify inspection objectives and procedures and discuss inspection findings, including the resolution of apparent items of noncompliance with regulatory requirments.
The intent of this rulemaking is threefold:
first, to codify in the regulations the current practice of holding meetings with licensee representatives during NRC inspections to which both the NRC and the licensee can invite specified workers and agreed-to third parties; second, I
to broaden the scope of 10 CFR Part 19 to include concerns related to safe-guards, radiological safety and environmental impact, as well as radio-logical working conditions; and third, to extend the provisions of Part 19 to halders of construction permits and limited work authorizations under 10 CFR Part 50.
2 Enclosure "A"
[7590-01]
Under existing Part 19, licensees have the prerogative of choosing representatives, including their own employees and consultants, to attend inspection meetings with the NRC inspectors.
The NRC, on the other hand, has essentially no option (under the existing rule) concerning who should attend such meetings.
The rule change gives NRC the prerogative of having present individuals that have a specific and legitimate interest in attend-ing the meeting; for example:
a.
A representative of the workers who has submitted a request for inspection under 6 19.16 of the regulations; or b.
A worker who has an expressed interest in the inspection which has been brought to the attention of the NRC according to $$ 19.15 or 19.16 of the regulations.
The rulemaking responds to a request from several unions interested in being involved in inspections related to radiological conditions in the work environment.
In addition, the NRC Office of Inspection and Enforcement believes that having the option to invite specificd workers and, in some cases, expert consultants to meetings with, licensee repre.
sentatives would increase the effectiveness of inspection conferences.
These informal conferences have considerable value in terms of clarify-ing inspection objectives and procedures, and discussing inspection findings including the resolutions of possible items of noncompliance with regulatory requirements.
Office of Inspection and Enforcement per-sonnel have indicated that on several occasions licensees have rejected requests for the attendance of workers or representatives of workers with legitimate interests.
These incidents have resulted in greater difficulty in resolving health and safety considerations.
3 Enclosure "A"
[7590-01]
Under the revised rule, it should be clear that it is not the intent to require the att.endance of interested persons and/or expert consultants.
The licensees, however, could not refuse permission to their employees, or contractors, or consultants to attend if the NRC inspector has requested their attendance, and would be obligated to send a management representa-tive to the informal conference if requested by NRC.
Likewise the proposed rule is not intended to open inspection conferences to the general public; inspection findings and the licensee's position expressed in correspondence become matters of public record under existing practice.
The rule would simply facilitate resoihtion of matters in the inspection conference.
Fifty-six letters of public comment were received on the proposed rule, forty-eight suggesting changes and eight opposed to parts of the rule.
In response to these comments, parts of the proposed amendments have been revised.
The.evisions and the Commission's response to the principal comments are discussed below:
1.
The proposed rule provided the NRC inspector and the licensee the option of inviting to conferences individuals with legitimate interests in matters pertaining to the inspection.
The predominant comment by far was that the definition of who may attend such conferences was too broad and might be interpreted as requiring that the conference be open to the general public.
The Commission agrees that conferences are not intended to be open to the general public and has revised the rule to specify who may be invited to meetings between NRC inspectors and licensees.
(See 5 19.14(h), (1), (2), and (3) which limits invitees to workers and,1f agreed,to by both the NRC inspector and the licensee, other individuals with a legitimate interest).
Agreed to third parties might include expert consultants, contractor representatives or safety system vendors.
4 Enclosure "A" i
[7590-01]
2.
The proposed rule specified that informal conferences would be held at any time during an inspection.
Several commenters objected to "at any time," suggesting that certain times would be an unreasonable imposition on the licensee.
Proposed subsection 19.14(h) has been revised to indicate that conferences will be held at any reasonable time during an inspection.
It is neither the intent nor the practice of the NRC to schedule meetings with licensees at unreasonable times.
3.
Many of the commenters expressed the view that the participa-tion of invited participants should be limited to pertinent portions of the meeting and that proprietary information which might be discussed should not be disclosed without authorization.
The Commission agrees and has revised the rule accordingly.
A new subsection 19.14(f) has been added to limit the attendance of invitees to pertinent portions of meetings, to be determined by the individual extending the invitation, and a new subsection 19.14(j) has been added which precludes the disclo-sure of information required to be protected against unauthorized dis-i closure under NRC regulations.
See 10 CFR 2.790 and proposed 10 CFR 73.
4.
Some commenters expressed the view that formalizing inspection meetings would discourage licensees from participating in such meetings.
The Commission does not agree because the regulation merely codifies the current practice of holding inspection meetings with licensees.
These meetings have generally proved useful to all concerned.
In addition, the Commission believes that it is desirable and appropriate for it tu require meetings in the interest of the public health and safety in those few cases when a licensee might otherwise choose not to cooperate.
5.
Several commenters suggested that all meetings should be held at mutually agreeable times.
This suggestion is not accepted by the 5
Enclosure "A"
[7590-01]
Commission. Although the reference in the regulation to holding meetings
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at " reasonable times" means that most meetings will be at mutually agree-able times, NRC inspectors must have the discretion to call meetings on an urgent or immediate basis in appropriate circumstances, without neces-sarily obtaining the advance consent of the licensee.
6.
One suggestion was made that the rule should be implemented on a trial basis for a period of one year.
The Commission does not agree.
l Its regulations are subject to continuing evaluation and revision by the J
staff and the Commission.
In addition, members of the public may petition the Commission to issue, amend or rescind a regulation at any time.
See l
4 7.
It was also suggested that invitations to a worker, worker repre-sentative or an agreed-to third party 'should extend only to the exit inter-view.
The Commission disagrees.
The rule provides that an NRC inspector may call an informal meeting at any reasonable time during an inspection.
No compelling reason has been asserted why specific interests of a worker, worker representative or agreed-to third party in inspection ~ planning, complaint h3ndling or the resolution of inspection findings, should not
)
be considered before the exit interview if in the inspector's discretion the facts warrant consideration at an earlier point in time.
8.
Several commenters suggested that the Commission establish a l
fund to pay the wages of workers who attend inspection meetings.
The i
Commission disagrees.
Participation by a worker in discussions concerning j
health and safety is considered a legitimate component of his/her job i
responsibilities and licensees are responsible for compensating their i
employees.
It is not anticipated that the time required of a worker or 1
l 6
Enclosure "A" e
[7590-01]
his representative to attend inspection meetings will substantially impact any licensee.
The Commission believes that the revised rule provides for greater involvement of workers in the improvement of health and safety matters and that such increased involvement is likely to benefit the NRC's inspec-tion and enforcement program and the public.
Anyone wishing more detail on the development of these amendments may obtain an " Abstract of Comments on Proposed Rulemaking,10 CFR Part 19, Informal Conference During Inspec-tion, and Staff Response" or a "Value/ Impact Assessment for Proposed Rule-making, Informal Conference During Inspection" by writing to Alan K.
Roecklein, Occupational Health Standards Branch, Office of Standards Development, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 within twelve months of this notice, or by writing the NRC's Public Document Room, USNRC, Washington, D.C. 20555 thereafter.
In addition a complete set of the public comments, Value/ Impact Assessment and the Abstract of Comments is available for inspection and copying for a fee in the Commission's Public Document Room at 1717 H St.
NW., Washington, D.C.
The following amendments are intended to fac'.'~fitate the inspection process as well as the resolution of matters concerning worker radio-logical health and safety, safeguards and environmental impact.
In addi-tion, the changes formalize, as regulations, current inspection procedures.
Pursuant to the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and sections 552 and 553 of Title 5 of the United States Code, the following amendments of Title 10, Chapter 1, Code of Federal Regulations, Part 19 are published as a document subject to codification.
7 Enclosure "A" l'
[7590-01]
10 CFR Part 19 is amended as follows:
1.
The authority citation for Part 19 is revised to read as follows:
Secs. 53, 63, 81, 103, 104, 161(b), 161(i), 161(o), Pub. Law 83-703, 68 Stat. 930, 933, 935, 936, 937, 948, 949, 950, as amended (42 U.S.C. 2073, 2093, 2111, 2133, 2134, 2201(b), 2201(i), 2201(o)), Secs. 201, 401, Pub.
Law 93-438, 88 Stat. 1242, 1254 (42 U.S.C. 5841, 5891).
2.
Section 19.1 is revised to read as follows:
$ 19.1 Purpose The regulations in this part establish requirements for noticos, instructions, and reports by licensees to individuals participating in licensed activities, and options available to such individuals in connec-tion with Commission inspections of licensees to ascertain compliance with the provisions of the Atomic Energy Act of 1954, as amended, Title II of the Energy Reorganization Act of 1974, and regulations, orders, and licenses thereunder regarding radiological working conditions, safeguards, radiological safety and environmental impacts.
3.
Section 19.2 is revised to read as follows:
S 19.2 Scope The regulations in this part apply to all persons who receive, possess, use, or transfer material licensed by the Nuclear Regulatory Commission pursuant to the regulations in Parts 30 through 35, 40, or 70 of this chapter, including persons licensed to operate a production or utilization facility pursuant to Part 50 of this chapter.
The provisions in 10 CFR Part 19 shall also apply to the holders of construction permits and limited work authorizations for production and utilization facilities pursuant to Part 50 of this chapter.
8 Enclosure "A"
(7590-01]
l 4.
Paragraphs (h), (i) and (j) are added to S 19.14 to read as follows:
l 919.14 Presence of Representatives of Licensees and Workers During Inspections, n
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=
m (h) At the initiation of the NRC inspector, an informal conference including the NRC inspector and a representative of licensee management shall be held at any reasonable time during an inspection to discuss tentative inspection findings, complaints of individuals involved in the licensed activities concerning radiological working conditions, radio-logical safety, safeguards, and environmental impacts, and resolution of matters pertaining to inspection procedures or findings. The NRC inspector and the ifcensee shall each have the option of inviting to these meetings, or to pertinent portions of these meetings:
(1) A worker who has submitted a request for inspection under 919.16 and/or the' worker's representative, provided that.the invited-worker and the worker's representative are employed by the licensee or by a contractor to the licensee; or (2) A worker who has expressed an interest in the inspection as specified in g 19.15(b) and/or the worker's representative, provided that the invited worker and the worker's representative are employed by the licensee or by a contractor to the licensee; or (3) Other individuals with interests in specific matters per-taining to the inspection, provided that the concurrence of both the NRC representative and the licensee has been obtained.
A licensee shall not unreasonably withhold such concurrence.
9 Enclosure "A" r
~
[7590-01]
(1) The portion of the meeting which each individual invited pur-suant to subparagraphs h(1), h(2), or h(3) of this section is permitted to attend shall be determined by the individual extending the invitation, i.e., either the NRC inspector or the licensee.
(j) Action taken under paragraph (h) of this section shall not affect the option of confidentiality afforded any individual who provides information to the NRC, to the extent authorized by law, and shall not cause or permit the disclosure of information required to be protected against such unauthorized disclosure under NRC regulations.
Dated at Washington, D.C. this day of
, 1980.
For the Nuclear Regulatory Commission.
Samuel J. Chilk Secretary of the Commission 4
5 l
l 10 Enclosure "A"
j i
ENCLOSURE B
ABSTRACT OF COMMENTS AND
^
STAFF RESPONSE ON PROPOSED RULEMAKING, 10 CFR PART 19, INFORMAL CONFERENCE OURING INSPECTION, On March 26, 1980, the NRC published in the Federal Register the following proposed amendment to 10 CFR Part 19:
1.
An amendment to S 19.2 by adding a sentence to the end thereof:
$ 19.2 Scope a
n a
a n
The provisions in S 19.14 shall also apply to the holders of construction permits and limited work authorizations for production and utilization facili-ties pursuant to Part 50 of this chapter.
2.
A new paragraph (h) to be added to S 19.14 to read as follows:
$ 19.14 Presence of Representatives of Licensees and Workers During Inspections.
n n
a a
n (h) At the request of the NRC inspector, an informal conference with a representative of licensee (including holders of construction permits and limited work authorizations) management shall be held at any time during an inspection to discuss tentative inspection findings, complaints of individuals involved in the licensed activities concerning radiological working conditions, l
safety, safeguards and environment impacts, and resolution of matters pertain-ing to inspection findings.
The NRC inspector and the licensee shall each l
1 Enclosure "B" l*
have the option of inviting, as either determines appropriate, individuals with legitimate interests in matters pertaining to the inspection.
(Action taken under this subparagraph shall not affect the option of confidentiality afforded any individual who provides information to the NRC, to the extent authorized by law.)
Fifty-six separate comments have been received, forty eight recommending changes and eight opposed to the concept.
Appendix 1 is a list of commenters.
Copies of the comment letters are available for review in the NRC public document room.
As a result of staff analysis of the comments, significant revisions in the rule are proposed.
The revised rule is presented here, followed by a listing of comments with explanations as to how the revisions resolve the comments.
The staff believes that appropriate revision of the proposed rule can maintain the expected benefits of increased worker participation in inspections and at the same time resolve the concerns expressed in public comments. We are pro-posing revisions in the rule as follows (underlined portions are additions, and deletions are indicated by dashes):
Proposed Revisions in Rule 1.
An amendment to 919.1 by adding to the end thereof:
$ 19.1 Purpose
=
=
=
=
...regarding radiological working conditions, safeguards, radiologi-cal safety and environmental impacts.
2 Enclosure "B"
1.
An amendment to 519.2 by adding a sentence to the end thereof:
5 19.2 Scope n
n n
a n
The provisions in Part 19 shall also apply to the holders of construction permits and limited work authorizations for production and utilization facil-ities pursuant to Part 50 of this chapter, as appropriate.
3.
New paragraphs (h), (i) and (j) to be added to 5 19.14 to read as follows:
$ 19.14 Presence of Repre.sentatives of Licensees and Workers During Inspections.
n n
n n
n (h) At the initiation of the NRC inspector, an informal conference
[with] including the NRC inspector and a representative of licensee manage-ment [ including-heiders-of-construction permits-and-iimited-work-authoriza-tiens] shall be held at any reasonable time during an inspection to discuss tentative inspection findings, complaints of individuals involved in the licensed activities concerning radiological working conditions, radiological safety, safeguards, and environmental impacts, and resolution of matters per-taining to inspection procedures or findings. The NRC inspector and the licensee shall each have the option of inviting [as-either-determines-appro-priate--individuais-with-legitimate-interests-in-matters pertaining-to-the inspection-] to these meetings, or to pertinent portions of these meetings:
(1) A worker who has submitted a request for inspection under 619.16 and/or the worker's representative, provided that the invited worker and the worker's representative are emoloyed by the licensee or by a contractor to the licensee; or 3
Enclosure "B" t
4 (2) A worker who has expressed an interest in the inspection as specified in 619.15(b), and/or the worker's representative, provided that the invited worker and the worker's representative are employed by the licensee I
or by a contractor to the licensee; or (3) Other individuals with interests in specific matters pertaining 4
to the inspection, provided that concurrence of both the NRC representative and j
the licensee has been obtained.
A licensee shall not unreasonably withhold
]
such concurrence.
(i) The portion of the meeting which each individual invited pursuant to subparagraphs h(1), h(2), and h(3) of this section is permitted to attend shall l
be determined by the individual extendina the invitation, i.e., either the NRC inspector or the licensee.
{J1 Action taken under (this-sub] paragraph ihl of this section shall not i
affect the option of confidentiality afforded any individual who provides infor-4 mation to the NRC, to the extent authorized by law, and shall not cause or per-mit the disclosure of information required to be protected against unauthorized j
disclosure under NRC regulations.
i i
Abstract of Comments and Staff Response 1
I 1
1.
Comment - The rule is too general as to what individuals the NRC-l can invite.
" Legitimate interests" is not specific enough.
j Staff Response It is agreed that " individuals with legitimate interests" is too general and the revised rule j
makes it clear that only workers in the employ j
of the licensees or their contractors, and other i
i 4
Enclosure "B" I
4 individuals if agreed to by both the NRC and licensee can be invited.
(See $ 19.14, h(1), h(2) and h(3)).
2.
Conment - It will be difficult to have appropriate people available during unannounced inspections.
Staff Response It is recognized that on occasion a worker might not be available to attend a meeting, and it is not expected that either the NRC or the licensee would request a meeting at unreasonable times.
Note that the proposal revisions include "... conference...shall be held at any reasonable time..."
3.
Comment
"...the rule should narrow the scope of and classify who may have an interest in the inspection by using the words " specific and legitimate with expertise in a specific field of the inspection."
Revisions made in the rule as a result of public Staff Response comments " narrow the scope of and clarify" who may be invited to meetings.
4.
Comment - The proposed rule will make informal meetings between NRC and licensee formal and ineffective unless attendance 13 limited to persons with specific interest who are involved in the licensed activities.
5 Enclosure "B"
\\
Staff Response It is not likely that having a worker, his representa-
'tive, or an agreed to third party present for an appro-priate portion of a meeting will formalize meetings between inspectors and licensees to the extent that j
meetings will be ineffective.
5.
Comment - The rule should be changed so that meetings will be held at any mutually agreed upon time.
The rule has been changed so that meetings will be Staff Response requested at " reasonable" times, which usually implies " mutually agreed upon times."
6.
Comment - The rule should be done on a trial basis and evaluated after 1 year.
Staff Response Publishing the rule on a trial basis for a period of,
1 year is not necessary, since all of the rules and regulations are subject to continuing evaluation and revision by the staff and the Commission if desirable.
In addition, interested members of the public may peti-tion the Commission to issue, amend, or rescind any regulation (See 10 CFR 2.802).
7.
Comment - Invitees should be present only for that portion of the meeting in which they have a legitimate, specific interest.
6 Enclosure "B"
The staff agrees that invitees should be present for Staff Response that portion of a meeting pertaining to the matters of interest to them.
The rule is revised so that workers or consultants may be invited "to appropriate portions of these meetings." See 5 19.14 h(i).
8.
Comment - There should not be a licensee obligation to pay workers over-time to attend meetings.
Compensation is a matter to be decided between the Staff Response licensee and its employees.
However, participation by a worker in a portion of an inspection meeting concerned with a safety matter is likely to be beneficial to the licensee.
Meetings are to be held at " reasonable" times and it is not intended that the number of invitees will be large under the revised rule.
The cost of a worker's attend-ance is not considered large by the' staff in view of expected benefits.
t 9.
Comment - The number of people invited to attend meetings should be limited.
It is not expected that the number of invitees will Staff Response be large under the revised rule.
A worker and/or his representative would suggest a limiting of the number but would not preclude additional invitees if desired.
7 Enclosure "B"
10.
Comment - The final rule should be specific in identifying the appro-priate scope of participation by the invitees.
Staff Response Staff concurs and invitations are to " appropriate portions of these meetings." See revised 5 19.14(h) and (1).
11.
Comment - The rule should define that invitations extend only to the exit interview.
Staff Response The suggestion that invitations extend only to exit meetings is not accepted.
It is likely that a worker, a worker representative, or an agreed to third party might have matters of interest concerning planning of 4
an inspection or the resolution of an inspection find-ing which needs immediate attention.
12.
Comment - The Commission should establish a fund to pay workers for any costs incurred in such activities.
Staff Response Licensees are responsible for compensating their employees.
13.
Comment - The attendees should be mutually agreed upon by both the NRC and the licensees.
I i
8 Enclosure "B"-
Staff Response The staff agrees that invitees not in the employ of l
or under contract to the NRC or the licensee should be mutually agreed upon and has revised the rule accordingly.
See $ 19.14(h).
14.
Comment - Meetings involving invited consultants should be planned in advance.
If the Commission feels that inspections are not as effective as they could be, inspections should be planned in advance with the licensee participating in the planning.
Staff Response Most inspections include an entrance interview with the licensee for the purpose of planning inspection procedures.
The licensee has input to the inspection planning process at this time.
Unannounced inspec-tions have a demonstrated value in the regulatory process.
The staff does not' agree that all inspec-tion should be preplanned with the licensee.
4 15.
Comment - Allowing the attendance of third parties over the objections of the licensee would have a negative effect on meet.ings.
If adopted as written, the rule threatens to convert a useful meet-ing at which a licensee can openly discuss inspection findings and commit to take corrective actions in an expedited and cooperative fashion into an adversarial confrontation possibly involving issues of liability, labor management or contractual relations, or proprietary matters.
9 Enclosure "B" i
Staff Response Limiting attendance to workers and " agreed to" third parties, for limited portions of a meeting, and the reference to NRC regulation, which control access to protected information, should resolve this concern.
16.
Comment - We believe the informal meeting, or " exit interview," is a worthwhile part of the NRC's inspection process.
It has worked well because it is informal, cooperative, voluntary, and non-adjudicatory in nature. We do not believe the purpose of such conferences would be served by attaching a compulsory aspect to them.
Staff Response The proposed rule codifies the existing practice of holding meetings with licensees during inspections.
17.
Comment - The rule should not permit invitees to go on a walk-thru inspec-tion and access to premises, records, etc., by invitees to meet-ings should not be as broad as defined in 19.14(a).
Staff Response The revised rule allows the invitation of workers and agreed to third parties only to an informal conference to discuss specific concerns.
10 CFR Part 19.14 specifies who may attend walk-throughs, and the pro-posed rule does not modify NRC access to materials, activities, facilities, premises and records under f 19.14(a).
10 Enclosure "B"
18.
Comment - We believe that the proposed regulation is ill-conceived and unnecessary, would be counterproductive to the resolution of I
issues by the NRC inspector and the licensee, and is inappro-priate as a matter of law.
1 Staff Response The staff disagrees.
The presence of workers and other agreed to third parties would contribute to the resolu-tion of inspection findings.
The legal authority for the regulation is specified in the Federal Register
' notice.
19.
Comment - Invitations should be limited to workers or worker representa-tives, or contractors or expert consultants retained by NRC.
The final rule should provide some mechanism to resolve dis-agreements between the licensee and NRC concerning whether an invitee's participat~ ion is appropriate.
Staff Response The staff concurs and sections 19.14(h), (1), (2),
and (3) specify that workers may be invited by either the NRC or the licensee and that other individuals 4
must be agreed to by both.
20.
Comment - We object to opening up the informal conference to (1) an un-limited number of persons, or (2) nonemployees, consultants, or just interested individuals.
11 Enclosure "B"
Staff Response The revised rule which specifies that "a worker and/or his representative," or agreed to third parties, may attend, should not result in large numbers of addi-tional attendees.
Attendance is also limited to
... pertinent portions of these neetings...."
21.
Comment - The regulation is unconstitutional in that it would permit NRC officials to bring persons onto private property without the owner's consent.
Staff Response The revised rule permits individuals already authorized to be on licensee premises to attend meetings or third parties with the licensee's consent.
22.
Cor. ment - We do not believe any good will be done having " outsiders" taking part in tentative findings, discussions, and meetings.
Staff Response The staff believes third parties not employed by the licensee, if agreed to by the licensee, may provide valuable contributions to inspection meetings. An example might be a safety system vendor representative.
23.
Comment - Invitations should be limited to workers, worker representatives, contractors, expert consultants, or management representatives employed by the licensee or by the NRC and having a legitimate and specific expertise and interest directly relating to the subject matter of the inspection.
12 Enclosure "B"
e Staff Response Staff agrees.
See revised rule.
24.
Comment - If the NRC inspector thinks it is necessary to talk with non-management employees during an inspection about a particular problem, 919.14 and 519.15 of the regulations currently gives the inspector the right to do so.
Staff Response The staff believes that having involved workers present for specific portions of meetings will add to the effective resolution of inspection findings.
25.
Comment - The wording in proposed 19.14(h) would permit only the NRC inspector to request a conference and does not afford the same privilege to the licensee.
Staff Response 10 CFR Part 19.14(b) provides the licensee or his representative continuous access to the NRC inspector l
during all phases of an inspection.
Requests from a licensee for a meeting would be considered in context with inspection procedures and are not likely to be denied.
Conduct of an inspection is the legal res-ponsibility of the NRC.
i 26.
Comment - It appears to me that this regulation basically favors unions to suit their own purpose which may have little to do with safety.
4 13 Enclosure "B"
Staff Response The staff believes that workers, whether or not they are represented by unions, have much to contribute to the improvement of radiological safety and other matters pertinent to inspection objectives.
27.
Comment - Because of the potential misuse of the proposed rule enange by parties such as the unions requesting it, as well as other persons that are anti-nuclear energy, we request that this ruling not be implemented.
Staff Response It is not intended to open meetings to the general public.
The revised rule limits attendance to specific individuals and therefore no abuse is expected.
28.
Comment - The part of the proposed rule codifying the existing practice of inspection meetings and extending Part 19 to construction licenses is acceptable.
We request that you delete the part concerning inviting third parties to these meetings.
1 Staff Response The staff believes that limiting the scope of who say be invited retains the expected benefits of this part of the proposed rule and should remove most of the concerns expressed by licensees.
29.
Comment - The purpose of 10 CFR 19 is directed towards radiological work-ing conditions, and these do not apply to construction licenses. '
14 Enclosure "B"
Staff Response Construction licensees are subject to inspection, and inspection concerns are broader than radiological work-ing conditions.
Input from workers is encouraged con-cerning radiological safety, safeguards, and environ-mental impact as well as radiological working condi-tions.
Also, construction of facilities with future importance to radiological working conditions is relevant.
The rule broadens the scope of Part 19.
30.
Comment - We are strongly opposed to allowing NRC inspectors to invite individuals to attend the NRC/ license meetings without prior agreement with the licensee.
Staff Response The staff believes that the NRC should have the option of inviting a worker, and/or his representative to a meeting, as described in the revised rule, without the concurrence of the licensee. Other individuals could be present only by mutual agreement.
31.
Comment - The proposed rule should not apply to indurtrial radiography operations.
i Staff Response Industrial radiography operations are licensed by the NRC and are subject to inspections, and the staff I
believes there is no compelling reason why the pro-l posed rule should exclude this group of licensees.
l l
l 15 Enclosure "B" l-
32.
Comment - The proposed informal conference appears to preempt normal labor / management relationships in private enterprise.
The NRC has no intention of preempting normal labor /
Staff Response management relationships.
The staff does not believe that limited presence by a worker or his representa-tive to discuss a concern about radiological working conditions, safety, safeguards, or environmental impact in the context of inspection meetings has a significant impact on labor / management relationships.
33.
Comment - We are concerned that the presence of third parties at meetings might result in the disclosure of information relating to physi-cal security plans.
Suggest the following addition to the parenthetical statement at the end of the proposed rule;
"...and shall not cause the disclosure of material exempt from disclosure under 9 2.790, to individuals not authorized by the licensee to receive such information."
The staff agrees with the comments and the suggested Staff Response change has been included in the revised rule.
- Note, however, that the Commission may authorize the dis-closure of information relating to security plans to appropriate individuals in certain circumstances.
Therefore, the comment is accepted with the addition l
of the words, " Commission or the" before the word l
licensee.
See 9 19.14(j).
16 Enclosure "B"
34.
Comment - The proposed rule as written would involve the NRC inspector in worker safety issues on construction sites.
This is more properly the iurisdiction of OSHA.
Staff Response NRC interests and intent concerning " safety" in the proposed rule is limited to such things as the design, construction, and use of facilities and equipment which relate to radiological safety.
The proposed rule is revised accordingly.
See 5 19.14(h).
35.
Comment - The final comment letter was submitted by the Oil, Chemical, and Atomic Workers International Union.
This comment is dis-cussed separately, since the commenter finds the proposed rule wholly inadequate for quite different reasons.
Referring to OSHA Program Directive #200-2 entitled " Employee Participation in OSHA Inspections and enforcement Proceedings," the commenter observes that OSHA requires that employee representatives be given an opportunity to be present during opening, closing, and informal conferences.
It is suggested that the NRC must afford thedesignatedworkerrepresentativeanopportunity
'have an appropriate number of representatives accompany the in ector
\\J during all conferences with licensee representatives as well as the walkaround inspection.
Staff Response In response to the comment from the Oil, Chemical,
)
and Atomic Workers International Union, the staff 1
notes that the revised rule will require a licensee i
17 Enclosure "B"
o to provide an opportunity for a worker or a worker's
)
representative, invited by the NRC to attend inspec-1 tion meetings.
The staff further notes that 10 CFR Part 19.15 specifies that inspectors may consult privately with workers during inspections and that workers may bring privately to the attention of the inspectors, any condition which he/she believes may have contributed to or caused any violation.
In addi-tion, 10 CFR Part 19.14(c) gives the designated worker representative the opportunity to accompany the inspectors during the inspection of physical working conditions.
18 Enclosure "B"
o APPENDIX 1
~
LIST OF COMMENTERS DISCUSSED IN ABSTRACT OF COMMENTS AND STAFF RESPONSE 1.
Memorial Hospital of National County; R. R. Lund, M.D.
i 2.
Oklahoma Testing Laboratories; M. A. Witte, President 3.
Niagara Mohawk Power Corporation; Thomas E. Lempges, Vice President, Nuclear 1
4.
UNC Recovery Systems; C. E. Bowers, President 5.
Public Service Company of Colorado; Don W. Warembourg, Manager, Nuclear Production 6.
Detroit Edison; Wayne H. Jens, Vice President, Nuclear Operations 7.
Public Service Company of Oklahoma; Vaughn L. Conrad, Manager, Licensing and Compliance 8.
Public Service Company of New Hampshire; D. N. Merrill, Executive Vice President 9.
Plum Creek Lumber Company; Lanny D. Hammock, Technical Director, Fiberboard Division 10.
Arkansas Power & Light Company; David C. Trimble, Manager, Licensing
- 11. Alabama Power Company; Jesse S. Vogtle, Executive Vice President 12.
LFE Corporation, Process Control Division; William R. Prendergast, Radiation Safety Officer 13.
Boston Edison Company; William S. Stowe, Attorney 14.
Portland General Electric Company; J. L. Williams, Executive Vice President 15.
Texas Utilities Generating Company; Robert J. Gary, Executive Vice President 16.
Edison Electric Institute; John Kearney, Jr., Senior Vice President 17.
The Procter & Gamble Company; G. H. Scott, Director, Research & Development Division 18.
Florida Power & Light Company; Robert E. Uhrig, Vice President, Advanced Systems and Technology
- 19. Georgia Power Company; W. A. Widner, Vice President, Nuclear Generation 20.
Equitable Gas of Pittsburgh; Paul E. Black, Manager, Technical Ser/ ices 1
21.
Florida Power Corporation; P. Y. Baynard, Manager, Nuclear Support Services 22.
Kerr-McGee Nuclear Corporation; W. J. Shelley, Director, Regulation and Control 23.
Yankee-Atomic Electric Company; D. W. Edwards, Director, Operational Projects 24.
Carolina Power & Light Company; M. A. McDuffie, Senior Vice President, Engineering and Construction
\\
25.
Pathfinder Mines Corporation; Thomas W. Pennington, Senior Corporate Counsel 26.
Philadelphia Electric Company; V. S. Boyer, Senior Vice President, Nuclear Power 27.
Utility Workers Union of America; Marshall M. Hicks, Treasurer, National Security 28.
Jay E. Silberg, Counsel for Union Electric Company, Washington, DC 29.
Philips Medical Systems, Inc.; Robert F. Avrutik, Regulatory Department 30.
The Cincinnati Gas & Electric Company; James D. Flynn, Manager, Licensing 31.
Michael A. Bauser, Counsel for Puget Sound Power & Light Company and Iowa Electric Light & Power Company, Washington, DC 32.
Commonwealth Edison Company, D. L. ' Peoples 33.
Mississippi Power & Light Company; Norris L. Stampley, Vice President 34.
Louisiana Power & Light Company; J. M. Wyatt, President 35.
Houston Lighting & Power Company; J. R. Sumpter, Manager, Nuclear Department 36.
Mallinckrodt, Inc. ; George E. Gerth, Manager, Plant Services 37.
3M Medical, St. Paul, MN; Roert G. Wissink, Chairman, Isotope Committee j
38.
Mr. Stanley Roberts; no affiliation indicated 39.
Mailgram, NDTNA, Inc., Burbank, CA; Fredrick H. Rohde, Managing Director 40.
Nuclear Fuel Services, Inc. ; W. C. Manser, Jr., General Manager 41.
Illinois Power Company; L. J. Koch, Vice President 42.
Pacific Gas & Electric Company; Richard F. Locke 43.
Westinghouse Electric Corporation; Ronald P. DiPiazza, Manager, Licensing 44.
Stone & Webster Engineering Corporation; S. B. Jacobs, Chief Licensing Engineer 2
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Newport News Shipbuilding; F. H. Creech, Special Counsel 46.
National Bureau of Standards; Thomas G. Hobbs, Chief, Health Physics 47.
American Airlines; C. R. Anderson, Manager, NDT Quality Assurance 48.
UNC Naval Products; W. F. Kirk, Manager, Nuclear and Industrial Safety 49.
Consumers Power Company; David P. Hoffman, Nuclear Licensing Administrator 50.
St. Mary's Hospital, Kansas City; Keith D. Hornberger, Associate Executive Director 51.
Ohmart Corporation; Paul E. Sieck, Vice President, Manufacturing 52.
KMC, Inc., Washington, DC; Donald F. Knuth, President 53.
Atomic Industrial Forum, Inc.; Stephen H. Howell, Chairman, Committee on Power Plant Design, Construction, and Operation 54.
Western Nuclear, Inc.; Grey Bogden, Director, Environmental and Industrial Safety 55.
Oil, Chemical, and Atomic Workers International Union; Steven Wodka, International Representative
~
56.
Duke Power Company; William O. Parker, Jr., Vice President, Steam Production 3
t e
e e e
ENCLOSURE C i
l VALUE/ IMPACT ASSESSMENT FOR RULEMAKING INFORMAL CONFERENCE DURING INSPECTION 1.
PROPOSED ACTION 1.1 Description The Office of Inspection and Enforcement has requested the Office of Standards Development to prepare a new regulation which would authorize NRC inspection staff to schedule meetings with licensee representatives during inspections.
In addition the regulation would permit the NRC and the licensee to have present at these meetings workers and other specified individuals with legitimate interests in the licensed activities.
The following additions to 10 CFR Part 19 are proposed:
1.
An amendment to 519.1 by adding to the end thereof:
$ 19.1 Purpose n
...regarding radiological working conditions, safeguards, radio-i logical safety and environmental impact.
2.
An amendment to 519.2 by adding a sentence to the end thereof:
5 19.2 Scope x
=
=
=
=
The provisions in 10 CFR Part 19 shall also apply to the holders of con-struction permits and limited work authorizations for production and utiliza-tion facilities pursuant to Part 50 of this chapter, as approprite.
1 Enclosure "C" l
I
3.
Paragraphs (h), (1) and (j) are added to 9 19.14 to read as follows:
9 19.14 Presence of Representatives of Licensees and Workers During Inspections, n
a a
a n
(h) At the initiation of the NRC inspector, an informal conference including the NRC inspector and a representative of licensee management shall be held at any reasonable time during an inspection to discuss tentative inspection findings, complaints of individuals involved in the licensed activi-ties concerning radiological working conditions,-radiological safety, safeguards, and environmental impacts, and resolution of matters pertaining to inspection procedures or findings. The NRC inspector and the licensee shall each have the option of inviting to these meetings, or to pertinent portions of these meetings:
(1) A worker who has submitted a request for inspection under 9 19.16 and/or the worker's representative, provided that the invited worker and the worker's representative are employed by the licensee or by a contractor to the licensee; or (2) A worker who has expressed an interest in the inspection as specified in 9 19.15(b) and/or the worker's representative, provided that the invited worker and the worker's representativ.e are employed by the licensee or by a contractor to the licensee; or (3) Other individuals with interests in specific matters per-taining to the inspection, provided that the concurrence of both the NRC repre-sentative and the licensee has been obtained.
A licensee : hall not unreasonably withhold such concurrence.
(i) The portion of the meeting which each individual invited pursuant to subparagraphs h(1), h(2), or h(3) of this section is permitted to attend shall 2
Enclosure "C"
e be determined by the individual extending the invitation, i.e., either the NRC inspector or the licensee.
(j) Action taken under paragraph (h) of this section shall not affect the option of confidentiality afforded any individual who provides information to the NRC, to the extent authorized by law, and shall not cause or permit the disclosure of information required to be protected against unauthorized dis-closure under NRC regulations.
- 1. 2 Need for the Proposed Action Paragraph 19.14(a) of 10 CFR 19 states that "each licensee shall afford to the Commission at all reasonable times opportunity to inspect materials, activities, facilities, premises, and records pursuant to the regulations in this chapter." Procedures established by the Office of Inspection and Enforce-ment of the NRC include entrance and exit meetings with licensee representa-tives for the purpose of discussing matters pertaining to inspections. These meetings are necessary for an orderly and complete inspection process, and are used by the NRC inspectors to clarify inspection objectives and procedures, and discuss inspection findings, including the resolution of apparent items of noncompliance with regulatory requirements.
The intent of this proposed rulemaking is twofold: first, to include in i
the regulations a reference to the current practice of holding meetings with i
l licensee representatives during NRC inspections and second, to allow NRC inspectors to invite certain individuals with specific and legitimate interest in the inspection.
Under Part 19, licensees and workers have the prerogative of choosing representatives, including their own employees and consultants, to attend inspection meetings with the NRC inspectors.
The NRC, on the other hand, 3
Enclosure "C"
-l
l l
has essentially no option (under the existing rule) concerning who should attend such meetings.
The proposed rule change would give NRC the prerogative of having present individuals who have specific and legitimate interest in attending the meeting; for example, 1
a.
A representative of the workers who has submitted a request for inspection under Section 19.16 of the regulations; or b.
A worker who has an expressed interest in the inspection which has been brought to the attention of NRC according to SS 19.15 or 19.16 of the regulations.
It should be clear that it is not the intent to require the attendance of any individuals at these informal meetings nor is it intended to open these meetings to the general public.
Full disclosure of the official inspection findings and the licensee's position is expressed in enforcement correspond-ence, which become a matter of public record. The proposed rule however, will provide an additional degree of openness to inspections in keeping with the NRC policy of conducting its business subject to public scrutiny.
It is common practice for licensee management to discuss corrective actions for regulatory violations during inspection meetings.
These might include pro-
)
posed correction of the management control procedures which permitted a viola-tion to occur.
In the case of significant health and safety deficiencies, NRC inspectors expect the licensee to make a commitment to expedite corrective actions in the interest of health and safety without waiting for an enforcement letter.
Licensees might be reluctant to discuss such matters in the presence of worker representatives.
In addition, information concerning proprietary matters might be relevant to discussions of inspection findings, and licensees 4
Enclosure "C"
l would not choose to discuss these matters in an open meeting.
These problems should be obviated by permitting the NRC inspector and the licensee to only invite persons' with legitimate specific interests.
Office of Inspection and Enforcement personnel have indicated that on several occasions licensees have rejected requests for the attendance of workers or representative of workers with legitimate interests. These inci-dents have resulted in greater difficulty in resolving health and safety con-siderations.
1.3 Value/ Impact of the Proposed Action 1.3.1 NRC The proposed new regulation would authorize NRC inspectors to schedule meetings with licensee representatives to discuss and resolve inspection findings of immediate health and safety implications.
NRC and licensee con-sultants could be present to provide specialized expertise in resolving inspec-tion matters. Workers with legitimate concerns about radiological working con-ditions could participate in the resolution of these concerns.
In general this regulatory authority would enhance the effectiveness of the IE field inspection staff, and the staff believes health and safety requirements could be better enforced.
l 1.3.2 Other Government Agencies Not applicable unless the government agency is a licensee.
1.3.3 Industry Impact on industry in the opinion of the staff would be minimal.
It is expected that the IE staff would exercise reasonableness in the frequency of 5
Enclosure "C"
d meetings scheduled and that the large majority of inspections would entail only the current practice of entry and exit interviews.
Ofscussion of proprietary matters or sensitive labor-management issues would'need to be controlled jointly by NRC and licensee staff.
Values to industry might include less costly resolu-tion of inspection findings and a better informed work force.
)
1.3.4 Workers To the extent that IE functions are improved then certainly worker health and safety interests are better protected. Workers directly involved with inspection matters would have an opportunity to participate in their resolution.
1.3.5 Public No impact on the public can be seen.
1.3.6 Decision on the Proposed Action The Commission should issue the proposed rule establishing IE authorization to schedule meetings with license'e representatives during inspection.
2.
TECHNICAL APPROACH This section is not applicable to this value/ impact statement since no technical matters are addressed in the proposed action.
3.
PROCEDURAL APPROACH There are some alternatives to the proposed action which should be identified.
6 Enclosure "C"
3.1 No Action Do not change the regulations, thereby leaving the inspection exit inter-view as a courtesy to the licensee.
The impact of taking no action would be that a licensee could decline to meet with an inspector thus delaying possible resolution of inspection findincy.
Also no action would continue the present situation wherein only the licensee and worker group are authorized to have designated representatives present during inspections (see 5 19.14(b), (c) and (f)).
3.2 Change 10 CFR Part 19.14 59 19.14 (b), (c) and (f) could be changed to establish the prerogative of NRC to have present during inspection meeting those persons designated by NRC as advising and assisting the inspection staff.
This change would not i
establish mandatory inspection meetings but would have the value to NRC of allowing their advisors present during inspection meetings which do occur.
4.
STATUTORY CONSIDERATIONS 4.1 NRC Regulatory Autho'rity Section 19.14 (a) of 10 CFR Part 19 establishes a legal requirement that each licensee shall afford to the Commission at all reasonable times opportunity to inspect materials, activities, facilities, premises and records pursant to the regulations. The NRC is authorized to provide criteria for acceptable access and procedures for conducting inspections.
4.2 Need for NEPA Statement The amendments proposed here do not significantly affect the quality of the human environment or involve unresolved conflicts concering available 7
Enclosure "C" l
b
resources.
Accordingly, no environmental impact statement, negative declara_
tion or environmen'tal impact appraisal need be prepared.
5.
RELATIONSHIP TO OTHER EXISTING OR PROPOSED REGULATIONS OR POLICIES No conflicts or overlaps with requirements promulgated by other agencies are foreseen.
Section 19.17 (a) makes reference to an informal conference for precedent.
6.
SUMMARY
AND CONCLUSIONS The proposed regulation on scheduling meetings during inspections and authorizing NRC to have appropriate individuals present should be issued.
l 8
Enclosure "C"
4 m
ENCLOSURE D
1 The Honorable Gary Hart, Chairman Subcommittee on Nuclear Regulation Committee on Environment and Public Works United States Senate Washington, D.C.
20510
Dear Mr. Chairman:
Enclosed for your information are copies of a final rule to be published in the FEDERAL REGISTER, by the Nuclear Regulatory Commission.
The amendment to title 10, Code of Federal Regulation, Part 19, " Notices, Instructions and Reports to Workers; Inspections, accomplishes three objectives:
f 1.
To broaden the scope of 10 CFR Part 19 to include concern with safeguards of nuclear materials, radiological safety of components and facilities under construction, and environmental impact of new facilities, as well as the existing concern with radiological working conditions.
2.
To extend the provisions of 10 CFR Part 19, as appropriate to all NRC licensees including holders of construction permits and limited work authorizations.
3.
To provide NRC staff authority to call meetings with licensee representa-tives at reasonable times during inspections and to provide both the NRC i
and the ifcensee the option of inviting specified workers and other mutually agreed to third parties to these meetings.
i Enclosure "D"
-. _. ~ -
Honorable Gary Hart 2
The rulemaking responds to a request from several unions interested in being involved in inspections related to radiological eenditions in the work.ing environments of licensed facilities or activities.
The NRC believes that having the option to invite individual workers and in some cases agreed to third parties to meetings with licensee representatives would increase the effectiveness of inspection conferences.
The NRC believes these informal con-ferences have considerable value in terms of clarifying inspection objectives and procedures and enable discussion of inspection findings, including the resolution of possible items of noncompliance with regulatory requirements.
The Notice of Rulemaking is being transmitted to the Office of the Federal Register and the amendments will be effective sixty days after publication.
Sincerely, Ray G. Smith, Acting Director Office of Standards Development i
Enclosure "D"
(
9 o
9 0
W k
ENCLOSURE E e
1
~
INFORMATION PAPER CONCERNING THE RELATIONSHIP BETWEEN THE PROPOSED RULE AND EXISTING UNION CONTRACTS SUBJECT Proposed Amendment to 10 CFR Part 19 to Establish NRC Staff Authority to Call Meetings with Licensees.
PURPOSE To provide additional information concerning whether there are any poten-tial conflicts between the proposed rule and existing union contracts with licensees.
No changes in the rule are proposed.
DISCUSSION A question has been raised by I & E as to whether the proposed rule could conflict in any way with existing union contracts at NRC licensed facilities.
More specifically the question was whether any conditions in union contracts would preclude, inhibit, or delay a worker's attendance at an NRC meeting with licensees.
Staff contact was made with the following union officials who repre-sent a large fraction (more than half) of those workers at NRC-licensed facilities who are unionized.
Mr. Marshall M. Hicks, Secretary-Treasurer Utility Workers Union of America, AFL-CIO Mr. Paul Shoop, International Representative International Brotherhood of Electrical Workers, AFL-CIO 1
Enclosure "E"
l o
I I
Dr. Frank Collins, Energy Consultant 1
i l
Oil, Chemical, and Atomic Workers International, AFL-CIO The proposed rule was read and explained and each union representative was asked whether there were any conflicts with existing union contracts.
The responses based on their broad experience with union practices and procedures though independent were remarkably consistent and indicated that most current union contracts contain a provision whereby if a worker is asked to attend an investigatory meeting which might lead to disciplinary action, the individual is entitled to have a union representative present.
These contracts require that the union specify the designated union representative, usually a shop steward or business manager. The respondents indicated that the situation in which a union member was invited to a meeting with licensee management would be handled under this contract provision. The worker might specify his shop steward to represent him at the meeting or ask that the shop steward accompany him to the meeting.
Existing union contracts would discourage but not pro-hibit attendance by union personnel other than the worker and/or the designated union representative. A designated union representstive would likely be avail-able promptly at any time a meeting is called.
The union representatives stressed a need for the maintenance of con-fidentiality for a worker, as provided for in the proposed regulation, and felt the proposed rule would not create a conflict with union interests since attendance at a meeting would be voluntary for the worker.
Therefore, there would be no problem with maintaining the confidentiality of the identity of a worker who chooses to provide information to the NRC in private.
4
?.
Enclosure "E"
I These union officials viewed the proposed rule as a very desirable effort on the part of the NRC, and thought it likely to improve and increase communi-cation on radiological safety and other matters between licensee management and workers. They felt that the benefits of increased worker input in safety matters far outweigh the unlikely risk of conflict with existing union rules.
COORDINATION The Office of Inspection and Enforcement concurs that no further changes in the proposed rule are needed.
l 3
Enclosure "E" l
t 1
ANALYSIS WITH RESPECT TO THE PERIODIC AND SYSTEMATIC REVIEW 0F REGULATIONS (THI ACTION PLAN TASK'IV.G.2)
SUBJECT:
Amendments to 10 CFR Part 19 to Establish NRC Staff Authcrity to Call Meetings With Licensees 3
l Criteria for Periodic and Systematic Review i
of Regulations NRC Compliance 1.
The proposed regulations are needed The regulation codifies NRC practice of holding meetings with licensees to discuss inspection procedures and find-ings.
These meetings often result in the immediate resolu-tion of inspection findings relevant to health and safety matters.
The option of having specified workers or agreed to third parties present for portions of these meetings, is expected to facilitate inspection planning and the resulu-tion of inspection findings.
Additional discussion of need for the rule is in Enclosure C, Value/ Impact Analysis.
The direct and indirect effects of this rulemaking were 2.
The direct and indirect effects of the
~
considered in the Value/ Impact Analysis prepared in connec-regulations have been adequately considered.
tion with the proposed rule.
(See Enclosures C).
3.
Alternative approaches have been considered Two alternative approaches were considered in formulation and the least burdensome of the acceptable of the rule:
alternatives has been chosen.
a.
No action, which would leave inspection meetings optional, thus delaying possible resolution of inspec-tion findings;
^
b.
Modifying existing paragraphs 19.14(b), (c) and (f) to establish the prerogative for NRC to invite speci-fled individuals to meetings held with licensees.
1 Enclosure "F"
e
SUBJECT:
Amendments to 10 CFR Part 19 to Fstablish NRC Staff Authority to Call Meetings With Licensees Criteria for Periodic and Systematic Review of Regulations NRC Compilance A discussion of staff reasons for rejecting these alterna-tives and proposing the subject amendments is found in Enclosure C, Value/ Impact Analysis.
4.
Public comments have been considered and an On March 26, 1980 the NRC published a Notice of Proposed adequate response has been prepared.
Rulemaking which sought public comment.
Fifty-six letters of public comment were received on the proposed rule. An i
Abstract of Comments and Staff response is provided as i
Enclosure B.
Significant revisions in the proposed rule were made as a result of the analysis of public comments.
i 5.
The regulation is written so that it is under-The proposed amendments (10 CFR Part 19) have been reviewed understandable to those who must comply with it.
and edited for the specific purpose of ensuring that the regulation is clear and can be understood by persons who are required to comply with it.
6.
An estimate has been made of the new reporting No new reporting or recordkeeping requirements are con-burdens or recordkeeping requirements necessary tained in the amendments.
for compliance with the regulation.
7.
The name, address, and telephone number of a The Federal Register notice promulgating the final rule con-knowledgeable agency official is included in tains the name, address, and telephone number of a knowledge-the publication.
able agency official.
l 8.
A plan for evaluating the regulation after Licensee and staff experience with the regulation will be its issuance has been developed.
used to evaluate the regulation.
In addition, this regula-tion will be reviewed in the second cycle of NRC's periodic and systematic review process (1986-1991).
l 2
Enclosure,"F"
.