ML20011B133
| ML20011B133 | |
| Person / Time | |
|---|---|
| Issue date: | 06/30/1981 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML20011B132 | List:
|
| References | |
| FOIA-81-303 S81-231, NUDOCS 8112040172 | |
| Download: ML20011B133 (1) | |
Text
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IN RESPONSE REFER UNITED STATES TO S01-231 0
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NUCLEAR REGULATORY COMMISSION E
I WASHINGTON. D.C. 20555 MinO9Ue i
Cys: Dircks
%*****,of June 30, 1981 Cornell Rehm CFFICE OF THE R0ecklein secasTA6v Stallo ~
Mar Denton MEMORANDUM FOR:
William J.
Dircks, Execu e Director Davis for Operations Kerr SP I
Felton FROM:
Samuel J.
Chilk, Secreta; 7
Philips
SUBJECT:
SECY-J1-231 - AMENDMENTS 10 CFR PART 19 TO ESTABLISH NRC S AFF AUTHORITY TO CAM MSETINGS WITH LICENSEES This is to advise you that the Commission has disapproved the subject paper.
Commissioner Ahearne, with Chairman Hendrie and Commissioner Bradford agreeing, recommended that the conmission follow the advice of the EDO (June 2, 1981 memorandum to Commissioner.
Ahearne) who suggested that appropriate rule-changes in other parts of 10 CFR be made.
Commissioner Ahearne and Chairman Hendrie would do this as part of the five year i
regulatory review process.
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Chairman Hendrie Commissioner Gilinsky Commissioner Bradford Commissioner Ahearne Commission Staff Offices l
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A. Bates (SECY) 41410 8112040172 810902' PDR FOIA COTTING81-303 PDR g
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UNITED STATES NUCLEAR REGUMTORY COMMISSION k,
WASHINGTON, D. C. 20555 E.-
CONSENT CALENDAR ITEM k
knuary 15. 1080 SECY-80-25 For:
The Commissioners Fecm:
Robert 3. Minogue, Director, Office of 5tancards Develo;:meryt Executive Director for Operationsp r)-
Thru:
Subject:
PROPOSED AMENDMENT TO 10 CFR Part 19 TO ESTABLISH NRC STAFF AUTHORITY TO CALL MEETINGS WITH LICENSEES Purcose:
To obtain Commission approval to publish the pro' posed amendment for public comment.
Category:
This paper covers a minor policy question:
Discussion:
The I&E Manual of Procedures specifies that "At the conclusion of each inspection, an exit interview shall be conducted with the cost senior licensee representative at the location of the inspection...".The purpose of an exit interview following an inspection is for the NRC inspector and the licensee to discuss tentative findings of the inspec-tion; issues are sometimes resolved via this informal discussion.
There is no reference in the regulations or in any regulatory guide to the exit interview, and it is indicated as a requirement only in the IE Manual.
The exit interview is considered necessary for an orderly and complete inspection by the IE staff and is followed by formal letters t., the licensees advising them of' the final and official find-ings of the inspection to which they must respond..
Under Part 19, licencees 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 no options (under the 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 licens.
IE is convinced that allowing both the licensee and the NRC inspector to invite persons with legitimate interests to meetings during or after an inspection will increase the value of the exit interview.
We are therefore proposing trie following addition to 10 CFR Part 19:
$ 19.14(h) At the request of the NRC inspector, an informal conference with a representative of licensee management shall be held at any time during an inspection to discuss tentative inspec-tion findings, complaints of individuals involved in the licensed
Contact:
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activities concerning radiological working conditions, safety, safeguards and environmental impacts and resolution of matters pertaining to inspection findings.
The NRC inspector and the licensee shall each have the option of inviting, as either deter-mines appropriate, individuals with legitimate interests in matters pertaining to the inspection.
(Action taken under this subparagraph snall not affect the option of confidentiality afforded any individual who provides information to the NRC, to the extent authorized by law.)
The amendment will have little or no manpower or dollar costs to the NRC, and insignificant, if any, manpower or dollar costs to licensees.
Recommendation:
That the Commission:
(1) Acorove publication of the amendment for comment (Enclosure A).
(2) Note:
(a) That the amendment will be published in the FEDERAL REGISTER for a 45-day comment period (Enclosure A).
(b) That in accordance with 10 CFR 51.5(d)(3), neither an environ-mental impact statement nor a negative declaration need be prepared in connection with the rulemaking action because the environmental impact of. the proposed rule will be nonsub-stantive and insignificant.
(c) That the Subcommittee on Energy and the Environment of the House Committee on Interior and Insular Affairs, the Subcom-mittee on Nuclear Regulation of the Senate Committee on Environment and Public Works, the Subcommittee on Energy and Power of the House Committee on Interstate and Foreign Com-merce, and the Subcommittee on Environment, Energy and Natural Resources of the House Committee on Government Operation will be notified by letter such as Enclosure B.
(d) A public announcement will not be issued; however, we will mail a copy of the FEDERAL REGISTER notice to all licensees and other interested parties.
Coordination:
The Offices of Inspection and Enforcement, Nuclear Reactor Regulation, Nuclear Material Safety and Safeguards, State Programs, Nuclear Regu-latory Research, Management and Program Analysis and the Division of Rules and Records concur in the recommendation of this paper.
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Executive Legal Director has no legal objections.
The Office of Public Affairs has determined that a public announcement is not necessary.
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Robert B. Minogue, Director Office of Standards Development
Enclosures:
"A" - FEDERAL REGISTER Notice of Proposed Rulemaking "B" - Draft Committee Letter "C" - Value/ Impact Statement Commissioners' commets or consent should be provided directly to the Office of the Secretary by c.o.b. Thursday, January 31, 1980.
Commission Staff Office comments, if any, should be submitted to the Commissioners NLT January 24, 1980, with an information copy to the Office of the Secretary.
If the paper is of such a nature that it requires additicnal time for analytical review and comment, the Commissioners and the Secretariat should be apprised of when comments may be expected.
This paper is tentatively scheduled for affirmation at an Open Meeting during the Week of February ll,1980.
Please refe'r to the appropriate Weekly Commission Schedule,when published, for a specific date and time.
DISTRIBUTION Commissioners Commission Staff Offices Exec Dir for Operations Regional Offices ACRS ASLBP ASLAP S:cretariat e
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[7590-01]
Y7 NUCLEAR REGULATORY COMMISSION
[10 CFR Part 19]
NOTICE OF PROPOSED RULEMAKING INFORMAL CONFERENCE DURING INSPECTION AGENCY:
U.S. Nuclear Regulatory Commission ACTION:
Proposed Rule
SUMMARY
The Nuclear Regulatory Commission (NRC) is proposing an amendment to its regulations which is intended to facilitate the exchange of infor-mation during and af ter inspections of licensed facilities and to expedite the resolution of inspection findings.
The snendment under consideration would establish a procedure for holding informal conferences at any time during or after an inspection to which both the NRC inspector and licensee could invite, as either determines appropriate, individuals with legitimate
' interests in matters pertaining to the inspection.
DATES:
Comments period expires
, 1979.*
ADDRESSES:
Interested persons are invited to submit written comments to the Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, Attention:
Docketing and Service Branch.
FOR FURTHER INFORMATION CONTACT:
Mr. Robert E. Alexander, Office of Standards Development, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 (Phone 301-443-5975).
AA date will be inserted allowing 45 days for public comment.
1 Enclosure "A"
[7590-01]
6 s
SUPPLEMENTARY INFORMATION:
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 estab-lished by the Office of Inspection and Enforcement of the NRC include entrance and exit meetings with licensee 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 requirements.
The intent of this proposed rulemaking is twofold:
first, to codify in the regulations the current practice of holding meetings with licensee representatives during NRC inspections and second, to allow NRC inspectors to invite to these meetings individuals with' specific and legitimate interest in the inspection.
Under 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 i
other hand, has essentially no option (under the rule) concerning who i
I should attend such meetings.
The proposed rule change would give NRC the prerogative of having present individuals that have a specific and legitimate interest in attending the meeting; for example, 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 the NRC according to SS 19.15 or 19.16 of the regulations.
2 Enclosure "A"
[7590-01]
It should be clear that it is not the intent to recuire the attend-ance of any individuals at these informal meetings, nor is it intended to open these meetings to the general public.
Full disclosure of the offi-cial inspection findings and the licensee's position is expressed in enforcement correspondence, which becomes 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 proposed correction of the management control procedures which permitted a violation to occur.
In the case of significar.t health and safety deficiencies, NRC inspectors expect the licensee to make a commit-ment to expediting corrective actions in the interest of health and safety with'out waiting for an enforcement letter.
Licens~ees might be reluctant to discuss such matters in the presence of worker representatives.
In addition, information concerning proprietary matters might be relavant to discussions of inspection findings, and licensees would not choose to discuss these matters in an open meeting.
These problems should be obviated by the fact that the NRC inspector and the licensee would have the prerogative of inviting only persons with legitimate, specific interests.
Pursuant to the Atomic' Energy Act of 1954, as amended, the Energy Reorgani-zation Act of 1974, as caended, and section 553 of title 5 of the United States Code, notice is hereby given that the adoption of the following
]
amendment to 10 CFR Part 19 is contemplated:
3 Enclosure "A"
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(7590-01]
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5 19.14(h) At the request of the NRC inspector, an informal conference with a representative of licensee 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 conditior;r, safety, safeguards and environmental impacts and resolution of matters pertain.ing to inspection findings.
The NRC inspector and the licensee shall each have the option of inviting, as either deter-mines 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.)
(Secs. 81, 161, Pub. Law 83-703, 68 Stat. 935, 948 (42 U.S.C. 2111, 2201); Sec. 201, Pub. Law 93-438, 88 Stat. 1242 (42 U.S.C. 5841))
Dated at this day of 198_.
For the Nuclear Regulatory Commission.
Samuel J. Chilk Secretary of the Commission 4
Enclosure "A"
g DRAFT CONGRESSIONAL COMMITTEE LETTER Enclosed for your information are copies of a Notice of Procosed Rulemaking to be publisted in the FEDERAL REGISTER.
The proposed amendment to Title 10, Code of Federal Regulations, Part 19,
" Notices, Instructions and Reports to Workers; Inspections," would add para-graph 19.14(h) which would establish an optional procedure for holding informal conferences at any time during an inspection to which both the NRC inspector and the licensee could invite, as either determines appropriate, individuals with legitimate interests in matters pertaining to the inspection.
The proposed rulemaking responds to a request from several unions interested in being involved in inspections related to radiological conditions in the work-ing environments.
In addition, the Office of Inspection and Enforcement of the NRC feels that having the option to invite individual complainants and in some cases expert consultants to meetings with licensee representatives would increase the effectiveness of inspection conferences.
The IE staff feels these informal conferences have cons-:467able value in terms of clarifying inspection objectives and procedures, and discussing inspection findings including the resolution of possible items of noncompliance with regulatory requirements.
The Notice of Proposed Rulemaking is being transmitted to the Office of the Federal Register, and 45 days for public comment will be allowed after publica-tion in the FEDERAL REGISTER.
'l Enclosure "B"
(
In view of the routine nature of the proposed amendment, a public announcement is not warranted.
Sincerely, i
Robert B. Minogue, Director Offi<:e of Standards Development
Enclosures:
As stated 2
Enclosure "B"
- 5...
PRELIMINARY VALUE/ IMPACT ASSESSMENT FOR PROPOSED RULEMAKING INFORMAL CONFERENCE DURING INSPECTION 1.
The Procosed Action A.
Descriotion The Office of Inspection and Enforcement has requested the Office of Standards Development to prepare a new regulation which would authorize NRC inspection st,aff 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 consultants and other parties with legitimate interests in the licensed activities.
The following addition to 10 CFR Part 19 is proposed:
919.14(h) At the request of the NRC inspector an informal con-ference with a representative of licensee 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, safety, safeguards and environmental impacts conditions and resolution of matters pertaining to inspection findings.
The NRC inspector and the licensee shall each have the option of inviting, as either determines appropriate, individuals with
!egitimate 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.)
)
1 Enclosure "C"
e ey;. -
B.
Need for the Prooosed Action Paragraph 19.14(a) of 10 CFR 19 states that "each licensee shall afford to the Commission at all reasonable times opportunity to
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inspect materials, activities, facilities, premises, and records pursuant to the regulations in this chapter".
Procecures estab-lished by the Office of Inspection and Enforcement of the NRC include entrance and exit meetings with licensee representativer 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 the regulations a reference to the current practice of holding meetings with licensee representatives during NRC inspections.and second, to allow NRC inspectors to invite individuals with specific and legitimate interest in the inspection.
Under Part 19, licensees and workers have the prerogative of choosing representatives, includ-ing their own employees and consultants, to attend inspection meet-ings with the NRC inspectors.
The NRC, on the other hand, has essentially no option (under the rule) concerning who should attend such meetings.. The proposed rule change for example would give NRC the prerogative of having present individuals who have specific and legitimate interest in attending the meeting; for example, 2
Enclosure "C"
3
, :n 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
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has been brought to the attention cf NRC according to 99 19.15 or 19.16 of the regulations.
l 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 correspondence, which becomes a matter of public record.
The proposed rule however, will provide an additional degree of open-ness 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 proposed correction of the management control proce-dures which permitted a violation to occur.
In the case of signifi-cant health and safety deficiencies, NRC inspectors expect the licensee to make a commitment to expediting 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 con-cerning proprietary matters might be relevant to discussions of inspection findings, and licensees would not choose to discuss these 3
Enclosure "C"
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matters in an open meeting.
These problems should be obviated by the fact that the NRC inspector and the licensee have the preroga-tive of inviting only persons with legitimate specific interests.
Office of Inspection and Enforcement personnel have indicated nat on several occasions licensees have rejected requests for the attend-ance of workers or representative of workers with legitimate inter-ests. These incidents have resulted in greater difficulty in resolving health and safety considerations.
C.
Value/Imoact of the Proposed Action 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 consultants could be present to provide specialized expertise in resolving inspection matters.
Wirkers with legitimate concerns about radiological working condi-tions could participate in the resolution of these concerns.
In general this regulatory authority would enhance the effective-ness of the IE field inspection staff, and the staff believes health and safety requirements could be better enforced.
2.
Other Government Agencies Not applicable unless the government agency is a licensee.
4 Enclosure "C"
Q.ji2
's-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 meetings scheduled and that the large major-ity of inspections would entail only the current practice of entry and exit interviews.
Discussion 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 resolution of inspection findings and a better informed work force.
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 oppor-tunity to participate in their resolution.
5.
Public No impact on the public can be seen.
D.
Decision on the Proposed Action The Commission should issue for comment the proposed rule establish-ing IE authorization to schedule meetings with licensee representa-tives during inspection.
5 Enclosure "C"
II.
Technical Acpracch This section is not applicable to this value/ impact statement since no tecnnical matters are addressed in the proposed action.
III. Precadural Accroach.
There are some alternatives to the proposed action which should be identified.
A.
No Action Do not change the regulations, thereby leaving the inspection exit interview as a courtesy to the licensee.
The impact of taking no action would be that a licensee could decline to meet with an inspec-tor thus delaying possible resolution of inspection findings. Also no action would continue the present situation wherein only the licensee and worker group are authorized to have designated repre-sentatives present during inspections (see 6 19.14(b), (c) and (f)).
B.
Change 10 CFR Part 19.14 69 19.14 (b), (c) and (f) could be changed to establish the preroga-tive of NRC to have present during inspection meeting those persons designated by NRC as advising and assisting the inspection staff.
This change would not establish mandatory inspection meetings but would have tha value to NRC of allowing their advisors present during inspection meetings which do occur.
6 Enclosure "C"
(p IV.
Statutory Considerations A.
NRC Regulatory Authority Section 19.14 (a) of 10 CFR Part 19 establishes a legal requirement that each licensee shall afford to tne Commission at all reasonable times opportunity to inspect materials, activities, facilities, premises and records pursant to the regulations.
The NRC is author-ized to provide criteria for acceptable access and procedures for conducting inspections.
B.
Need for NEPA Statement The action proposed here is not considered to constitute a major addi-tion or change and would entail no effect on the environment.
The staff does not believe that an environmental impact statement is necessary.
V.
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.
VI.
Summary and Conclusions The proposed regulation on scheduling meetings during inspections and authorizing NRC to have appropriate individuals present should be issued for comment.
i 1
7 Enclosure "C" l