ML20041E560

Annual Report on Administration of Government in the Sunshine Act 1976

ML20041E560
Person / Time
Issue date:	04/14/1978
From:	Chilk S NRC OFFICE OF THE SECRETARY (SECY)
To:
References
NUREG-0446, NUREG-446, NUDOCS 8203110082
Download: ML20041E560 (35)

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ANNUAL REPORT ON

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ADMINISTRATION OF GOVERNMENT N

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UNITED STATES

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NUCLEAR REGULATORY CCMMISSION

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NUCLEAR REGULATORY COMMISSION d,#I et ate UNITED STATES g

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MEMORANDUM FOR:

Chairnin Hendrie

,y l Corr.issioner Gilinsky Comissioner Kennedy y

Comissioner Bradford A

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SL8 JECT:

FIRST A*tNUAL REPORT ON ADMINISTRATION OF THE e

GOVER.T4ENT IN THE SUNSHINE ACT OF 1976 Wu I

/l2d Enclosed herewith is the fir:t Annual Report on Administration g

of the Governner.t in the Sunshir.e Act prepared by the Office MZ 3

of the Secretary pursuant to Subsection (j) of the Government If""U in the,i nshine Act (5 U.S.C. 5 552b, P.L.94-409), and Section e

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10 CFR 9.109 of the NRC regulaticns implemnting the Sunshine Ac t-WM3 r.;3H Y+'

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Samuel J. Cl ilk

.C D Secretary of thej Comission m

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Enclosure:

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I FIRST ANNUAL REPORT ON ADMINISTRATION OF THE GOVERNMENT IN THE SUNSHINE ACT OF 1976 I

- l Introduction

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The Nuclear Regulatory Commission (NRC) herewith submits the First Ar.nual Report as required by Section 3 (j) of the Government in the Sunshine Act (S U.S.C. I 552b P.L.94-409). This annual report sum-marizes NRC's administration of the requirements of the Act. It contains a tabulation of the total number of open and closed rteetings of the l

Comission, the reason for closing meetings, litigation infomation, and other information relating to this agency's procedures for public noti-w fication and understanding of the Comission's meeting activities.

..NRC's Statutory Meeting Recuirement The Nuclear Regulatory Comission is a five-member, independent regulatory commission established by the Energy Reorganuation Act of f

1974 (P.L.93-403). It is responsible for assuring the protection of I

the public health and safety through the licensing and regulation of the uses of nuclear materials. The Commission is required by the Energy

.l Reorganization Act to take action only through meetings. Section 201 (a)(!) of the Act, 42 U.S.C. 5841(a)(1), states that " action of the g

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Commission shall be taken by a majority vote of members present."

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[gl h In keeping with its significant end substantial public health and N

safety responsibilities, this Commission has emphasized t,he participation of each Ccmmissioner in its decision-making activities. Comission I

1 meetings are therefore generally scheduled at times when all Commissioners

.t can be present so that each may participate in and contribute to the L.

deliberations.

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n Use of Notation Voting V"O gy The Comission has interpreted the " presence" provision of the M

Energy Reorganization Act to mean that actions requiring formal votes of

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the Commissioners must be handled in meetings. Therefore, the Commission isah uses notation voting only as a mechanism to identify those matters which d$.d

%;y may be scheduled for approval at a meeting without the need for furthea wm 4%j g

delibera tion. These matters generally involve relatively minor regulatory d

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g or adjudicatory activities which represent only a minor extension, h.

modification, or elaboraticn of existing policy and do not set new ay precedent or constitute a major departure from existing policy.

y: :u h.t kr i}9 Under this procedure, individual Commissioners inform the Secretary

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yg of their readiness to approve a matter without further staff briefings aQ or deliberations. When the Secretary has received written notification W

jj of the Comissioners' wishes, he schedules a Conmission meeting at whica the Comissioners may formally register their votes. At these meetings, g

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which are announced in accordance with Sunshine Act procedures, the staff paper a

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kO 9 or subject is briefly described, the staff recomendations are recited, d

tre comments of individual Comissioners are discussed, and a femal 4

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g vote is taken ind recorded by the Secretary < The Secretary's record of h

these votes is placed in the NRC's Public Document Room.

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This procedure has omven awkward and difficult to administer for reasons not associated with the Sunshine Act and the Comission is now

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considering whether to propose an amendment to Section 201(a)(1) of the Energy Reorganization Act to modiry the absolute physical presence requirement for matters now requiring fomal meeting affinnation. The q

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difficulties, which arise primarily in the scheduling process, include the finding of sufficient time to affirm the actior. previously agreed upon, the assurance of the availability of a quorum of Comissioners at n

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the appropriate time, and the lack of sufficient time to give ample s

public notice. As a result, there are occasions on which items that f

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-i have received the " approval" of all individual Comissioners, may experience

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Comission affimation and staff implementation. Such delays have p

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g severe impact, of course, on matters upon which timing is critical.

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For matters which do not involve fomal rulemaking, adjudication or 9

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licensing activity, the Comission also employs procedures under which S

r, individual Comissioners comment on and approve staff actions in writing 7

g to the Secretary. These procedJres are used primarily for the approval h

of outgoing Comission irrespondence and for noting actions being taken E@

o or about to be taken under delegations of authority to the staff.

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-4 kN OM Meetings Defined by Sunshine Act kSs4E

.w g hh With enactment of the Government in the Sunshine Act and in com-cen Uf pliance with its provisions, NRC has adopted regulations clearly defining Ish

[n ceetings of the Comission which are subject to the announcement and u$m'I

'e record keeping requirements of the Sunshine Act. In sumary, a meeting y

hh is defined as the deliberation of at least a quorum of Comissioners where such deliberation determines or results in the joint conduct or r-y disposition of official Comission business. Gatherings of a social or ceremonial nature and certain infomational discussions which are conducted

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4y without specific reference to any particult.r matter pending before the kj Comission are considered exempt from the provisions of the Sunshine d.e Act.

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A complete definition of the tem " meeting" is contained in section f,g 9.101 of NRC's Sunshine regulations which are appended to this report

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(Appendix D).

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]4,j For purposes of tabulating meetings in this report, each separate item

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scheduled for discussion or briefing is counted as a meeting. Addi tionally,

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each session at which one or more matters were scheduled for affimation under

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f8 the limited notation voting procedure described above is counted as i-72 i,tij a meeting.

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Analysis of Meetinas Held During Reporting Period O

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,O The Nuclear Regulatory Comission held 326 meetings announced under g].

provisions of the Sunsi.ine Act, during the period March 12, 1977 through O""'""'"**"''"'"""'"*^"'"-

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I O I Of the 326 meetings,162 (56%) were conducted open to the public; 143 (44%) were conducted it; closed session; one meeting was conducted as a partially open - partially closed meeting.

I The tabulation also indicates that the percentage of open meetings has increased from less than 50% during the first three months to over 70% foi the final three months.

I All closed or partially closed meetings were approved by vote of the Comission to be closed under one or more of the exemptions authorized by 2bsection (c) of the Sunshine Act. In addition, the General Counsel certified that each meeting was closeable under the specified exemptioris.

Appendix B contains a tabulation showing the number of instances in which each of the exemptions were used for closir.g meetings. The tabulation indicates that 70 percent of the meetings (99) were closed because they

ontained discussions invniving personal privacy (Exemption 6), classified h

information (Exemption 1) or matters under agency adjudication (Exemption 10). An additional 26 meetings which contained discussions regarding proposed legislation and formulation of budget proposals to be submitted to the Office of &nagement and Budget and eventually to Congress were closed under Exemption 9.

It is the belief of the Connission that the premature release of these matters might preempt their actions as well as chose of t'e Executive Branch and the Congress.

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be Ccnsideration of Public Interest in Detemining Open/ Closed Status ay Na The Comission, in adopting its Sunshine Regulations, explained how p$

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discretion to oper. mt:etings when an exemptfor, is available:

i Section 9.104(a) of the rules, 'ike the proposals of several t

other agencies, gives presumptive b.yt not conclusive force to g5 the determination that an exemption is available in deciding UU the public interest question. The fact that a meeting does N

R come within a specific provision of 19.104(a) indicates that 5

the Congress recognized a public interest in closing, not opening, meetings of this character. The Comission staff has been instructed to consider the public interest in recomend-U.,fp ing to the Comission whether or not to close particular htf meetings. The Comissian believes that this internal procedure M

and the awareness of *.ne Comissioners themselves and their iMJ advisors of public interest concerns will ensure adequate consideration of the public interest before any decision to

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close a meeting is made, without need for a formal procedure yg of the type proposed.

l3 42 Fed. Reg. 12876 (March 7, 1977) fem

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' its rules, the Comission calls upon the D

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staff to consider the public interest factors in any recomendations to

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i the Commission fer closed meeting discussior.s. The Commissioners review staff's recomendations for closed meetings, consider the advice of the

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General Counsel as to whether the ite:n is properly closeable, and discuss

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g anong themselves the necessity for precluding public attendance, including iq9 the interest of the public in the subject matter. Implicit in this d

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procedure is that a vote to close represents the Comission's detemination a

that the public interest does act require an open meeting.

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9 Process for Public Notification of Meetings Comission regulations provide that each meeting is publicly announced by the following methods:

Forwarding to the Federal Register for publication an announce-a.

ment of the time, date and location of the meeting, the topic (s) t3 be discussed, whether it is open or closed, and the rame I

and phone number of a contact.

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Publicly posting in the NRC Public Document Room,1717 H St.,

N.W., Washington, D.C. 20555, a copy of the announcement at the time it is sent to the Federal Register.

Mailing a copy of the announcemens to those persons on a c.

esiling list (currently 48 names and addresses) at the time it is sent to the Fedeal, Register, d.

Submittal of a copy of the Federal Register Notice to the news media (AP, UPI, Energy Daily, nucleonics Week, the Washington Post, Washington Star, and Huclear Industry Magazine) at the time it is sent to the Federal Register.

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Appendix C contains a tabulation of the number of days notice for NRC meetings. In su rary, more than two-thirds of all meetings (three-fourths of the open meetings) were announced with seven or more days notice. The remaining meetings (43 open and 61 closed) were held with a,

Oi less than seven days notice.

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reWET 5 e p Meetings held with less than seven days notice have generally been scheduled on short notice for the following reasons:

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for consideration of subjects which by nature require immediate b;N; I@>

discussion and pro.npt action by the Conraission, such as emergency b

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consideration of problems concerning operating reactors, 55 pa short-notice scheduling of C3ngressional hearings at which OA$

Commission testimony is requested, and items which have expiration

't dates not under control by the Comission (about 70%);

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for administrative reasons, such as the scheduling of a continus. tion

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meeting because of the need for extended discussion of the LT a

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item (s), or the rescheduling of meetings previously announced 7dl with cue public notice to accorrnodate discussions of more

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(about 30%).

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The Ccemission takes quite seriously the need to assure that short-

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notice meetings are held to a minimum. In all cases the urgent nature g

d of the need for the meeting is considered by all Commissioners, and in 4 3 l{

the instances sumarized above, all were scheduled with the unanimous agreement of the Commissioners. In fr. stances where the Commission Q

approves the short-notice scheduling of a public meeting, staff make'.

+1d special cfforts to release as rapidly as possible the mailed announcements,

9 to nott fy press representatives of the meeting, and to telephone any

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parties who have a specific interest in the matter to be discussed.

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Procedure for Public Request to Change Status of Closed Meetings i

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I The Con::ission's rules describe the procedure to be followed by a 6

hV person who wishes to request a change in the status of a closed meeting.

10 CFR 9.106(b) and (c) provide that "any person" may ask the Comission to reconsider its decision to close a meeting by filing a petition for reconsideration within seven days after the date of the decision to close and before the meeting in question is held.

Any such petition must specifically state the grounds on whicn the petitioner believes the I

Comission decision is erroneous, and the public interest in opening the meeting.

Filing such a petition does not automatically act to stay the s

effectiveness of the Comnission decision or to postpone the meeting in question.

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en Tht. Comission has received no requests for a change in the status

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w1 Steps Taken to Assist Public Understanding of Ocen Meeting Deliberations

'=i The Comission has taken a number of significant steps to facilitate public understanding of open meeting deliberations.

.;&M Specifically:

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room expanding the seating capacity for the viewing 7

audience from a maximum of 60 to 154. A second, smaller l

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g capacity in the main meeting rocci. Both rooms are provided d

3 fg with multiple overhead spakers and with a closed circuit kh television system to ensure that every person desiring to s

$q atter d a meeting can see and hear as well as any other M

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Copies of any vu-graphs to be used in the course of meetings 6dy are made available to meeting attendees at the entrance to the f

Conference Room prior to the ccer::ence=ent of the meeting.

Oy The Commission has recently initiated a procedure for providing c.

n[ij copies of the principal unclassified staff paper scheduled to M

i3 be considered at the meeting to public attendaes in the Conference

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Room. These papers are also placed in the Public Document

?S Room at the conclusion of the meeting.

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The Commission has amended its regulations implementing the

,y Sunshine Act to permit public attendees to tape record Comission discussion 5, of open meeting items.

R fj On December 2.1977, the Comission initiated a policy of e.

d transcribing all open Comission meetings. These are unofficial H

transcripts which are not edited by the Comissioners or by the staff and are placed in the Comission's Ptblic Document 2 :j Room within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> of the conclusion of the steeting.

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The Comission currently is developing a pamphlet entitled

" Guide to NRC Open Meetings". Tha guide will dascribe for pubite attendees the normal seating irrangement for participants at the conference table, the general functional responsibilities of these participants, Commission procederes for voting en agenda items, general rules for public conduct at Comission meetings, and sources of additional information on the Comission and its meetings. Copies of the guide, when published, will be available in the Comissioners' Conference Room and in the Public Document i

Room.

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The Office of the Secretary is preparing for placement in

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the NRC Pt._.c Document Room a list of abbreviations and D

acronyms in an effort to further help the public in A

understanding the many technical terms discussed in 5?

Comission papers.

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Use of Cameras and Recordino Devices Z

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gi' In conjunction with its decision to ;rovide transcripts of its open

(-h;c meetings to the Public Document Room, the Cottraissien altered its existing u,. _

11 rule requir'.g advance approval by the Secretary of the use of electronic

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[j recording devices. At that time, the Commission determine. that the ur,e

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meetings would not hinder the conduct of business and might be an addf *fonal

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step to increasing public understanding of the Comission's actions, L%

Ig,M but that the use of larger electronic recording equipment ant.

g'dM l wculd continue to require the advance written approval of the Secretary sq cameras j

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[ig" of the Comission.

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..N In a separate but related action, the Commission has approved on

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a trial basis the use of cameras, including television coverage, at usp; g;dh7 open licensing proceedings conducted by f(RC's Licensing and Appeal mL Boards. Experience gained during this trial per*od may be applicable Q

in evaluating and determining future policy regarding open Comission

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,TA Procedure for Releasing Records of Closed Meetings v>Gp;'y w%

The Comission's policy on release of transcripts, recordings, and

,w 2.bj minutes of closed meetings varies according to the type of neeting held (EO?%

gjd and the methad used to record them, as na:ed below:

', Jf[f Closed Meetings Recceded by Transcript 3.

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For most of the Comission's closed meetings (except certain J

meetings closed pursuant to Exemptions 1, 6, and 10 of the Act), a transcript and a backup tape recording are rude. The T4:

transcript, or portions thereof, are rade available to the

'W pubite unless a determination has been made to withhold the

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-13 The procedure for detemining which transcripts, or portions of transcripts, should be publicly disclosed includes three levels of review:

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1) by the office presenting the briefing or discussion for a detemination of classification and sensitivity of subject matter; 2) by the Office of the Gene al Counsel for review of classification, sensitivity, compliance with Sunshine Act requirements and advising the Commission on ultimate disposition of the transcript; 3) by the Commission for a final detemination regarding public disclosure. For the information of the public, a statemant is filed in the Public Document Room identifying the portions being withheld and the reason for withholding. To date the Comission has released 16 transcripts in whole or in part; has withheld six in their D

entirety; has 27 currently in review; and has agreed to release h

27 additional transcripts after appropriate Legislative / Executive b~

I Branch actions have been completed.

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Closed Meetings Recorded by Tape Only

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The Comission on occasion conducts meetings on subjects so sensitive that the presence of the staff and a court reporter

[7 has been deemed to be inappropriate. These meetings generally u

involve the exchar.ge of highly classified infomation with (I

..u representatives of other agencies not subject to the Government in the Sunshine Act, or highly sensitive discussions of the

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Comissioners on persennel/ organizational matters. The latter h

discussions involve such matters as the filling of key organizational 4

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organizational and managemer.t alignments. Meetings of this l'

type are recorded for Sunshine Act purposes by magnetic tape only. The Commissioners detemine immediately at the conclusion of the meeting whether any portion of the tape should be 1

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released. To date, the tapes of the 17 meetings in this category have been withheld. Withheld tapes involving highly classitted infonnation are stored in a secure vault maintained

1 by the Division of Security; those involving personnel / organizational f

matters are retained in t5e personal possession of the Chairman.

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Closed Meetings Recorded by Long Form Minutes

,4 Meetings closed to public attendance pursuant to Exemption 10 (i

j havc been recorded in minutes, as authorized by the Act. To

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date, 58 minutes have been written. The minutes are prepared f._

by the Office of the Secretary and reviewed by the Office of I,

the General Counsel and by the Commissioners as a matter of t

l policy; they are not released to the public in vied of the

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j adjudicative character of these meetinqs.

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Litigation Broucht Against the Commission Under 5 U.S.C. I 552b t

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section durir.g the reporting period, h'

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@ Additional Infomation This report was prepared in the Office of the Secretary, Nuclear Regulatory Comission. Coments or inquiries on this report or related matters are invited and should be addressed to:

Office of the Secretary Nuclear Regulatory Comission 1717 H Street N.W.

I Washington, D.C.

20555 Telephone inquiries can be made to the Office of the Secretary on (202) 634-1469.

Appendices A.

Tabulation of Open and Cicsed Meetings by Month M

B.

Tabulation of Closed Meetings by

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[,j Exemption Cited US C.

Tabulation of Meetings by 'ays Notice (i

D.

NRC Regulations as Ameaded.mplementing k.

the Sunshine Act (42 FR 12875, March 7,1977) y l

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TAB'JLATION OF OPEN AND Cl0 SED MEETINGS BY MONTH u::

T5 MEETINGS OPEN CLOSED OPEfi/ CLOSED *

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April 34 22 12 0

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May 16 9

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June 49 24 (49%)

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August 23 11 12 0

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22 (57%)

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4 January 1978 28 19 9

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• Indicates meeting (s) held partially open and partially closed.

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APPENDIX A a

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I TABULATIO:1 0F CLOSED MEETIllGS BY EXEMPTI0fl CITED o

1V EXEMPTION (S)

REASON TOTALS 7

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Classified Information 15

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Personnel Rules 0

3 Other Statutory Exemptions 0

4 Trade Secrets 2

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5 Accusation of a Crime 0

6 Personal Information 14 7

I Investigatory Report:

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Financial Regulation 0

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9 Significant frustration of 41 proposed action 10 Civil Action 39 1, 4, 10 1

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.'.M-(fl0TE: 99 of the 144 meetings (70-) were N

closed under Exemptions 1, 6 or j44 10 or combinations thereof)

.M (Includesl'open/ closed) fff i

$8 APPENDIX B

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d 1 I I

TABULATION OF PEETIfiGS BY CAYS fl0TICE d

E DAYS h

3 f40TICE OPEfi AfiD CLOSED OPEli CLOSED.

TOTAL 4 l 13 1

1 a

12 1

3 4

11 3*

10 4

4 8

10 5

15 9

q e

]

8 30 18 48 I

7 1

93 51 145 SUBTOTAL 1

138 82 221

/ l 6

0 5

9 14 i

5 0

6 5

11 4

0 6

3 9

a

j 3

0 1

2 3

2 0

9 9

18 s

1 0

9 9

18 1

Less than one 8

24 32 SUBTOTAL 0

44 61 105 g

TOTAL 1

182 143 326 I

a 3

l APPEf! DIX C

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NUCLEAR REGULATORY COMMISSION REGULATIONS AS AMENDED IMPLEMENTING THE SUNSHINE ACT (42 FR 12875, MARCH 7, 1977) i In accordance with section 161 of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.S.C. 552b(g) and 553, 10 CFR Parts 2 and 9 are amended as follows:

1.

A new Subpart C is added to 10 CFR Part 9 to read as follows.

Sec.

I 9.100 Scope of subpart_

9.101 Definitions 9.102 General requirement 9.103 General provisions 9.104 Closed meetina_s w.exe bib /A 9.105 Cnemission procedures 9.106 Persons affected and motions for reconsideration NTT yy*

7 9.107 Public announcement of commission meetings We@2 i

9.108 Certification, transcrirts, recordinos and minutes

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^

pgtg 9.109 Report to Congress

.,,s.a p%W Subpart C - Government in the Sunshine Act Regulations$$$g 21 g DBEi.1 Sec. 9.100 Secpe of Subpart t4 E*.Tl ]G] This subpart prescribes procedures pursuant yMG;l -.m.e to which NRC meetings shall be open to public observation r;c$;.g t'# zwi9h.; pursuant to the provisions of 5 U.S.C. Sec. 552b. This .} ~ subpart does not affect the procedures pursuant to which > dis %Q;t

c. :

l -1 (Updated 3/28/78) ~Q N. ,,,o APPENDIX D Wpr

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I j NRC records are made available to the public for inspection and copying which remain governed b'/ subpa:t A, except that t;)e exenptions set forth in section 9.104(a) shall govern in the case of any request made pursuant to section 9.8 to copy or inspect the transcripts, recordings or minutes ~ described in section 9.108. Access to documents considered h at NRC meetings shall continue to be governed by subpart A. I 9.101 Definitions . I Sec. As used in this subpart: b. (a) " Commission"means -the collegial body of 4 y d tibe#Commissio..ers or a quorum thercol as provided by c f j section 201 of the Energy Reorganisation Act of 1974, or r 5 g any subdivision of that collegial body authori::ed to act h 3 [ j on its behalf, and shall not mean any body not composed of L j members of that collegial body. 1 (b) " Commissioner" means an individual who it h i ,] is a member of the Commission. pj M (c) " Meeting" means the deliberstions of at 3 least a quorum of Commissioners where such deliberations l@ b n N determine or result in the joint conduct or disposition of W E 6 official Commission business, but co-'..o t include delibera-h R e 43 tions required or permitted by sections 9.105, 9.106, or /g Jy .3 9.1C3(c), gatnerings of a social or ceremonial nature, or ,]J n O 2 H APPENDIX D C3 n W $m [Tl_@f5_t f $ O'h W Qjb yR 8q n;Frgf? g g.jyyy g m. m yf_,___ r;g77cp w g }

ggggm m5 u u maz.;m==er.um:whMECMWiM5MF1%2Wd%df;. s.i,- $I briefings of the Commission by representative, f of other agencies or departments of the United States governeent, I 6 representatives of foreign goverrments or or internationel i bodies where such briefings or discussions are informational in nature and are not conducted with specific reference to l' i I any particular matter then pending before the Commisson. (d) " Closed meeting" means a meeting of the Com:aission closed to public observation as provided by l T subscetion 9.104. v. s (c) "Open meeting" means meeting of the l a Commission open to public observation pursuant to this { subpart. A,_ 7 (f) " Secretary" means the Secretary to the V'?I w. Com;aission. MM (g) " General Counsel" means the General Counsel mn y., of the Commission as provided by section 25(b) of the Atomic 1., rn. Energy Act of 1954 and section 201(f) of the Energy Reorgani::a-5'MM m.eem tion Act of 1974, and, until such time as the offices of that i.wm^ ' " { of Geer are in the same location as those of the Commission, l );b; gM any member of his office specially designated in writing by idb him pursuant MREME I to this subsection to carry out his responsi- ]g bilities under this subpart. ,.mz 99)Mh .: n c ;;s %54W .sn :w)r> Sec. 9.102 General reouirement ,5M5 '2;3df.

• d.:r'ila Comnissioners shall not jointly conduct or

(,$;p 4.r.* *Q'? y a dispose of Com.aission business in Commission meetings other -;;;g#{,y APPENDIX D 4fNQ .x C:. G. g A

I O than in accordance with this subpart. Except as provided l in section 9.104, every portion of every meeting of the Connission shall be open to public observation. i Sec. 9.103 General provisions The Secretary shall ensure that all open Conmission neetings are held in a location such that there is reasonabie space, and adequate visibility and acoustics, for public observation. No additional right to participate in Commission meetings is granted to any person by this sub-pirt. An open meeting is not part of :he formal or informal record of decision of the matters discussed therein except as otherwise required by law. Statements of views or expressions of opinion made by Commissioners or NRC employees at open meetings are not intended to represent final determinations or beliefs. No pleading or other paper may be filed with the Commission in any proceeding as the result of or addressed to any oral argument or discussion of any matter during an open meeting except as the L~ Commission shall direct. Members of the public attending open g W Commission m2etings may use small electronic sound recorders to record the meeting, but the use of other electronic recording [gfj equipment and cameras requires the advance written approval of the Secretary. ]Ee YJ APPENDIX D 4 V gg %v B ^u ,hh'w .. V _ ?e l Yn [ f* 'f, & t _ L $_. l- 's s -4h + ~ B

l N M EDEDa w u,m r a r,w h SVVRLW 5 M 31W KY@ [Egrd d w I D ~ t Sec. 9.104 Closed meetings p (a) Except where the Commission finds that t.he public interest requires otherwise, Commission meetings shall be w! closed, and the requirenents of sections 9.105 and 9.107 shall not apply to any information pertaining to such meeting otherwise required by this subpart'to be disclosed to the ) public, where the Commission determines in accordance with 1 \\( l I the procedures of section 9.105 that opening such meetings i or portions thereof or disclosing such_information, is likely I to: (1) disclose matters.that are (i) specifically authorized under criteria established by an Executive order i L to be kept secret in the interests of national defense or f[" r r.tw. foreign policy, and (ii) in fact properly classified pursuant 7Fy' to such Executive orcer; 5 4:. 3f.:a:0 (2) relate solely to the internal personnel rules and practices of the Commission; WT'^ k n. ki-(3) disclose matters specifically exempted gf.. Jif + fccm disclosure by statute (other than 5 U.S.C. Sec. 552) g,& provided that such statute (i) requires that the matters be W m. d5% withheld from the public in such a manner as to leave no $lin 5 E discretion on the issue, or (ii) estab.~.ishes particular N3s + s. +> criteria for withholding or refers to particular types of matters to be withheld; gap;l ] Egg}.y

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]iN W APPEtiDIX D ..r; l..

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~ (4) disclose trade secrets and commercial or I financial information obtained from a person and privileged or confidential, including such information as defined in section 2.790(d) of the Commission's regulations; (5) involve accusing any perron of a crime, imposing a civil penalty on any person pursuant to 42 U.S.C. I Sec. 2282 or 42 U.S.C Sec. 5846, or any revocation of any license pursuant to 4 2 U.S.C. Sec. 2236, or formally censuring any person; (6) disclose information of a personal ncture where such disclosure would constitute a clearly unwarranted I invasion of personal privacy; (7) disclose investigatory reports compiled for lau enforcement purposes, including specifically enforcement of the Atomic Energy Act of 1954, as amended, 42 U.S.C. Sec. 2011 et. seq., and the Energy Reorganization Act of 1974, as amended, 42 U.S.C. Sec. 5801 el. seq., or information which if written would be contained in such records, but only to the extent that the production of such records or information would (i) interfere with enforcement proceedings, (ii) deprive a person of a right to a fair trial or an impa~tial adjudica-tion, (iii) constitute an unwarranted invasion of personal privacy, (iv) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law cr iarec: ent authority in the course of a criminal investigation, APPENDIX D j' E 'JI"~1"'" I LT K f& 2Z_N' X 2 C LL 27:W. = T 3 s

pp'r *MmeEClDFu---a:ier.m--sR;r(gisy[EraqMEgggg4 s D or by an agency conducting a lawful national security intel 1igence investigation, confidential information furnished only by the confidential source, (v) disclose investigative techniques and procedures, or (vi) endanger the life or physical safety of law enforcement personnel: (8) [ reserved] (9) disclose information the premature disclosure of which would be likely to significantly frustrate implemanta-tion of a propcsed Commission action, except that this sub-paragraph shall not apply in any instance where the Commission has already disclosed to the public the content or nature of .it.s proposed action, or where the Commission is roouired to make such disclosure on its own initiative prior to taking $N w final action on such proposal; or w. (10) rpecifically concern the Commission's $N ,:hy' ' issuance of a subpoena, or the Commission's participation i33 in a civil action or proceeding or ar. action or proceeding n before a state or federal administrative agency, an action N in a foreign court or international tribunal, or an e r. i arbitration, or the initiation, conduct or disposition by %gi" l wn u.s l the Commission of a particular case of formal agency g.g [bknk adjudication pursuant to 5 U.S.C. Sec. 554 or otherwise M involving a deterr:.ination on the record after an opportunity

yflgu mn yA for a hearing pursuant to part 2 or similar provisions.

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I o uW* (b) Examples of situations in which Commission Q RYA action may be deemed to be significantly frustrated are (1) if y, opening any Commission secting or negotiations would be likely 3 to disclose ir4 formation provided or requests made to the j Comniscion in confidence by persons outside the Commission and which would not have been provided or made otherwise; (2) if opening a meeting or disclosing any information would reveal legal or other policy advice, public knowledge of I.,. which could substantially af fect the outcome or conduct of I q j oending or ceasonably anticipated litigation or negotiations; I or (3) if opening any meeting or disclosing any information PM.95 5 woeld. reveal information requested by or testimony or prepasals to be given to other agencies of government, NM inc! ding the Congress and the Executive Branch before the isli 23 icj

Fiuc3 ting agency would receive the inforration, testimony mc T

cr preposals. US The examples in the above sentence are ~/f] for illustrative purposer. only and are not intended to ,sv ry%3 .n exhaustive. tdi WB. {?S ~ 'fd Sec. 9.105 Commission orocedures 2M.1 ~ u-a ~1 (a) Action under section 9.104 shall be taken only q.@ u%n a majority of the entire membership of the Commission 's '5 3' "o t.c o to take such actien. A separate vote of the 4 .d [g C7" issioners shall be taken with respect to each Commission ae +, h. ..iag a portioa or portions of which are proposed to be .w w FY Frm APPENDIX D 5 l. \\ L

mm ~ closed to the public pursuant to section 9.104, or with respect to any information which is proposed to be withheld under section 9.105(c). A singic vote may be taken with respect to a series of meetings, a portion or portions of which are proposed to be closed to the public, or with respect to any information conct.rning such series of mee tings, so long as coch meeting in such series involves the same particular matters and is scheduled to be held no more than thirty days after tt.e initial meeting in such ceries. The vote of each Commissioner pi.rticipating in such vote shall be recorded and no proxies shall be , allowed. (b) Within one day of any vote taken pursuant to Jc:cgraph ( 1) of this section, subsection 9.106 (a) or subsectior 9.108(c) the Secretary shall make publicly availabic in the Public Cocument Room a written copy of such vote reflecting the vote cf each member on the question. If a portion of a meeting is to be closed R ta the public, ]. the Secretary shall, within one day of the vote taken pursuant to paragraph (a) of this section or subsection 9.106(a), make publicly available in the Public Document Roc'i a full written explanation of its h action closing the portion together with a list of all pn u?caons expected to attend the meeting and their affiliation. .g. APPENDIX D W z . n, _,.

mmw,

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P 1 1 ) (c) Tue notices and lists required by subsection (b) of this section to be made public may be withheld from the I public to the extent that the Commistion determines that suck # ...f orma tion itself would be protected against disclosure I by section 9.104(a). Any such determinations shall be made s independently of the Commission's determination pursuant to paragraph (a) of this section to close a meeting, but in I y accordance with the procedure of that subsection. Any such i .l determination, including a written explanation for the i H ,'.etion and the specific provision or provisions of section W 9.104(a) relied upon, must be made publicly available to the extent permitted by the circumstances. e 1 Sec. 9.106 Persons affected and motions for reconsideration N g (a) Whenever any person whose interests may be o i directly affected by a portion of a meeting requests that the Commission close such portion to the public for any of the d 4 0 reasons referred to in paragraph (5), (6), or (7) of u l section 9.104, the Commission, upon request of any one a 3 Cor.missioner, shall vcte by recorded vote whether to close h such meeting. (b) Any person may petition the Commission to a p l reconsider its action under subsection 9.105(a) or subsection 6 bT (a) of this section by filing a petition for reconsideration [ d w + I r1 the Commission within seven days after the date of such l ) [g p 7n and before the meeting in question is held. Ti: Af l g /@ W, APPENDIX D eV k[ } 5 Q;l '5fiQF*39QQ [.Q *G 5 ?- L ');?i G L ; i n : M G 2; M G '~Eb +' ~%A"B L l l

I 9 (c) A petition for reconsideration filed pursuant l to subsection (b) of this section shall state specifically the ground. on which the Commission action is claimed to be erroneous, and shall set forth, if appropriate, the public interest in the closing or opening of the meeting. The filing of such a petition shall not act to stay the effective-ness of the Commissico action or tb postpone or delay the meeting in question unless the Commission orders otherwise. I Sec. 9.107 Public announcement of Commission meetings I (a) In the case of each me'eting, the Secretary shall reake public announcement, at least one week before the ime ting, of the time, place, and subject matter of the meeting, wh ther it is to be open or closed to the public, and the nata and phone number of the official designated by the Cor. mission to respond to requests for information about the meeting. Such announcement shall be made unless a majority r. c5 cf the.narrbers of the Commission determines by a recorded vote that Commission business requires that such meeting l

G" oc called at an earlier cate, in which case the Secretary l

shall make public announcement of the time, place, and \\ subject matter of such meeting, and whether open or closed }ffy. m cy?' to the public, at the earliest practicable time. $1 .Ill:" (b) The time or olace of a meeting may be changed m W* m... t vy ~ollowing the public announcement required by subsection (a) -ki PD c: this caction only if the Secretary publicly announces -{} .,.,A,4 .n-APPENDIX D lI'l$.ID . smr ny tyn n_r r w m im_

9 I O such changes at the earliest practicable time. The subject matter of a meeting, or the determination of the Commission to open or close a meeting, or portion of a meeting, to the public, may be changed following the public announcement required by this subsection only if (1) a majority of the b ] entire membership of the Commission determines by a recorded vote that Commission business so requires and that I no earlier announcement of tt$e change was possible, and (2) the Secretary publicly announces such change and the E vote of each member upon such change,at'the earliest r,racticable time. (c) Immediately following each public an:.ouncement required by this section, notice of the time', place, and sub3ect matter of a meeting, whether the meeting is open a closed, any change in one of the preceding, and the 4 name and phone number of the official designated by tne ~ ( Co:amission to respond to requests for information about jf the receting, shall also be submitted for publication in th2 PEDCRAL REGISTER. (d) The public announcement required by subsection (a) + of this section shall consist of the Secretary - -.3 (1) publicly posting a copy of the document n .nr I in the Public Document Room at 1717 H Street, N.W., IIe 'y, Washington, D.C.; and, to the extent appropriate under Edi <v E Oe C1 rCums t PI'Ce s. f*U.7* i. 45, l APPENDIX D F 12 n Mih - mat: Sf t ? \\__- h je

• + -
• e

'7 i h y wv-8. e# * - - f a ta

- assummuuppr2dwu=ur-- men - Tm E N g _,. (2) mailing a copy to all persons whose names are on a mailing list maintained for this purpose; (3) submitting a copy fer possibic publication to at least two newspapers of general circulation in the Washington, D.C. metropolitan area; (4) any other means which the Secretary believes will serve to further inform any persons who might be interested. (e) Action under the second sentence of subsection (a) cc (b) of this section shall be taken only when the Commissior. finds that the public interent in prompt Commission action or the need to protect the common defense or security or to protect the public health or safety overrides the public interest i n having full prior notice of Commission meetings. p

s v,.

f,c c. 9.108 Certification, transcriots, recordings and minutes g n' (a) For every meeting closed pursuant to paragraphs gi' .i. (1) through (10 ) of subsection 9.104 (a) and for every deter-G? mination pursuant to subsection 9.105 (c), the General Counsel %jfG l shall publicly certify at the time of the putlic announcement 1Lv of the meeting, or if there is no public announcement at $Q. l su l the earliest practical time, that, in his or her opinion, 93lM l Oi the meeting may be closed to the public and sht;11 state cach !$%.s

v. u n relevant exemptive provision unless the Commission votes hhhh MjW pursuant to section 9.105(c) that such certification is IJfd[

$jff,.h

% :7 protected against disclosure by section 9.104(a).

A copy jff .~ ,y; 3-APPENDIX D I. c.m ew _w-. T[ h. i.. . s

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.c " v,: , :f a:lq ' .,t.,4'.: & ;* O a of su:h certification, together with a statement from the if". .. u 1.n presiding officer of the meeting setting forth the time and(, ~ ~ ', } - ], place of the meeting, and the persons present, shall be retained,' x< by the Commission. The Commission sh 11 maintain a complete..' ]'- } 3 transcript or electronic recording adequate to record fully I n. the proceedings of each meeting, or portion of a meeting ( Tlk M,. I closed to the public, except .- 3 that in the case of a meeting, g or portion of a meeting, closed to the public pursuant to

, ;B paragraph (10) of subsection 9.104(c), the Commission shall r.aintain such a transcript or recording or a set of minutes.

I Such minutes shall fully and clearly describe all matters I ' discussed anc shall provide a full and accurate summary of any actions taken, and the reasons therefor, including a description of each of the views expressed on any item and the record of any rollcall vote (reflecting the vote of each Commissioner on the question). All documents con-sidered in connection with any action shall be identified in such minutes. 7 (b) The Commission shall make procptly available to the public, in the Public Document Room, the transcript, I electronic recording, or minutes (as required by subsection (L) of this sec*. ion) of the discussion of any item on the agenda, or of any item of the testimony of any witaess f } r ceived at the meeting, except for such item or items of 'uch discussion er testimony as the Commission determines APPENDIX D m ms-nw.n w ~. - g,* 4 O

D pursuant to subsection (c) of this section to contain information which may be withheld under section 9.104 or subsection 9.105(c). I Copies of such transcript, or minutes, or a transcription of such reco' ding disclosing the identity of each speaker, shall be furnished to any person upon payment of the actual cost of duplication or transcription as provided in section 9.104. The Secretary shall maintain a complete verbatim copy of the transcript, a complete copy of the minutes, or a complete electronic recording of each neeting, or portion of a meeting, closed to the public, for a period of at least two years af ter such meeting, or until one year after the conclusion of any Commission proceeding with respect to which the meeting or portion was held, whichever occurs later. (c) In the case of any meeting closed pursuant to section e .m ..trif. 9.104, as the last item of business, the Commission shall determine r which, if any, portions of the electronic recording, transcript or minutes and which, if any, items of information withheld pursuant / to section 9.105(c) contain information which should be withheld ~ pursuant to section 9.104; provided however, that should the U ' 27 3 Commission not make such determinations immediately following any such closed meeting, the Secretary of the Commission, upon the advice of the Office of the General Counsel and af ter consulting 1" 2h A with the Commission, shall make such determinations. h 4 g K2% N%f MnA 97 LE1 4: hqi h zmb' d@ii3 ~ APMNDIX D $ k[e[$ T.: s o., .p v7 ' ,}}