ML20058K988

Responds to Expressing Concern Re NRC Handling of Proprietary Documents & INPO Repts.Nrc Reviews Conducted to Ensure That INPO Repts Do Not Contain Any Significant Adverse Safety Info Not Previously Revealed by Insp Program

ML20058K988
Person / Time
Issue date:	07/31/1990
From:	Carr K NRC COMMISSION (OCM)
To:	Ochs R MARYLAND SAFE ENERGY COALITION
Shared Package
ML19330E854	List: ML20058K988 ML20058K993
References
NUDOCS 9008030368
Download: ML20058K988 (7)

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UNITED STATES

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- o NUCLEAR REGULATORY COMMISSION'

~g WASHINGTON, D. C. 20655 i

July 31, '1990 CHAIRMAN i

1 Mr. Richard Ochs Maryland Safe-Energy Coalition.

P. O. Box 902-Columbia,: Maryland = 21044 1

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Dear Mr. Oc:

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-I am responding to your May 22, 1990 letter. in which you expressed concern over the way the Muclear:Reculatory Cemission (NRC)' handles " proprietary documents." - To illustrate your concern,:you cited two examples of the way j

which the NRC handled or ciscussed proprietary documents.

In addition, you.in' cited a recent.Washinoton Post article regarding thecInstitute of Nuclear Pcwer Operations (INPO).

You also stated that this industry _E3sociation has usurped the function of the'HRC ano that INPO reports shoula M made public.

First.'I want to make it very clear that NRC takes its mandate to protect the public-health and safety extremely seriously. - Therefore, we have not done, and would not do, anything that would result in a diminution-of.our responsi-bilities.

In order to respond to'your concerns, a brief description of the process used and the considerations involved!in making a determination that.

q information submitted should be handled as proprietary under :he Freedom of-Information Act (FOIA), (5 U.S.C. 5552), and how thi.s. process is consistent with. NRC's statutory-resp'onsibilities follows.

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i "Proprictary information" refers to trade secrets and commercial or-financial information that are cbtained from a person.or organization and that are privileged or confidential. NRC's process for handling proprietary information is set forth in 10 CFR 2.790, "Public inspections, exemptions,' requests for, withholding," a copy of which is attached for your information; 10 CFR 2.790 is based on the FOIA,~ of which subsection' (b)(4) specifically exempts from j

put.lic disclosure " trade secrets and commercial or financial information obtained from a person and privileged or confidential.".The Ccmission's F0IA regulations are contained in 10 CFR Part 9.

4 Subsection (a)(4) of 10 CFR 2.790 parallels the provision of the FOIA.

10 CFR 52.790(b) sets out the procedures that persons who submit " proprietary information" are required to follow in order to have the NRC withhold claimed proprietary information from public disclosure.

Subsection (b)(1) requires that the reasons for the request be provided in affidavit form with an <

explanatioA of Q competitive position and economic damage that could result

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from release of the documents.

Subsection (b)(4) identifies the considerations that the Commission must nse in determining whether the-information that was

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provided is proprietcry. These considerations include the following:

(i)

Whether the information has been held 'in confidence by its owner; (ii)

Whether the information is of a type custmarily held in confidence l

by its owner and whether there is a rational basis therefor; 1

(ii:) Khether the information was transmitted to and received by the.

Commission in confidence; s

(iv)- Whether the information is availablo in public sources; (v)

Whether public disclosure of the information sought to be withheld is likely to cause substantial harm to the competitive position of the owner of the information, taking into account the value of the-information to the owner; the amount of effort or money, if any, expendr.d by the owner in developing the information; and the ease or i

diffluity with which the information could be properly accuired or dupiicated by others.

This process was used in handling the documents that were claimed to be proprietary in the two examples cited in your letter.

In a letter to Baltimore Gas and Electric Company. (BG&E) dated February 21, 1990, the NRC staff denied l

BG&E's request that the NRC treat the information that related to the above-ground dry storage -of spent fuel discussed at the January 23,1990 meeting as proprietary.

Subsequent to tnat denial, a revised proprietary version, including an affidavit, has been provided by BG&E for the NRC staff's consideration. The staff is currently reviewing this recuest in accordance I

with 10 CFR 2.790.

The second exrnple was the meeting with BG&E on January 8,1990, which was closed to the public. The purpose of the meeting was to discuss information provided by Babcock and Wilcox (B&W) which was determined to be proprietary as detailed in a letter from the NRC to BG&E dated January-4,1990.

The B&W information related to a pressurizer repair program that is currently being implemented at Calvert Cliffs, Unit 2.

This meating was conducted in a manner which is consistent with the staff's meeting policy as noticed in the -

Federal Register (43 FR 28058, 6/28/78), which indicates that such meetings may be closed to the public where clas:ified or proprietary information is to be discussed. This policy further indicates that a summary of the unclassified and non-proprietary portions of tb meeting must be included in a meeting summary that will be made availabb to the public and interested parties.

The summary of this meeting is dated January 16, 1990, and is available in the Public Document Room (PDR) and in the local PDR, as are the other documents referenced.

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. You also expressed concesns about INPO and whether the NRC has transferred any of its regulatory functions to that organization.

NRC's statutcry mandate from Congress is to ensure that civilian uses of nuclear materials-in the United States, as in the operation of nuclear power plants or in medical, industrial, or research applications, are carried.out with proper regard and provision for the protection of public health and safety, of the environment, and of the national security.

The NRC accomplishes its mission-by licensing nuclear reactor operation, by. licensing other: activities involving possession and use of nuclear materials, and by conducting inspection and enforcement l

actions, After the 1979 accident at the Three Mile Island' plant, the 55 utilities s

owning and operating nuclear power plants joined together to create'INPO, a private organization whose stated purpose is to upgrade the quality of operations and safety performance at nuclear power plants.

One of INP0's methods of achieving improved performance.is through the conduct of periodic team evaluations at all reactor facilities. After assessing the information gathered from these activitics, the inspection team writes a report to the utility, which documents the strengths and weaknesses that the team observed, t

l The utility is required to report back to INPO on the steps that the utility plans to take to address the observed weaknesses.

INPO then reviews these items during subsequent evaluation visits.

A more detailed explanation of the relationship between the activities of the NRC and INP0 is set forth in a memorandum of agreement (MOA) between the two organizations. A copy of the MOA is enclosed for your information.-

As a private organization, INP0 has taken the position that its reports are i

proprietary information and should not be made public. Member utilities-maintain that the proprietary status of the reports contributes to the candor of the process of self-criticism and self-assessment that is carried out through the INP0 program.

Although INPC does not make its-evaluation reports I

public and is not required to suomit thtm to the NRC on a routine basis, the Commission's staff is able to review these reports on= site at;each reactor l

facility or at INP0 headouarters in Atlanta. These reviews. are nomally conducted by one of NRC's resident inspectors who is assigned full-time at each licensed power reactor. NRC reviews are conducted to ensure that INP0 reports do not contain any significant adverse safety information that was not previously revealed by our inspection program.

In addition, NRC regulations require every utility to directly notify the NRC of significant matters. These requirements would encompass an adverse finding by INP0 which bears signifi-cantly on the ~ safety of the plant. Thus, while INP0 evaluatiun reports are private, we believe that the public safety is aided through the industry's INP0

-self-assessment initiative and the NRC's ongoing review of INP0 activities.

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7 I trust that the information provided will help you.and the Maryland Safe Energy Coalition to better understand the process by which proprietary information and INP0 reports are treated by the-NRC. Finally, I want to emphasize that the NRC has not delegated its responsibility for nuclear safety

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to INP0 and tnat we take our mandate to protect the public health and safety ser1ously, i

Sincerely, i

-Kenneth M. Carr

Enclosures:

i As stated cc:

Senator Barbara flikulski t-I f

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8 4

PART 2 e RULES OF PRACTICIE FOR DOMJSTIC UCENSING PROCEEDINGS

(

seceem shau be reviewable by the (d) Within ten (10) days ifter somos AVAILABILITY OF OFFICIAL Appeal Board for the particular of an appucation for a stay under this RECORDS PNdmg. upon its own muen o' section, any party may flh an answer l 2.790 Pubhc inspectioma, esemptions, o M 'g",g* h,

supportirs or opposing the greating wf a requeses for withholdtag.

H

% accordanoswtth Fat

, risy. Such answer shah be no longer than (a) Subject to the provmons of pare-

[2) Action under the suihority of g ten (10) pages, exclusive of affidavita, and pareyeph (b)of this secties with 0 should concesely addrom the matters la graphs (b), (d), and (e) of this section, 8

g roepest to requests for stays ef ordere 4.f [ paragraph tb) of this eaction to the eatest final NRC records and dwmeats,

presiding officers shall be mvlowable b!'

includias but act limited to sorrespond.

appropriate. No further rephas to answere will be entertained. Filing of and service esce to and from the NRC regarding the ie **

n hdakdh e in of an answer op. the other parties shau be issuante, denial, amendment, transfer, re-newel, modkication, agaaama revoca-e:curdaara with LF3tL by the same method, e.g. telegram, mail, tion, or violation of a Mosaae, permit, or

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es the method for filing the appucation E

fet the stay

• e* der, or regarding a rule making proceed-

.j*$ 2.784 3teye of deeinions of presiding '#

1 subject to this part shau not, in this -

offisere and Atomie Safety and usses.

(e) In determining whether to grant or means of a compeHias reason for non-a ll las Appeal beasde peadtag aview,-

deny an appucation for a stay, the Coa" a n dw a balancW W me Wr-L mission, Atomic Safety and Licensias M h pwoon or wy a

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(a) Within ten (10) - days after semce Appeal Board, or presiding officer will y nondisclosun and the public interest in of a decision or action any party to the consider:

disclosure, be exempt from disclosure and proceeding may fue an applicataca for a (1) Whether the moving party has will be reade avausbie for inspection and

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" stay of the effectiveness of the decasion made a stror>g showing that it is likely to copy as in the NRC Public Document i

E at actaos pending filing 'of and a decision prevaR on the ments; Room, except for matters that are:

I on an appeal of petitiota for review.

(2) Whether the party will be irrepare-(1)(i) SpecificaHy authonzed under i

8

Except as provided in paragraph (f) of bly injured unless a stay is granted; cntens setabushed by an Executne order M W ment b $ het M this section, such an appbcetaon may be (3) Whether the granting of a stay fDed with the Communon, Atormc would harm other partaes, and M dh or fonism pohey W l

Safety and Liceaalas Appeal Board, or (4) Where the public interest lies. -

(u) are la fact properly classified pursuant

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the prendaag officer.

(f) An appucation to the Communon to such Executive order; for a stay of a decision or action by an (2) Related solely to the internal per-i (b) As application for a stay shau be Atomic Safety and Licensing Appeal so nel runse and practices of the Commis-no longer than tea (10) peste, eutusive Board will be denied if a stay was not, g *,

j of affidavits, and shau contain the foHow.

but could have been, souaht before the *, g)

,gg,yy,

g ing:

Appeal Board. An appucadon for a stay (1) A concise summary of the deci $ of a decision or action of a presidias closurs by statute (other than 5 U.S.C, mon or action whch is requested to be g officer may be filed before either the $32(b), provided that such statute (i) te-l stayed; E Atomic Safety and q

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(2) A concise statement of the g Board or the presiding officer, but notLicensing Appeal

• the public l pounds for stay, with reference to the both at the esme time.

decem on me M or(H)em j

factors speciSed in paragraph (e) of this (g) Its estreordinary cases,. where p,g gg g, g section; gg pompt application as made under this

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l (3) la the ceas of an appucstion to sectior., the Commission, Atomic Safety a

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3 the Co au auon for stay of decanoes or.

4.ad Licensing Appdal Board, or preewhos ~~ (4) Trade secrets and commercial or I

t g actacas by an Atomic Safety and ucess-officer may grant a temporary stay to j.

s, ins Appeal Board, a ' statement where preestve the status quo without waiting financial information obtained from a l

g (stay was requested from the Appealincluding record citetton, if available) a for filing of any ans person and pew 0eged or confidential; l

'may be made orally provided the applica' d ran(dums or letters which w l

Board and denied. If no such request we tion is promptly confirmed by telegram. s reade of the Appeal Board, h applica.

Any party applying under this paragesph I eraDeble by law to a party other than an I

i tion abound state why it could not have shau make au reasonaW efforts to in

• speacy la litigation with the Commumon; j

been made;and form the other parties of the 7 ~ -

(6) Personnel and medical fuss and i-(4) To the enesat that as appliassion orany if made orapy.

dm8ar lues, the discloems of which for a stay relies on facts abket to (b) A party sesy fDs an appliestion would constitute a cieeriy magrarranted dispute, appropriate referonoms to the for a stay of a decision or action granting

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record or affidavits by knowledgeable or denying a stay. As to e decision or f (7)Recorde ortaformation compiled

persons, action of a presiding offloor the applice-o forlaw enforcement purposes, but only (c) Servies of an appbcataca for a stay tion shall be fuod with the Atomic Safety R to the extent ht b production of such l

on the other parties shau be by the esse end I traanimp Appeal Board. As to a # law enferoement recorde erinformatica-

method, e.g.

telegram, mail, as the dacision or action of the Aton.ic Safety 8 lin Cou.'d renwnably be expected to

. method for filing the appibation with the and I icanang Appeal Board the applice. g micrfere with enforcement proceedings:

Commission, Atomic Safety and uceas-

. tion shall be (Hed with the Comausac,a liil huld d.ynve a person of a right

. ins Appeal Board, or the presading of.

In each case the procedures and criteria j

4

_ ficer.

of paragraphs 2.78sfa)-(e) shall be fol-i is soasi resores and desmanants do noe

. _ towed.

i bactuee hameerman notes and drette, 2 41 November 30, itse I

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2.790(c) 3 790gg,PART 2 e RULES OF PRACTICE FOR DOMESTIC LifiENSING PROCEEDINGS

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to a fi,ir tm 1i.e nn imparuni inf.itmation suusht to be withheld la Properly acnutred or dupbcated by oth-adimbratum submitied to the Commienion by another ers.

Did Cooki ri...unol.1 1.e a y.i med io person. The opphcation and affadevit

($) If the - Commusion determmes, 3

constitute un erm rianted ins muon of shall be subinetted at the time of filing pureuant to paragraph (b)(4) of this pernunal pen ru the information 6ought 1o be withheld.

section, that the record or document livl Can.id nn.6.11 1.e i ywed to The mformutmn sought to be withheld contains trade secrets or prwileged or 3

o shmill e %rporated. as fut as possible, disclose the idenut3 of a c nfidents.sl a

source. including e Eie. loot. or 3 into e seporair p per.The amant may confidential commetal m financial in-i design.tc with appropriate merkings formation, the Communon wiu then de-fort gn n;rrrw > or euthority, or un) a prn nic inshintion which furnisht d termine (i) whether the nght of the pub-mfu matinn or c tonfideal ham. ano. % fr.formahon subnuited in the efridevil as hc to be fuuy apprised as to the besos for e trade secret or confidential or e

in the case of a ternrd or mtorn...~..

priuleged t.ummerciaNr fmencial and effects of the proposed action out.

gA tum;,iled b) e entnmallaw e nforument informahon within the amaains of weighs the demonstrated concern for S nuthority m the courne of a criminal i n.n[m)(4) of this chepter and such protection of a competatm position and z invenupnhun or by un egency informehon shall be subject to (i)whether the informenon should be

,, ronductsnp a lawful national security d,nclosure only in accordance with the

• Intelhnnce mvestigation,information provisions of i 91s of this chapter, withheld from public declosure pureuant furnished by a confidenh.nl source:

to this paragraph. If the record or docu-g (v) Would d%Inse tes.hniques and (2) A person who submits commercial ment for which withholding is sought is of f nancial information behewed to be deemed by the Commannon to be irrele-p*ocedures for la cr.fruement innshgations or prnsecunons, or would pnydeced or e,onfidential or a trado secret vant or unnecessary to the performance se o[

n (c m thau be on notice that it is the pohey of of its functions,it shau be returned. to the es p

disclosu e enuld m sananly be espected the Communion to achieve an effective

appbcant, to nsk circumsent m of the law; or balance between legitimate concerns for (6) Withholding from public inspec. -

(u)Could reasonably be espected to protect:on of competitive positions and tion shau not affect the nght,if any, of endanger the hie or physical safety of the nght of the public to be fuuy persons properly and directly concerned any individual; apprued as to the bases for and effects of to inspect the document. The Commas-C licensing of rule making actions, and that g non may require infortnation claimed to -

(8) Contained in or related to exam

• tt is within the decretion of the Comma 3 be a trade secret or privileged or confi-inauon, operat:ng, or conditMn reports mon to withhold such information from ; dential commercial or financaal informa-prepared by, on hhalf of, of for the use pubbc disclosure, S tion to be subject to inspeccon:(i) under of an agoecy responable for the regula-(3) The Commasion shau determine I a protective agreement, by contractor tion or supervison of financial institu whether the information sought to be personnel or government officiale other tions; or withheld from public disclosure pursuant than NRC officials:(li)by the presiding (9) Geological and geophysical infor*

to this passaraph: (i)is a trade secret or officer in s' proceeding; and (lit)under motion and data, including maps, con-confidential or privGeged commercui or protective order, by pernes to a proceed-I, corning weUL

. imancial informauont and (ii)!f so, ing, pending a decimon of the Commis-

document or a part be withheld in whole(b)(1) A person who proposes that a i should be withheld from pubuc sion on the matter of whether the infor-m a sure, mauon should be made publicly avaHable I or part from public disclosure on the t (4) In making the determination r*

or when a decision has been made that ground that it contains trade secrets or

• quared by paragraph (bX3XI) of this the information should be withheld from pnvileged or confidential commercial of secuon, the Commusion will conader:

public disclosure, in camera seemons of financial information shall submit an ap-(i) Whether the information has been hearings may be held when the informe-plicadon for wahholding accompanied by held in confidence by its owner; tion sought to be withheld is produced or an affidavit which:

(ii) Whether the information is of a -

offered in evidence, If the Commismon (1) Identifies the document or part type customardy held in confidence by-subsequently determmes that the infor.

sought to be withheld and the position of its owner and whether there is a rational motion should be disciceed, the informa--

the person mekana the affidavit, and bass therefor; tion and the transcript of such in camera.

C (iii) Whether the information was season wSI be made publicly available.

!if) Contains a full statement of the transmitted to and received by the Com*

(c) If a request for wi*hhaWag puteu-reasons on the basis of which it is m soon in confidence; ant to paragraph (b) of this section is ~

@)

r the Wash h ad denied, the Cognammon wSI notify an thhe d p3 lic d lo ute Suc statement shall address with specificity able in pubue sousees.

applicant-for wahhamme of the denial (v) Whether puhuc discinews of the with a statement of reasons. The notice I (he considerationaliated in paragraph.

information soesht to be wehheld is

,, g g g,gl specify a time, not less than t

b)(4)of this section.In the case of an t amdevit submitted by a company, the likely to coman-substantial harm to the thirty (30) days after the date of the e affidavit shall be executed by en officer competities postion of the owner of the notice, when tM d4sument wea es placed or upper level management official who information, taking into account the in the PubCc Document Room. if, within g

t$on

'alue of 8 18f# # 8 M 8 2 the tire epocmed la &e notice, h unc ofre a th nio the amount of effwt or money, if any, appli. ant requests withdrewal of the doc.

sought to be withheld and authorized to apply for its withholding on behalf of expended by the owtar in developing the umsnt, the document will not be placed the company.The effidavit shall be information; and the ease or difficulty in t'ie Public Document Room and wal executed by the owner of the with which the information. could be be returned to the applicant: Provided, information even though the November 30,19s3 242

2.790(c) 2.804(b)

PART 2 O RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS That information submitted in a rule procedures for filing a petition for (f) If it is deteramed by the Execu-

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man.ing pro:eedang which subesquently rulemaking. or requeste for a meet 1DS tive Director for Operations that the

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forms the de for the final rule wiu not with the appropriate NRC staff to petition does not include the information

- -@ be a be withheld fram public disclosure by the

$g "e Dimetw."QupiW@ddmased required by paragraph (c) of this section h

om M g Commisnon and wal not be returned to and is incomplete, the petitioner will be

!! the applicant after denial of any applica-OTc

'u nd '

notified of that determanation and the

• tion for withholding submitted in conneo E Resources Management. U.S. Nuclear respecta in which the petition at defident

' tion with that information. If a request g Regulatory Commission. Washington.

and wil be accorded an opportunity to

" for withholding pursuant to paragraph (b)

DC 20655. Attenbon: Chief. Rules and

. aabmit additional data. OrdmarDy this of this sectaos as granted, the Commission Procedures Branch. A prospective 3 determination wGl be made within 30 will notify the applicant of its determino-petitioner may also telephone the

. days from the date of receipt of the tion to w old the information from Division of Rules and Records on 301-

" petition by tne Office of the Secretary of (c) Each actition fued under this sec h the Commissiors if the peti 492-7036 or Toll Free on m not submit additional data to correct the

- (d) W followmg information shall be tion shall:

deemed to be sonumercial or financial deficiency within 90 day: from t!e date infonnation withlo the maanang of

(!) Set forth a general solution to the of notification to the petitioner that the problem or the substance or text of any petition is incomplete, the petition may i

a is che and sha eu proposed regulation or amendment, or be returned to the petitioner without with the provisions of 6 9.19 of this spectly the regulation which is to be prejudice to the right of the petitioner to chapter.

"'Ok'd""*"d'd;

.fU' a new petition.

(2) S' tate clearly and concisely the eNft h conta o abon petitioner's grounds for and interest in

3) The Director. Division o[ffe_edgni or recoros concermns a heensee's or the actio1 requested:

0 InformauoJLad Publications Servicee.

E appbcant's physical protection or (3) Indude a statement in support of Ofice of Admmistration ar,d a matenal cc.ml and accounung program the petition which sh'u set ' orth the g Reewces Managemnt.wiu papam on for special nucleer material not 2 specific issues involved. be f etitioner's g e quamr%esis s eummay M peudons

[ed e Inform or tio 1 I"

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Security Information or Restricted Data. 5I"***l'Y888 l'Ch8i 'k 8Ci'8til 8 ' E Copy of the report will be available for other data involved which is reasontbly public inspection and copying for a fee co d nce to t e ise on by a available to the petitioner, and such other in the Comaussion's Public Document foreign eource.

pertinent information as the petitioner Room.2120 L Street.NW Washington.

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the Commammon may, with reference to deems necessary to support the action (e) The preading officer, if any, or sought. In support of its petition, peti- ]

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$ the NRC records and documents made tioner should note any specific cases of which petitioner is aware where the cur.

No hearing wGl be held on the petition

! svailable pursuant to this section, issue rent rule is untduly burdensome, defi.

unless the Commsssion deems it advisable.

~ orders conastent with the provisions of cient, or needs to be strengthened.

g if the Commision determines that suffi-this section and 6 2.740(c).

(d) The petitioner may request the cient reason exista,it will publish a notice

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e Subpart H-Rule Making Commission to suspend all or any part of ". of Proposed rule making. In any other

$ 6 2.800 Scope of rule making" any licennns proceeding to which the 14 case, it will deny the petition and wGl This subpart governs the issuance, petitioner la a party pending diavoeition notify the petitionar with a ample state-

" amendment and repeal of regulations in of de petition for rule mking.

ment of the grounds of denial.

2.8N Nodee of poposed rule makhs.

m which participation t>y interested persons 111 is prescribed under section 553 of title 5 } includes the information required by(e) If it is detensdaad that the Lof the United States Code.

Peregraph(c) of this aestica andis

- (a) Except se provided by peregraph fl 2.801 laitistice of rule snaking.

complete, the Director. Division. of (d) of this section. when the Conunission proposes to adopt. amend. or repeal a Freedom of information and Publicetions g regulation,it wiu cause to be pu g

Rule making may be initiated by the

-8'Y h @%"8** wiH easign apeddon, W cam,,, in the Federal Ragtete

• *' d**

doc at a C

E ommisnon at its own instance' on the the petiden to be $stmaBy docksted, and a. pmped hkang. unless au pomons a

subject to the notice am named and g recommendation of another agency of a the United States, or on the petition of wiD depoelt a copy of die dochseed

.II either are personaDy served or peUUoain h rasumansama'sFWDhs otherwise have actual nonce in any other interested person.

P_:

- " Room. Pubbe ammmans may

,accordance wtth law.

E be n' docketing of the peguesin the r-iby pubhastionof a soucs

$ 2.802 Petition fet rule snaking.

g ogthe (b) The notice welinclude:

(a) Any interested person may peti-Federal Register, ar, ta appropetste (1) Either ths terms or substance of

% tion the Commsmon to issue, amend or cases. asy be tsvited Bae tho drst time the proposed rule, or a epocafication of

rescind any regulation. The petition

1. Pos Pchlication in the Federal Reglsest

[ should be addressed to the Secretary, of a proposed rule devolspedia the subjects and issues involved; (2) The meaner and time within I

U.S.

Nuclear Regulatory Commission, lo pod Pubbcation wiB

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Washington, g

which interested members of the public D.C.

20555, Attention:

_ Chief, Docketing and Service Branch.

section 181 of the Atomic Act of my mmment, ad a matement mat 10% as amendal, and may be copies of comments may be exaesined in ien(co)uraged to confer with the staff prior b A prospective petitioner is by order of the ammia&.

Be M h ment h m; r

to the fihng of a petition for rulemaking.

j Questions regarding opplicable NRC regulations sought to be amended. the 2 43 January 31,1989

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MEMORANDLM 0F AGREEENT BETWEEN=

THE INSTITUTE OF NUCLEAR POWER OPERATIONS.

AND THE U.S. NUCLEAR REGULATORY CON'SMON s

t This memorandum between the U.S. Nuclear Regulatory Connission '(NRC) and the Institute of Nuclear Power Operations (INPO) reflects the desire for a-continuing and cooperative relationship in the exchange of experience,-

information. and data related to the safety of nuclear power plants.-

The NRC has statutory responsibility for licensing and regulating nuclear facilities and materials and for conducting research inlupport of the licensing and regulatory process, as mandated by: the Atomic Energy Act of L

1954, as amended,.the Energy Reorganization Act of 1974, as amended, and the.

-Nuclear Nonproliferation Act of~1978; and in accordance with~the National Environmental Policy Act of 1969, as amended, and other applicable statutes.-

l NRC's responsibilities include. protecting public health and safety, protecting L

the environment, protecting and safeguarding materials and plants in the i

interest of national security, and assuring conformity with antitrust laws.

INP0 is an organization sponsored by the nuclear utility industry whose i

mission is to promote the highest levels of safety-and reliability in the!

operation of nuclear electric generating plants. As such. NRC and INP0,

undertake mutual and complementary activities,1as-defined in appendices to-this Agreement. These appendices will help ensure that the goals of.both.

'organzations are achieved in the most efficient and effective manner without diminishing or interfering with the responsibilities and authorities of the NRC and the goals of INPO.

This Memorandum is not intended to be an enforceable agreement or contract on l

either party,>notwithstanding the occasional use of the term " agree" or t_he use of mandatoryLlanguage such as "shall" or "will" in'either the Memorandum or its appendices.. In particular, insofar as this Memorandum or-its I

appendices indicate that the Commission will take or refrain from taking -a particular action in discharge of its regulatoryJresponsib111 ties :such an indication is intended only'to reflect the Commission!s current-policy.

intentions in this regard. Since this Memorandum is not legally. binding, the Commission may depart from its terms whenever it deems it necessary or

. appropriate to:do so in the discharge of its regulatory responsibilities.

except that in the interests of cooperation the Commission will, if~

appropriate and practical. advise-INP0 of, an terms of this Memorandum priorito doing so. y intention to depart from the j

u It is intended that this Memorandum of Agreement and its companion' appendices-complement one another. Appendices.are utilized to delineate detailed and l

specific areas for. cooperative agreements which exist between the parties of i

this Agreement and which may be1 amended from. time to time. The appendices are.

not interpreted as restrictive to only those areas.specified in the document,

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but serve as keystones of the Agreement for the exchange of information to-support the common goals of both organizations.

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c Memorandum of Agreement Between-INP0/NRC Page Two i

INPO and the NRC agree to c:nsult with each other with regard to;the.

availability of technical information which would be useful in, areas of mutual interest; and to promote,and encourage a free flow of such information. 'In-

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this regard, INP0 will provide plant specific information on a case-by-case basis consistent with the other provisions:of this Agreement. Both parties recognize the need for excluding from this Agreement fragmentary information related to work in progress' and/or which has been received on a privileged' basis. 'However, as informatio" is verifieo and found to be necessary or important to findings upon whir.h significant safety-related conclusions and g

i recommendations are based, the party holding such information will take j

appropriate and timely steps to remove it-fron the1 fragmentary, privileged or:

otherwise restricted Status. However, the NRC cannot provide information to:

INP0 that is required _ by law to be withheld.

Each party recognizes the need.-

on some occasions, to be able to accept andxprotect privileged information

where such information could not be made available'otherwise. 'It-is recognized that the parties to this Agreement may not be fully aware of the extent of each other's knowledge and thus, this Agreement requires only the parties' best efforts and a reasonable degree of care in assuring that significant safety-related information is provided in a timely manner to,the other party.

The parties to the Agreement will. meet periodically to exchange information and keep each other apprised of the major activities underway and planned-in each area of agreement.

The meetings are an effort to avoid unnecessary and unintentional duplication of activities, while_ providing a means' to identify those araas where-independent activities. by another organization may _be warranted.

Coordination meetings are for information exchange:only. - Meetings are not to -

be construed as requests or opportunities for (or-used by the NRC for obtaining) the advice.or recommendations.of1NP0 or its personnel'on policy or regulatory issues within the scope of the NRC's responsibilities.

INPO advice -

or recommendations to the Commission'on; regulatory or policy matters, if any, are to be made through established procedures of the Commission and will'be consideretby the Commission in the same manner as other offers of advice or recessendations made through established Commission proceduras.1 Minutes of all coordination meetings will be placed in'the NRC public document room.

These need not be verbatim transcripts of coordination meetings, but should include-a list of the meeting participants: and agenda items discussed at meetings, with brief summaries of the discussions held'by meeting y

participants.

In addition to meetings, it is expected frequent, informal communications 'will exist among the parties that will be limited to exchanging information and providing updates on the status of activitiest in progress or planned.

The appendices to this agreement prvide for NRC access to selected IMPO proprietary documents and information.

Such documents and information provided to the NRC will be appropriately identified as Limited or Restricted

. Distribution.

Consistent with previous legal decisions sanctioning the exchang of proprietary information between INPO and NRC and'in the interest of improving nuclear plant safety, NRC will control distribution of INP0

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l Memorandum of Agreement Between,INP0/NRC Page Three

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= proprietary documents and information within the' agency and will exert best efforts to protect it from unauthorized disclosure. Exceptions to this policy.

for control of INP0. proprietary documents and information will be addressed by the parties to this agreement on a case-by-case basis.

This Agreement supersedes the previous Agreement dated December 18 1985.

'O.

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Victor all, Jr.

Tack T..Pete Executive re r Operations.

President U.S. Nuclear R atory Comission Institute of. Nuclear Power Operations 1

Effective Date: October 20, 1988 t

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APPENDIX NL8SER ONE C0 ORDINATION PLAN FOR NRC/INP0' EXCHANGE OF OPERATIONAL EXPERIENCE DATA 1

1.

SACKGROUND l

The purpose of _ this plan is to coordinate selected NRC 'and INP0 actt'ities 1

related to the collection and feedback of. operational experience, information and data related to the safety and reliability of nuclear:

_i power plants. There are several underlying. assumptions, including the

.following:>

y a.;

NRC. as the' government entity.has statutory responsibilities and aatherities which are paramount. Nothing'in this ;,lan di_ lutes that_

.i responsibility and authority.to take action in accordance with

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applicable statutes.

b.

Recognizing the ability'of INPO to contribute to safe and reliable

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' operation with a resulting benefit to public health and safety, the following statements apply:

(1) HRC and INP0 share the common objectives that reporting of

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operational, experience information and data-be officient and that duplicative or inconsistent reporting-betninimited.

(2) HRC and INP0 agree that the validity of analysis results'may depend upon the completeness and. quality:of input information.

1 (3) NRC and INP0 agree that the: effectiveness of'operationalf data feedback is dependent upon a proper understanding of the:

significant lessons' learned from industry' operating experience.

2.

OVERALL f.00RDINATION a.

NRC and INPO will regularly-exchange, on a timely basis, the results -

of computed and formally documented generic analysis and event evaluation of operational data.

b.

INP0 will provide the NRC with timely listin events that have been identified by the SEE gs of the significant INscreeningprocess.as significant events for analysis. Similarly, the NRC wi 1. provide IMP 0 in-a timely manner with the results of its significant event screening procedure that identifies events for engineering evaluation or a case study and for Information Notices or Bulletins.

Information and data obtained by the NRC from foreign sources, that c.

do not include restrictions on further distribution, will be entered into a computerized data bank and will be made available for INP0.

analysis activities.

Foreign information and data obtained by INPO that does not include restrictions on further dissemination will

a Appendix' Number One Coordination Plan for NRC/INP0 Exchange of Operational Experience Data-Page Two P

similarly be entered in'to'an-INPO data-base and'will be'made available for NRC analysis ~ activities.

E

.d.

INP0 wi.11 provide the NRC access.to and use of. the Nuclear Plant Reliability Data 4 System (NPRDS): operated and maintained by _INPO..

Additional. agreements regarding NPROS access and usage are contained-in e.. contract between. NRC and lNPr that is separate from this l

agreement.-

4 e'

.NRC and-IMPO intend to have periodic informal technical discussions '

j on generic er event-related studies 1 n' progress that _are of mutual.

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i-interest.

i f.

Prior to issuing to the industry an~ Information Notice or other.

completed and formally documented analysis on a specific event at a nuclear power plant the NRC agrees to make reasonable efforts to-review available INP0 SEE-IN products to determine if the Information l

Notice or other analysis is needed and, if so..that.it~ is technically i

accurate. Similarly,:IMPO agrees to make reasonable efforts to i-review available NRC Information Notices or other completed analysis-1

-to determine if an IMP 0 SEE-IN product is needed and, :1f:so,' that it L

is technically accurate..Unless:a compelling safety concern dictatesi otherwise, the party identifying. technical inaccuracies. if.- any,- will L

give the other party reasonable advance notification of the L

inaccuracies and seek resolution before formally. issuing the information to the industry.

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Victor 5telyo,

-r T. Pate Executiv'irfir for Operations President I

i U.S. Nuclear ulatory Commission

' Institute of Nuc) ear Power Operations.

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Effective Date:

October 20, 1988 I

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APPENDIX NLSSER-TWD.

e C00RDINATION' PLAN' FOR NRC/INP0 APPRAISAL AND EVALUATION

~ ACTIVITIES o

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1.: BACKGROUNO

- The purpose.of this plan is to coordinateiselected NRC;and INP0 utility ti appraisal and: evaluation activities; It -is also intended to provide a

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mechanism and 'a basis for NRC to_ recognize INP0 efforts in thisf area.

There-'are several underlying assumptions, including the following:

o.

INPO recognizes NRC's regulatory responsibilities and authority.

l o

NRC recognizes INPO's efforts to promote excellence in nuclear t

plant operations.

o NRC desires to recognize INPO evaluation activities to the extent that these: activities are-effective in helping meet NRC's responsibilities as well as lessen-the burden imposed on the.

industry by duplicative appraisal; activities..

o NRC requires access to selected-INPO documents:and information, as well as the opportunity to observe l selected INPO activities

in order;-to be able to give credit for '!NP0' activities and-to

. thereby avoid unnecessary duplication.

2.

INP0' ACTIVITIES This section. outlines current and planned INPOl evaluation ~ activities.

- a.

-INP0 will conduct evaluations of operating nuclear plants on a a

. periodic basis. The interval between. plant evaluations willLaverage about 16 months.

b..

INP0 will conduct evaluations or assistance visits related to corporate support of nuclear stations. This phase.of INP0 activities-will usually be conducted coincident.with (in close time-proximity to) an evaluatior of the utility's plants.

c..

INP0 will prepare a written report for each evaluation. These reports will include appropriate -utility responses in each area identified by INP0 as needing improvement.

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. Appendix Number.Two

. Coordination Plan for NRC/INP0 Appraisal and: Evaluation Activities' l

Page Two-

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d.

Each succeeding evaluation will include follow-up on the responses developed during the preceding evaluation.

L h

INP0 will conduct appropriate visits' to Near Term Operating Licens,e e.

L plants.and their corporate: organizations to assist in their-preparation for. operation.

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l 3.

NRC REVIEW 0F INP0 ACTIVITIES INP0 expects'its' member utilities to make operating plant evaluation a.

reports available to the NRC for~ review or' reading.. Further, INPO-will make final evaluation reports.available to the NRC for review or reading by appropriate NRC management-personnel at the INP0 offices in Atlanta.

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b.

Current copies of, and any. changes to, INPO evaluation criteria will be provided'to NRC.

1 NRC may, on request, have a representative observe an'INP0 c.

evaluation.

IMPO will obtain:the necessary concurrence from the. host utility. While-spacifying a maximum number to be observed istnot considered necessary by either party,'it is-anticipated that an NRC' representative may observe INP0 evaluations several times-annually.

Where NRC Regional personnel participate as observers, theylwould not normally accompany an INP0 team on an avaluation in their own Region, d.

INP0 w111'brief personnel of the Nr.C Division ofs Reactor Inspection and Safeguards. Office of Nuclear Reactor Regulation (NRR).

periodically on all aspects of INP0's evaluation and assistance program.

NRC review of INP0 evaluation activities will be coordinated.by the e.

NRC Office of the Executive Director for Operations.:-Since IMPO has its own system for obtaining member corrective action,iNRC's role in-pursuing, correction of INP0 evaluation findings will'primarily involve only those potentially significant' safety problems for which NRC has no other reasonable alternative in meeting its legislated responsibilities. ~ Any other NRC follow-up enforcement ' action would be in accordance with paragraph 4.c. below.

4.

NRC RECOGNITION CT THE INP0 EVALUATION PROGRAM Subject to the continued development and success of the INP0 program a.

4 as outlined above and NRC's abiMty to effectively review the i

program, NRC intends to recognin INPO evaluations and, in those i

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. Appendix Number Two Coordination Plan for NRC/INP0 Appraisal and Evaluation Activities Page-Three-areas deemed appropriate, to minimize NRC-sponsored evaluations or appraisals that duplicate INPO evaluations, b.

NRC and INPO will coordinate NRC inspections. (involving two or more insMetors) and INPQ evaluations to minimize the impact on the-utility in91ved. Where feasible, NRC and INP0 will coordinate eventi related or other emergent on-site activities such as NRC augmented-inspection teams-(AITs), incident investigation teams (!!Ts).-

diagnostic evaluation _ teams (DETs) and INP0 event investigations, although each party recognizes that it may not be possible to:

l-coordinate all of these-efforts.

C.

The NRC will apply the established Conmiission. enforcement policy for l

i licensee' identified non-compliances to those non-compliances l

identified oy utilities as a result of INPO evaluations.

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Victor /5teDo,

. Pate-Execut W 0i for Operations President U.S. Nuclear latory Connaission Institute of Nuclear' Power Operations Effective Date: October 20, 1988 i

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1. PENDIX NLDSER THREE C0 ORDINATION Pl.AN FOR-NRC/INPO TRAINING-REl.ATED ACTIVITIES i

1.

BACKGROUND The purpose of this plan.is to coordinate selected NRC and INPO activities

-related to nuclear power. industry training.

It is also intended to provide a mechanism and a' basis for information sharing and NRC recognition of INPO efforts in this area.

t There are several underlying assumptions:

o INPO rec @ zes NRC's_ regulatory responsibility and authority.

i o

'NRC and INPO share the goal of-improving and maintaining the-quality of nuclear utility-training.

o NRC recognizes the industry's initiative and commitment to'!NPO programs that promote high quality training.through development of integrated training and qualification systems, including:

accreditation of key' training programs.

o MRC recognizes INPO C ereditation and associated training evaluation activities (see also Appendix 2, " Coordination Plan for NRC/INP0 Appraisal and: Evaluation Activities")'as an acceptable means of self-improvement in training.. Such 4

recognition encourages industry-initiative and' reduces duplicate program review and appraisal activities.

o INP0 recognizes that the NRC requires access to selected INPO documents and information, as well as the opportunity to observe selected INP0 activities related!to training and accreditation,-

in order to ensure that the NRC meets its obligations to the public an/ the Congress.

o Coordina' son of NRC and INP0 training-related ' activities 'and sharing of information will increase overall effectiveness as-well as lessen the burden imposed on the industry by duplication

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of activities.

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Appendix Number Three Coordination-Plan for NRC/INPO-L Training-Related Activities j

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l 2.

OVERALL COORDINATION i

'In' order to promote overall coordination of NRC and INP0 training-related activities, the following actions will be taken:

a.

NRC/INP0 Coordination meetings will be held periodically with-s

. representatives from NRC's Division of Licensee Performance and Quality Evaluation-(NRR) and INP0's-Training and Education Group.

At these meetings, infomation on ongoing projects = and plans will be exchanged. Written reports of ' progress and results may be' exchar.ged.

b.

INPO-will-provide.the NRC with access to selected INPO documents and information, and will provide updated copies of the INPO training l

guidelines and Training System Development Manual. ;INP0 will also provide the NRC, en a case-by-case basis, with access-to' the job and task analysis data stored in the INP0 computer data base.

c.

Coordination regarding accreditation of training programs is covered-by Attachment 1.

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M ctor S Ulll, President

.~Pate Executive Inre or Operations U.S. Nuclear R latory.Comission Institute of Nuclear Power Operations Effective Date: October 20,1988 i

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,. NSC/fNP0' Coordination Plan-Atsachment1

'l 2 Appendix Three 1

Page One ACCREDITATION OF TRAINING PROGRAMS 1.

BACKGR0PD The purpose of this' plan is to provide for coordination of, selected NRC

-and INPO-activities related:to the accreditation of perfomance-based' training programs. This plan also provides for continued industry initiative with NRC monitoring in this area and serves as a basis for NRC recognitionJof INP0's efforts. This coordination plan.is consistent with

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the Commission Policy Statement en_ Training and Qualification of Nuclear Power Plant Personnel.: -In carrying-out this plan INPO recognizes NRC's' g

responsibility and-authority.

2.

INPO ACTIVITIES This section-outlines current and planned INPO activities related to'the.

accreditation of performance-based programs for the training.and qualification of nuclear power. plant personnel.. The INFO point of' coordination for the implementation of this plan is the Group Vice President, Training and Education, a.

INP0 will continue to manage the accreditation of ' utility training programs including:

o self-evaluations by member utilities, with assistance from the g

INPO staff; o

on-site reviews of training mnd qualification programs by teams of INP0 and utility personnel; o

preparation of a report for each accreditation team. visit; o

follow-up on recommendations developed during the accreditation process; o

awarding, deferring or placing on probation of accreditation by the National Nuclear Accrediting Board; and o

reviewing accreditation of utility training prograss approximately every four years (accreditation will be renewed.

continued in a probationary status, or withdrawn),

b.

INPO will continue to conduct periodic performance-oriented evaluations of training and qualification programs as part of~its operating plant evaluations and as follow-up to accreditation.

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NBC/INPO Coordination Plan At2achment 1 Appendix Three-

.Page Two c.

INPO will_ provide updated copies of tho' accreditation procedures and criteria document as it is revised. This document will be made l

publicly available.

-d.

INPO will review and consider NRC reconnendations regarding INPO--

managed training-related programs, documents, and criteria.

e.

INPO will-provide periodic detailed briefings on accreditation to appropriate NRC management personnel, including review of the activities described in 2.4 above and-documentation of industrywide accreditation status.

f.

INPO intends to brief the Comission periodically on program status.

3.

NRC ACTIVITIES This section outlines the NRC's continuing efforts to monitor INP0 activities as part of NRC's assessment of the effectiveness of industry's training and qualification program improvements; The NRC point of coordination for implementation of this plan 1s the Director, Division of Licensee Performance and Quality Evaluation, NRR.

a.

NRC will not issue documents that duplicate IMPO_ training documents and will not refer to INPO documents as a means of-satisfying NRC requirements so as to avoid " codifying" or the, appearance of.

" codifying" INPD documents, b.

NRC will assess the effectiveness of industry's training and

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qualificatior, program improvements as' follows:

o-conduct operator _ licensing exams; o.

conduct operator requalification exams, consistent with-Comission policy and 10 CFR Part 55; L

o conduct ruiews of Ja sample of utility. training programs _to ensure use of performance-based training principles; o

monitor plant and industry trends and events involving personnel-errors; o

continue evaluation of industrywide training and qualification program effectiveness; and i

o conduct performance-oriented training inspections to assess the L

level'of Amowledge and qualifications of plant personnel..

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OC/INPOCoordinationPlan C

Appendix Three.

Page Three i

NRC will monitor INP0. activities in training and accreditation as c.

follows:

o receive periodic briefings and/or reports from INP0 and review a

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sample of applicable INPO documents;-

o nominate individuals who are not on-the NRC staff to' serve as.

members of the National Nuclear Accrediting Board with full

(

voting privileges; o

have an NRC staff member attend and observe selected National L

Nuclear Accrediting Board meetings with the INPO staff and/or i

the utility representatives; o-on request and with concurrence of the. utility, have NRC employees observe INP0 accreditation team site visits for the purpose of monitoring the effectiveness of the accreditation process.

Since accreditation teams are relatively small in i

size, it is anticipated the NRC would typically send only one 3

observer on any visit.

However, in.certain'circunistances, it may be appropriate,to send more than one.

INPO will obtain the

(

necessary concurrence from the host utility.

While specifying a maximum number to-be observed is not considered-necessary by either party, it is enticipated that NRC employees would observe-l approximately 20 percent of INP0 accreditation team visits; and j

o accompany INP0 on selected: operating plant evaluations (see Appendix 2).

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d.

NRC will continue to provide INP0: copies of NRC's performance-oriented inspection program, including applicable' inspection j

guidelines.

I e.

NRC will coordinate any. team. inspections with INP0 accreditation team i.

Visits and evaluations so as.to minimize the impact on the utility i

involved. On request and with concurrence of the utility, an INPO employee may occasionally observe an NRC inspection in this area.

f.

Since INPO has. Its own system for obtaining member corrective. action, NRC's role in pursuing corrective action of INP0-identified training and qualification reccamiendations will involve only significant

{

safety problems for which NRC has no other reasonable alternative in meeting its legislated responsibilities. The NRC intends to exercise.

discretion in enforcement matters related to training as described in j

the Cosumission Policy Statement on Training and Qualification of Nuclear Power Plant Personnel.

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_O, APPENDIX NLBGER FOUR COORDINATION' PLAN FOR-INP0/ INDUSTRY PARTICIPATION IN-NRC INCIDENT INVESTIGATION TEAMS 1.

The purpose of this plan is to establish guidance for INP0 or other industry representatives involvement with NRC Incident Investigation Teams (IITs).

It is also intended to minimize' duplication of event investigation efforts to reduce the "wact on the affected utility and to.

l promote dissemination of accurate o@ sting experience information-to the t

industry.

~'

2..NRC and INPO recognize the importance of MRC's incident investigation L

activities in. identifying significant operational experience

.information.

Participation by industry representatives on an IIT should result in a more complete and thorough understanding of. the factors contributing to the incident and actions needed to prevent recurrence.

In carrying out this plan, INPO recognizes NRC's responsibility and authority.

3.

In view of these considerations, INPO and NRC agree on the' following:-

a.

INPO or other industry representatives' participation on an !!T will be coordinated between-the Director of.the Office for. Analysis-and Evaluation of Operational Data (AE00) for the NRC and the.Vice.

President for Government Relations, INPO. A request for-participation by an industry representative can bs initiated-by i

either-party to this agreement.

1 1

b.

NRC will provide lhPO with a reasonable number of copies of the 4

current Incident Investigation. Manual and any other procedures which.

apply to the operation of an IIT.

c.

NRC will notify INPO promptly when an IIT is being activated and

. provide all necessary information to enable INPO to facilitate industry participation.

d.

INP0 will serve as the central point cf contact for coordination of; all issues and procedures regarding industry participation on IITs.-

e.

INP0 will recommend industry participants to the NRC.

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Appendix Number Four.=

Coordination Plan for Incident Investigation Activities-Page Two i

f.

proprietary information, conflicts of-interest, and waive

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compensation.- In addition, each industry nominee will. be requested which include procedures for handling differences in p opinion and the release of. investigation information.

statement will be provided to the NRC'as part of the nomination-This signed process.

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i INPO will provide assistance in coordinating with the affected g.

utility to obtain site access for the industry representative (s).

h.

INPO will work--with the'affected utility and.the IIT so that-the-Significant Event Report (SER), if any, being prepared by INPO on the event under investigation by an IIT is factually correct.

of the draft SER with the IIT and provide comments to IN To this 1

U/

lx 4Tctor 5titlBt/ Jr V

Executive DTree for Operations

. Pate U.S. Nuclear Re latory Commission '

resident Institute of Nuclear Power.0pered.ns 1

Effective Date: October 20,1988

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