ML20195H022
| ML20195H022 | |
| Person / Time | |
|---|---|
| Issue date: | 12/31/1986 |
| From: | NRC COMMISSION (OCM) |
| To: | |
| Shared Package | |
| ML20195H015 | List: |
| References | |
| NUDOCS 9906160251 | |
| Download: ML20195H022 (21) | |
Text
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ANNUAL REPORP KR 1986 CN ADMINISTRATION OF GOVERt@ENT i f
IN TIE SUNSHINE ACT OF 1976 l
1 l
\~
UNITED STATES
- NUCLEAR REGUIA'IORY CCl@(ISSION i
9906160251-870526 i PDR COMMS NRCC ,
CORRESPONDENCE PDR -,
i r-L . !
TABLE OF CONTENTS PAGE
- 1. Agency' Reporting ................................... 2
- 2. : Year.BeingLReported ................................ 2 3 '. Total Number of Meetings ........................... .2
- 4. . Exemptions'Used for Closing Meetings ............... 2 Budget Meetings ............................... 3 Congressional Testimony Meetings .............. 3 Briefings by Agency Staff ..................... 3
- 5. Description of Litigation .......................... 3
- 6. Notation Voting .................................... 3
- 7. Public Observation ................................. 4
- 8. Public Notice ...................................... 5
- 9. Public Interest .................................... 6
- 10. Releasing of Meeting Records ....................... 7
.11. Requests to Open ................................... 8 1
- 12. Formal Complaints .................................. 8
- 13. Ex Parte Communications ............................ 8
.14 . NRC Rule Change .................................... 9
- 15. Additional Information ............................. 9 APPENDIX A - Definition of Meetings APPENDIX B - Tabulation of Open and Closed Meetings by Month APPENDIX C - Tabulation of Meetings by Days' Notice APPENDIX D - NRC Regulations as Amended Implementing the Sunshine Act APPENDIX E - NRC Ex Parte and Separation of Functions Regulations APPENDIX F - Sample Page of Index
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l ANNUAL REPORT GOVERNMENT IN THE SUNSHINE ACT
- 1. AGENCY NAME: U.S. Nuclear Regulatory Ccrmtission
- 2. CALENDAR YEAR: 1986
- 3. MEETINGS: (See definitions.in Appendix A)
A. Total Number of Open . . . . . . . . . . . . . . . . . . . . . . . . 109 (69%)
l B. Total Number of Closed . . . . . . . . . . . . . . . . . . . . . . 42 (27%) )
C. Total Number of Partially Open/ Closed ........ 7 (4%)
Total Number of Meetings . . . . . . . . . . . . . . . 158 i i
The above meetings are counted by the number of separate agenda topics discussed as described in Appendix A. The same number of topics counted by the method used by Ccxmon cause results in the following number of meetings (see definitions in the Appendix):
i D. Total Sessions Open .......................... 86 j 1
E. Total Sessions Closed ........................ 30 F. Total Sessions Partially Open/ Closed ......... 18
)
Total Number of Sessions . . . . . . . . . . . . . . . . 134 Throughout this report, meeting ntunbers quoted are counts of individual items.
- 4. EXENPTIONS USED FOR CIDSING OR PARTIALLY CIL6ING MEETINGS (NWBER OF TIMES USED)
A. Exenption 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Exenptions 2 & 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 1
Exsptions 5 & 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Exemptions 5, 6 & 7 ........................... 1 l 1
s Exenptions 1, 3, 5 & 7 . . . . . . . . . . . . . . . . . . . . . . . . 1 Exemptions 2, 5, 6 & 7 ........................ 4 Total .................................... 49 l j
.The percent.of closed / partially closed meetings in 1986 remained the same as in 1985.
B. NBC's policy regarding the closing of meetings pertaining to the budget, Congressional testimony, and briefings of agency msnbers by staff is as follows:
(1) Budget Meetings. The U.S. Court of Appeals for the District of Columbia concluded in Ccmnon Cause v. NBC, 674 F.2d 921 (D.C. Cir.1982) , that there was no exestption under the Sunshine Act authorizing autcznatic closure of budget meetings. After Ccanon Cause, the Ccanission has not. convened any closed meetings to discuss the budget.
(2) Meetings at which Congressional testimony is discussed.
In 1986 there were no Ccanission meetings held to discuss Congressional testimony.
(3) Briefings of agency msnbers by NRC staff. Under the Ccanission's original Sunshine Act rules, adopted in 1977, all briefings by NRC staff of a quorum of the Ccirmission are considered to be the conduct of official Ccanission business and are therefore treated as meetings under provisions of the Act. Under the revised rule, adopted in 1985 but to date not inplemented, scme infonnational briefings would not constitute " meetings" for Sunshine Act purposes. To date, however, all briefings attended by a quorum of.Ccmnissioners have been treated as "nwetings." Of the total of 158 meetings held by the Ccmnission in 1986, there were 70 staff briefings; 49 of these briefings were held in public session,14 were in closed session and'7 were part open, part closed.
Meeting records of closed briefings are reviewed for retention / release as described in Section 10 below.
- 5. DESCRIPTION OF LITICATION There were no GISA cases involving NRC filed or otherwise in litigation during 1986.
- 6. NOTATION VOFING The Ccenission decision making process is varied. The Ccmnission votes on issues at Ccanission meetings. In addition, the Ccunission makes decisions on issues which do not require interactive discussion among all Ccanissioners in the presence of each other, thereby lending thanselves to a notation voting process. In this type of decision making, individual Ccmnissioners provide views (approval and/or ccanents) on proposed staff actions in writing to the Secretary. Typical exanples include responses to Congress'on GAO reports, agreements with Executive Branch agencies, export licenses, outgoing Ccmnission correspondence, proposed rulanaking actions, appointments and reappointments to advisory
comittees and notation of actions being taken or about to be taken under delegations of authority to the staff. A variation of J notation voting is utilized to obtain Ccmnissioners' views on agency business which by law requires fomal vote in an open meeting but is not of such a carplex nature as to require iterative conversation between comuissioners in the presence of each other.
After all participating Canmissioners have expressed their views in writing, public Ccanission meetings are scheduled for the purpose of a fomal vote -(ratification of Comnissioners' views on the issue), with or without discussion as desired. Exanples of matters which are decided in this manner include final rulanakings, responses to certain petitions and adjudicatory decisions.
- 7. PUBLIC mRMRVATION The Ccunission has continued its policy of providing meaningful public observation and understanding of open meetings through the following measures:
i A. 'Ihe ccmnission's main conference roan with a seating capacity !
of 130 and an adjoining conference rocan,' which seats 50 people, are provided with multiple overhead speakers and with a closed-circuit television system to ensure that every person desiring to attend a meeting can see and hear as well as any other attendee..
B. - Copies of any viewgraphs to be used in the course of meetings are made available to meeting attendees at the entrance to the conference roan prior to the connencement of the meeting.
- C. Copies of the principal staff papers scheduled to be' considered at the meeting are also provided to public attendees in the ' conference roan. These papers are also ,
f placed in the Public Doctanent Rocm (PDR) at the conclusion of
- the meeting, along with viewgraphs and other material handed out at the meeting. Additionally, copies of other papers referenced at the meeting are nomally released. ;During 1986, 160 meeting-related doctanents were released.
D. Public attendees 'are permitted to tape record Ccanission discussions of open meetings.
E. Transcripts dre made of all public Comnission meetings. These are unofficial transcripts which are not edited by the l Ccanissioners or by the staff and are generally placed in the Ccanission's Public Document Room within 72 hours8.333333e-4 days <br />0.02 hours <br />1.190476e-4 weeks <br />2.7396e-5 months <br /> of the I conclusion of the meeting. Transcripts of 116 open and partially open meetings in 1986 are available in the PDR.
F. -A pamphlet entitled." Guide to NBC Open Meetings" is available j in the Ccmnissioners'. Conference Roan and in the Public j Doctanent Room. The guide describes for public attendees the !
nomal seating arrangement for participants at the conference table, the general functional responsibilities of these i
t
participants, Comnission procedures for voting on agenda items, general rules for public conduct at Ccmnission meetings, and sources of additional information on the Ccmnission and its meetings.
G. A handbook of acronyms and initialisms (NUREG-0544, Rev. 2) is on file in the Public Document Room to further help the public in understanding the many technical terms discussed in Comnission papers.
H. It is the Camission's practice to allow camera and television coverage of open meetings and briefings without prior notification.- The use ot cameras, including television coverage, at open licensing proceedings conducted by hmC's licensing and appeal baards is also permitted.
- 8. PUBLIC NCTfICE Each meeting is publicly announced by the methods listed below.
A. Use of an autmatic telephone answering machine which provides a daily recorded message of information on the schedule of Ccmnission meetings, (202) 634-1498.
B. Publicly posting in the NRC Public Document Roan,1717 H Street, N.W., Washington, D.C. 20555, a copy of the announcement at the time it is sent to the Federal Register.
C. Mailing a copy of the announcement to those persons on a mailing list maintained for that purpose (currently over 175 names and addresses) at the time it is sent to the Federal Register.
D. Publishing in the Federal Register the time, date and location of the meeting, the topic (s) to be discussed, whether it is open or closed, and the name and telephor.e number of a contact.
E. Submittal of a copy of the Federal Register notice to the news media (AP, UPI, Energy Daily, Nucleonics Week, the Washington Post, and Nuclear Industry Magazine) at the time it is sent to the Federal Register.
F.- Telephoning interested parties when public meetings of high public interest are scheduled with less than 7 days' notice.
The Carmission is sensitive to the need for reasonable advance notice of Ccmnission meetings. Its policy is to hold scheduling of additional meetings and rescheduling of meetings to a mininum.
However, the Ccmnission continues to be confronted with the requirenent to consider urgent matters in a t.unely manner. The meeting schedule is constantly adjusted to ensure the business of the Ccmnission is not delayed, taking into account Ccmnissioner availability and the urgency and significance of the meeting topic.
Appendix C contains a tabulation of the number of days' notice for NRC meetings. In sunmary, 73 percent of the 1986 Conmission meetings (116 of 158) were announced with 7 or nore days' notice while the remaining 27 percent were announced with less than 7 days' notice. The following observations are made concerning the 42 "short notice" Cmmission meetings held during 1986.
- The meetings emprised 29 open and 13 closed.
- Twenty-five of the open meetings were affirmation sessions at which the Camission ratified (affirmed), with little or no discussion, the previously declared views of individual Cm missioners. Of the remaining 4 open or partly open meetings held on short notice, 2 meetings dealt with the Chernobyl accident; 1 meeting dealt with the Kerr-McGee/
Sequoyah Fuels accident and 1 meeting, which had been previously announced and rescheduled on short notice, involved the discussion and vote on the full power operating license for Catawba-2. l l
- 'Ihirteen meetings were closed with less than 7 days' notice !
and while every effort is made to avoid all short notice meetings, these closed meetings did not affeet public participation. The Camission continues to strive to announce all open and closed meetings with at least 7 days' notice ,
whenever possible, j i
whenever a short-notice meeting is added to the Ca mission's 1 schedule, inmediate notification is provided to the public through l NBC's automatiic telephone answering machine, public posting of the meeting in the Public Document Rocm and, where appropriate, telephone notification to news media and to interested parties, to .
advise them of the additional meeting. Notice is also prmptly l subnitted to the Federal Register.
- 9. PUBLIC INTEREST The Ca mission, in adopting its Sunshine regulations, explained how it would enploy the public interest criterion in exercising agency discretion to open meetings when an exenption is available:
"Section 9.104(a) of the rules, like the proposals of several other agencies gives presumptive but not conclusive force to the determination that an exemption is available in deciding the public interest question. The fact that a meeting does co m within a specific provision of Section 9.104(a) indicated that the Congress recognized a public interest in closing, not opening, meetings of this character.
The Cmmission staf f has been instructed to consider the public interest in recomending to the Cmmission whether or not to close particular meetings. The Cm mission believes that this internal proceduro and the awareness of the Cmmissioners thanselves and their advisors of public interest concerns will ensure adequate consideration of the public
interest before any decision to close a neeting is nude, .
without need for a formal procedure of the type proposed." 42 Fed. Reg.12876 (March,1977) i In the inplementation of its rules, the Ccmnission calls upon the staff to consider the public interest factors in any recomendations to the Ccmnission for closed neeting discussions.
The Ccmnissioners review staff's recamendations for closed neetings, consider the advice of the General Counsel as to whether the item is properly closeable, and discuss anong themselves the necessity for precluding public attendance, including the interest j of the public in the subject matter. Implicit in this procedure is !
the understanding that a vote to close represents the Ccunission's determination that the public interest does not require an open meeting.
- 10. RELEASING OF TRANSCRIPTS, RECORDINGS AND MINUIES OF CU3 SED MEE7fINGS l A. The policy of the Ccxmtission is to make available to the public the record of all meetings except for such itms of l discussion as the agency detennines to contain information j which may be withheld under the provisions of Section 552b(c),
the Government in the Sunshine Act. To ensure that the determinations made are correct, the Cm mission requires three independent levels of review for each transcript or electronic ,
recording under consideration for release. Normally, an 1 initial review is performed by the staff office which was the proponent of the briefing or discucsion. 'Ihe second review is accmplished by the Office of the General Counsel (OGC) .
Finally, the Ccmnission reviews the record and makes the final determination regarding public disclosure. The review process has resulted in the release of 278 transcripts of closed meetings to the Ccmnission's Public Document Rocm since the enactment of the Sunshine Act.
'Ihe Ccmnission's rules, in accordance with the Sunshine Act, 4 permit records of closed adjudicatory meetings to be kept in minutes, and procedures exist for the review of such minutes.
However, all closed adjudicatory meetings held in 1986 were recorded electronically and transcribed verbatim.
B. Index Systems and Tabulation of Requests for Transcripts, Recordings and Minutes (Open and Closed)
The Nuclear Regulatory Ccmnission indexes and abstracts all documents placed in the PDR including transcripts of meetings and meeting sunmaries. A daily Accession List of this material, with monthly cumulations, is made publicly available in the Camission's Public Document Feading Rocm and nailed on a subscription basis to interested parties and citizens.
l Appendix F contains a sample entry frcm the PDR Monthly l Accession List and Appendix F1 identifies and describes the factors that are indexed.
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l Transcripts of all public Cmmission twetings are placed in the Public Document Rom within 72 hours8.333333e-4 days <br />0.02 hours <br />1.190476e-4 weeks <br />2.7396e-5 months <br /> following the meeting. During 1986, members of the public examined 783 transcripts of public Cmmission meetings.
\
During 1986, NRC received 7 requests for the transcripts of~43 l closed meetings. Each transcript was reviewed by the proponent office, the General Counsel's office, and the Cmmissioners to determine whether any portion.was releasable.
All of the transcripts were withheld in their entirety under Exmptions 2, 5, 6, 7 and 10. The average time to process and respond to these requests was 96 days, principally due to the time required to process multiple requests for 40 transcripts.
- 11. REQUESTS TO OPEN The Cmmission's rules describe the procedure to be followed by a person who wishes to request a change in the status of a closed i meeting. 10 CFR 9.106(b) and (c) provide that "any parson" may ask the Cm mission to reconsider its decision to close a meeting by filing a petition for reconsideration. Any such petition must i specifically. state the grounds on which the petitioner believes the Cm mission decision is erroneous, and the public interest in opening the meeting. All requests, formal or informal, are referred to the Cmmission for decision. Filing such a petition does not autcmatically act to stay the effectiveness of the Cmmission decision or to postpone the meeting in question.
No requests to open a closed Ca mission meeting were received in 1986.
- 12. FOPMAL C04PIADES There were no formal cmplaints filed in 1986 relating to closed Cmmission meetings.
- 13. g PARTE CCEMUNICATIONS On March 26, 1986, the Cmmission published in the Federal Register (51 FR 10393) a proposed rule that would revise the Camission's current rules on ex parte cmmunications and separation of functions. The proposed rule would conform the Cmmission's provisions regarding ex parte cmmunications between adjudicators and persons outside tee agency to the requirements of the Government in the Sunshine Act, 5 U.S.C. 557(d). The pir. posed rule also would revise the present separation of functions rule to preclude private Cm mission cmmunications with the NRC staff members about a matter at issue in a formal adjudicatory proceeding only if the staff member is an investigator or litigator in the proceeding. Under the current rule, the Cm mission is precluded frm such private cmmunications with any member of the NRC staff whether or not they are involved in a proceeding. The Cmmission expects to review a final rule during 1987.
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- 14. . NBC RULE CHANGE {
l In May,1985, the Carmission issued, as an interim effective rule I
with request for caments, new regulations implementing the !
Sunshine Act. Prior to the rule change, the Ccmaission's i
. regulations were considerably more restrictive than the Sunshine j Act required; and the Ccanission had interpreted than still more l restrictively. Wat restrictive approach ultimately proved to be J out of step with the legislative history and with the Interpretive Guide to the Sunshine Act (R. Berg and S. IGitzman,1978), the leading authority on the act. In 1984, the unanimous decision of .
the Supreme Court in Federal Ccmminications Ccunission v. ITT World Comunications, .104 S. Ct.1936, held, as the Interpretive Guide .I
.had stated, that a " meeting" for Sunshine Act purposes means a l discussion "sufficiently focused on discrete proposals or issues as to cause or to be likely to cause the individual participating members to form reasonably finn positions regarding matters pending or likely to arise before the agency."
The NBC to date has not inplemented the rule; that is, all discussions of agency business by a quorum of Camiissioners have taken place in Sunshine Act " meetings." he Ccanission, after receiving ccmnents on the rule and a briefing fran its Office of General Counsel on January 17, 1986, decided to defer action pending ccupletion of the study of the issue by the American Bar Association. In February 1987, the ABA House of Delegates approved a reccmnendation establishing guidelines for determining which types of agency discussions fall cutside the statutory definition of a " meeting." The ABA's action confirms the legal soundness of the NBC's reading of the Sunshine Act's requirements. The Carmission, which has already received public connent on the rule change, will study the ABA action before making a decision on a final Sunshine Act rule.
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- 15. ADDITIONAL INEORMATION This report was prepared in the Office of the Secretary, U.S.
Nuclear Regulatory Ccanission. Carments or.irquiries on this report or related matters are invited and should be addressed to:
Office of the Secretary U.S. Nuclear Regulatory Ccanission 1717 H Street, N.W.
Washington, D.C. 20555 Telephone inquiries can be made to the Office of the Secretary on (202) 634-1410.
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f APPENDICES A. Definition of Meetings B. Tabulation of Open and Closed Meetings by Month C. Tabulation of Meetings by Days' Notice D. NBC Regulation as Amended Implementing the Sunshine Act (10 CPR Sections 9.100-0-9)
E. NBC Ex Parte (10 CFR Section 2.780) and Separation of Futetions ReguTacions (10 CFR Section 2.719)
F. Sample Entry from Index F1. Description of Index Factors 1
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p V .
l APPENDIX A Definition of Meetings NBC's' Statutory Meeting Requirement The Nuclear Regulatory Ccumission is a five-member independent i
regulatory ccanission established by the Energy Reorganization Act of 1974 (P.L.93-408). It is responsible for assuring the protection of the public health and safety through the' licensing and regulation of the uses of nt! clear materials. Section 201(a) (1) of the Energy Reorganization Act, 42 U.S.C. 584(a) (1), provides that " action of the Commission shall be taken by a' majority vote of menbers present."
! Meetings Defined by Sunshine Act Under NBC regulations, revised in 1985, a " meeting" is defined as "the deliberations of at least a quorum of Ccmnissioners where such deliberations determine or result in the joint conduct or disposition of j official Ccunission business,. that is, where discussions are sufficiently focused on discrete proposals or issues as to cause or to be likely to cause the individual participating members to form reasonably firm positions regarding matters pending or likely to arise before the agency. Deliberations required or permitted by S 9.105, 9.106, or 9.108(c) do not consitute ' meetings' within this definition."
l 10 CFR S 9.101(c) of NBC's Sunshine Regulations (see Appendix D) . This revised definition has yet to be inplemented. To date, the Ccmnission has treated all discussions of agency business by a quorum of Ccanissioners as " meetings". for Sunshine Act purposes.
For purposes of tabulating meetings in this report, each agenda iten scheduled for discussion or briefing is counted as a meeting. Each session at which one or more Ccmnission papers were scheduled for l affirmation under the limited notation voting procedure described ,
elsewhere is counted as a meeting. !
Page one includes counts of meeting statistics reported using the above definition, and also using the "Ccanon Cause method." The latter method counts as one meeting a single meeting, whether that meeting lasts one ,
hour or one day and irrespective of the ntsnber of agenda itens !
considered. Both methods are reported here to allow ccmparisons of .
statistics by those who use the Ccanon Cause method. l 1
APPENDIX B TABUIATION OF OPEN AND CLOSED MEETINGS BY MONI11 CY 1986-1985 Averages 10.8 4.7 .04 15.9 OPEN CIOSED OPEN/CIOSID 'IUrAL Jan '(NBC) 13 9 0 22 (CC) 10 7 2 19 Feb (NBC) 10 3 1 14 (CC) 9 2 1 12 Mar (NBC) 10 5 1 16 (CC) 8 4 2 14 Apr (NIC) 6 1 1 8 6 1 1 8 (CC)
May (NBC) 10 4 0 14 7 1 3 11 (CC)
Jun (NBC) 12 2 1 15 (CC) 10 2 1 13 Jul (NBC) 10 6 1 17 7 4 3 14 (CC)
Aug (NBC) 3 1 0 4 )
2 0 1 3 !
(CC) 0 13 j Sep (NBC) 8- 5
-6 4 1 11 (CC) 9 0 1 10 )
Oct (NBC) 6 0 1 7 l (CX')
13 4 0 17 Nov (NBC) 10 3 1 14 (OC) 1 5 2 1 8 Dec (NBC) 5 2 1 8 (CC)
YEAR 'IO DATE 109 42 7 158 (NBC) 86 30 18 134 (CC)
"oc" = Comon cause mthod of counting.
APPENDIX C TABUIATION OF MEETINGS BY DAYS' N0 RICE CY 1986' DAYS' NOTICE OPEN CICSED CIGED/OPEN TC7FAL 12 or more 65 -23 7 95 J I
11- 2 1 0 3 0 I 10 0 0 0 9 0 0 0 0 8 3 1 0 4 '
7 10 4 0 14 Subtotal 80 29 7 116 6 5 3 0 8 5 0 3 0 3 1
4 0 2 0 2 '
3 0 0 0 0 2 0 0 0 0 1 4 1 0 5 Less than 1 20 4 0 24 Subtotal 29 13 0 42 GPAND TUIAL 109 42 7 158 1
AP M m D 9.103 9.90 PART 9 o PUBUC RECORDS lc) %eting" means the dehberatiuns of at least a quorum of Commisuoners where such dehberations determine or result m the joint conduct or disposition of official Commission business. that is f where discussions are sufficiently g focused on dacrete proposals or issues
. a as to cause or to be hkely to cause the
- individual participating members to form rcesonably~ firm positions regardin5 mette s pendmp or hkely to anse before the agency. Dehberations required or permitted by I 9105. 9106. or 9.10Nc) do a not constitute " meetings
- within this
._ definition.
1 l
" id) " Closed moeung* monas a mestag of the Comadaales closed le, pubtle eie.
servatten as provided by I 9.104.
sol "Open moeung" manus a meeting of the Conamistise open to public ob.
servauen pursuant to this subpart.
(f) " Secretary" means the 2e:retary 2 to the Commission.
2 (g) " General Counse!"means the Oen.
'" eral Counsel of the Commiestem as pro.
f vided by secuen 2 Sib)'of the Ateente D.
+e ergy Act of 1984 and section agttf) of
' the Energy Reorgaansation Act of 1914.
and. until auch time as the oSces of that olBeer an in the same location as those of the Commisalon, any member of his ofBee specially designated in writing hy him pursuant to this sobeectles le carry out his rerponstbaatles under this subpart.
I I '
[ Subpart C-covernment in the Sunshine Commissioners shad not jointly con.
Act pegulations duct or dispose of Commission bustnesa
$ 9.100 Seepe of Subp* in Commission moeungs other than in This subpart prescribes precedures accordance with this subpart. Eueept as pursuant to which NRC moeungs shall provided la l 9.104. every peruon of every be open to pubtle observausa pursuant to meeting of the Commisalon shall be open l the prettstons of S U.S.C. Sec. $$2b. 'Due to pubtle observausa, j subpart does not afect the procedures I 9.M3 Cener h h punuant to which NRC records are made g available to the public for inspecuon and 'open Commlaston meetings are held in a '
g copying which remain governed by sub*
location such that there to reasonable l t part A. cacept that the esempuant set space, and adequale visibility an$ acous. !
Z icrth in i 9.104t a) shall gover in the case tics for pubtle observaden. No additional
- of trur request made purvuant to l 9.3 right to participate la Commission meet.
Angs is granted to any person by this sub.
to copy cr inspect the trartscripts. record. part. An open meeting is not part of the ings or minutes dese.rtbed in i 9.103, formal or informal record of decialon of l Access to documents considered at NRC the matters discussed therein except as I matt.tnga ahan continue to be governed otherwise required by law. 8tatementa of views or expressions of optalon made by ;
by Subpart A ut this Part. CommWonen or N empkyees at open i
$ 9.161 DeAnienene. meetmas are not intended to represent As used in this subpart: -
final determinsuons or beuafs. i
- f a) " Commission" means the ecliertal body of Sve Commissioners or a quorum thereof as prov'.Jed by section 201 of the -
'."" Such stat 4ments may not be mergy Reorgantastion Act of 1974. or : pleaded, cited, or relied upon before !
any subdivision of that couegial body su. ; the Commisalon or in my proceeding thortaed to act on its behalf, and shall nog a under Part 2 of these regulatlorts (10 - ,
mean any body not cornposed of members ; CFR Part 2) except as the CornmLssion of that couettal body. 3 may dirMt.
ib) " Commissioner" means sa indl. b=
vidual who is a member of the Commas.
sion.
9 11 October 31.1985 treset
I e -
PAHT 9 e PUBUC RECORDS Members of the pubhc attend ras.teu imaston of personal prnacy. vote of the Comrrussioners shall be ins open Commission meetings may tivi disclose the irientity of a confiden.
g taken with respect to each CommiS' use small electronic sound recorders to ti4l source ar.d. in the case of a record sn gng a Mon or poruona of
~ lewrd the meeting. but the use of compiled by a criminal law enforce. which are proposed to be closed to the 8 ther electronic recording equipment ment authority in the course of a public pursuant to l 9.104, or which re.
$ snd camere requires the advance criminalinvestigation. or by an agency spect to any information which la pro.
conducting a lawful national securtty posed to be withheld under i 9.105(c).
'bwritten soproval of the Secretary, intelligence investigation. confidential A single sote may be taken with re.
~ information furnished only by the spect to a series of meetings. a portion t 9.108 Cloned meetings. confidential source. (v) disclose inves. or portions of which are proposed to (a) Except shere the Commission tigative techniques and procedures, or (vi) endanger the life or physical be cMsed to the public or with respect finds that the public interest requires safety of law enforcernent personnel; to pny information concerning such otherwise. Commission meetings shall serl., af mactings, scL long as each be closed, and the requirements of (8) f Reserved) tratu.g in such series involves the (9) Disclose information the prema.
119.105 and 9.107 siisti not apply to any information pertaining to such ture disclosure of which would be same particular matters and is sched.
likely to significantly frustrate imple- uled to be held no more than thirty meeting otherwise required by this days after the initial meeting in such subpart to be disclosed to the public. mentation of a proposed Commission e s &H* * "re" .
where the Commission determines in action. except that this subparagraph c & n accordance with the prucedures of shall not apply in any instance where c rded and no proxies shall be al-I 9.105 that opening such meetings or the Commission has already disclosed *
. portions thereof or disclosing such in* to the public the content or nature of (b) Within one day of any vote taken
~
formation. is likely to: its proposed actica, or where the Com- pursuant to paragraph (a) of this sec-(1) Discione matters that are (1) spe* mission is required to make such dis- tion 19.106(a) or 19.108(c) the Secre-cifically authorized under criteria es- closure on its t an initative prior to Lary shall make publicly available in tablished by an Executive order to be taking final action on such proposal: the Public Document Room a written kept secret in the interests of national or copy of such vote reflecting the vote defense or foreign policy, and (11) in (10) Specifically concern the Com- of each member on the question. If a fact properly classified pursuant to mission's issuance of a subpoena. or portion of a tr.eeting is to be closed to such Executive order; the Commission's participation in a the public, the Secretary shall. within (2) Relate solely to the internal per* civil action or proceeding or an action one day of the vote taken pursuant to sonnel rules and practices of the Com- or proceeding before a state or federal paragraph (a) of this section or misalon: administrative agench, an action in a I 9.106(a), make publicly available in (3) Disclose matters specifically foreign court or interr.ational tribunal, the Public Document Room a full exempted from disclosure by statute or an arbitration, of the initiation, conduct or disposition by the Commis, written explanation of its action clos-other than 5 U.S.C. 552) provided g (that such statute (1) requires that the sion of a partlevitt case of formalsing the portion together with a list of g
a matters be withheld f rom the pubile in agency adjudication pursuant to 5 all persons expected to attend the U.S.C. 554 or otherwise involving a de. meeting and their affiliation.
a such a manner as to leste no discre- (c) The notices and lists required by
- tion on the issue, or (11) establishes termination on the record after an op. paragraph (b) of this section to be I articular p criteria for withholding or gportunity for a hearing pursuant to made public may be withheld from the refers to particular types of matters to Part 2 or similar provisions.
be withheld: (b) Examples of situations in which public to the extent that the Commis-Commission action may be deemed to sion determines that such information (4) Disclose trade secrets and com:
mercial or financial information ob- be significantly frustrated are: (D ff itself would be protected against dis.
Lained from a person and privileged or opening any Commission meeting or closure by i 9.104(a), Any such deter.
mination shall be made independently confidential, including such informa- negotiations would be likely to disclose tion as defined in i 2.790(d) of this informstion provided or requests made of the Commission's determination to the Commission in confidence by pursuant to paragraph (a) of this sec-(5) Involve accusing any person of a persons outande the Commission and tion to close a meeting, but in accord.
title; crime, impc. sing a civil penalty on anF which would not have been provided ance with the procedure of that sub.
person pursuant to 42 U.S.C. 2282 or or made otherwise; (2) if opening a section. Any such determination, in-42 U.S.C. 5843. or any revocation of meeting or disclosing any information cluding a written explanation for the any license pursuant to 42 U.S.C. Sec. would reveal legal or other policy action and the specific provision or 2236, or formally censuring anF sdvice. public knowledge of which provisions of i 9.104(a) relied upon.
person could substantially af fect the outcome must be made publicly available to the (6) Disclose information of A person- or conduct of pending or reasonably e xtent permitted by the circum-al nature where such disclosure would anticipated litigation or negotiations; stances.
constitute a clearly unwstranted inva. or (3) if opening any meeting or dis- t 9.104 Persons arrected and motions for slon of personal privacy; closing any information would reveal "" *
(1) Disclose investigatory reports information requested by or testimony (a) Whenever any person whose in-compiled for law enforcement pur* or proposals to be given to other agen.
poses, including spect!!cally er. force- cies of government. including the Con. terests may be directly affected by a ment of the Atomic Energy Act of portion of a meeting requests that the stess and the Executive Branch before Commission close such portion to the 11954, as amended. 42 U.S.C. 2011 et the requesting agency would receive public for any of the reasons referred seq., and the Energy Reorganization the information, testimony or propos. to in paragraphs (a) (5). (6). or (1) of Act of 1974. as amended. 42 U.S.C. als. The examples in the above sen.
5b01 et seq.. or information which if tence are for illustrative purposes only 19.104, the Commission, upon request of any one Commissioner. shall vote written would be contained in such re. and are not intended to be exhaustive. by recorded tote uhether to close such cords. but only to the extent that the production of such records or informa- 5 9.105 Comminion procedures. meeting.
tion would; ti) Interfere with enforce. (a) Action under l 9.104 shall be mer.t proceedings, til) dentive a person taken only when a majority of the of a right to a fair trial or an impartial entire membership of the Commission adled. cation,ini) constitute an unmar. sotes to take such action. A separate 9 12 September 1,1932
"3" PART 9 o PUBLIC RECORDS (b) Any person may petition tne change in one of the preceding, and orI any vide a full and accurate summary actions taken, and the reasons the name and phone number of the of.
Commission to reconsider its action flesal destanated by the Commission to therefor. including a description of under i 9.105(a) or paragraph (a) of respond to requests for information each I the views expressed on any this section by filing a petition for re. about the meeting, shall also be sub. stem and the record of any rolicall consideration with the Commission mitted for publication in the Ftorau. Y te (reflecting the vote of each Com.
within seven days after the date of missioner on the question). All docu.
such action and before the meeting in Rrcisn.t. (d) '1he public announcement re. ments considered in connection with question is held. any action shall be identified in such culted by paragraph (a) of this section minutes.
(c) A petition for reconsideration e mist of the Secretary filed pursuant to paragraph (b) of this (li Puolicly posting a copy of the (b) The Commission shall make section shall state speelfically the promptly available to the public. In document in the Public Document the Public Document Room. the tran. '
grounds on which the Commission Room at 1717 H Street. N.W.. Wash, action is claimed to be erroneous, and ington. D.C. and. to the extent appro. script, electronic recording. or minutes (as required by paragraph (a) of this shall set forth, if appropriate, the priate under the circumstances:
public interest in the closing or open. W Maulns a copy to all persons secti n) of the discussion of any item ing of the meeting. The filing of such .^whose names are on a mailing list on the agenda, or of any item of the a petition shall not act to stay the of. maintained for this purpose; ustimony of any witness received at t the meeting, except for such item or fectiveness of the Commission action 3 Submitting a copy for possible or to postpone or delay the meeting in f u(blication to at least two newspapers items of such discussion or testimony question unless the Commission orders %of general circulation in the Washing, as the Commission determines pursu.
otherwise* ton. D.C. metropolitan area; ant to paragraph (c) of this section to (4) Any other means which the Sec. contain information which.may be 0 9.197 Publie announcement of Commte. retary believes will serve to further withheld under i 9.104 or I 9.105(c).
sien meethigs. Inform any persons who might be in. Copies of such transcript. or minutes er a transcrfation of such recording (a) In the case of each meeting. the terested.
Secretary shall make public announce. (e) Action under the second sent:nce disclosing the identity of each speaker, ment, at least one week before the of paragraph (a) or (b) of this sectiongshall be furnished to any person upon shall be taken only when the Commis.2 payment of the actual cost of duplica.
meeting, of the time, place and sub. s!on finds that the public interest in tion or transcription as provided in ject matter of the meeting. whether it prompt Commission action or the need I 9.14. The Secretary shall maintain a is to be open or closed to the public, to protect the common defense or se.9CC"nnlata verbatim copy of the tran.
and the name and phone number of a maplete copy of the mmutes, the official designated by the Commis. :urity or to protect the public health "6r a c%npi(te electronic recording of alon to respond to requests for infor 3r safety overrides the public interest each meeting, or portion of a meeting, mation about the meeting. Such an. in having full prior notice of Commis. closed to the public. for a period of at nouncement shall be made unless a *sien meetings. least two years after such meeting, or majority of the members of the Com. until one year after the conclusion of mission determines by a recorded vote = any Commission proceeding with re-that Commission business requires O 9.108 Certifteetion. treneeripes, record. spect to which the meeting or portion that such meeting be called at an ear inse and minutes, gas held, whichever occurs later, lier date. In which case the Secretary (a) For every meeting closed pursu. ~ (c)In the case of any meeting closed shall make public announeetnent og ant to paragraphs (a)(1) through (10) pursuant to 5 9.104.the Secretary of the the time, place and subject matter of of I 9.104 and for every determination Commission upon the advice of the such meeting, and whether open on General Counsel and after consultation closed to the public, at the ear!1est pursuant to l 9.105(c). the General Counsel shall publicly certify at the with the Commission shall determine gractical time. time of the public announcement of which.if eny. portions of the electronte the meeting, or if there is no public J recording. transcript or minutes and (b) The time or place of a meeting announcement at the estilest practical 3 which.if any. items ofinformation may be changed following the public time, that, in his or her opinion, the ; withheld pursuant to l 9.10$(c) contain announcement required by paragraph meeting may be closed to the publics information which should be withheld (a) of this section only if the Secretary publicly announces such changestive ag provision gand shall state unless theeach relevant Commission exempi
' request for pursuant the recordmg. totranscript, i 9.104.orin the event the earliest practicable time. The sub *9 votes pursuant to 6 9.10S(c) that such minutes is received withm the period jevt matter of as meeting or the deter.
mination of the Commission to open ,closure certification is protected against dis- durina which the recording. transcript.
by I 9.104(a). A copy of such or minutes must be retained. under
- or close a meeting. or portion of a certification, together with a state. subsection (b) c! this section.
meeting. 'o the public. may be ment from the presiding officer of the *
, changed following the public an. meeting setting forth the time and. "Nd) If at some later time the Com.
w nouncement required by this subase. place of the meeting, and the persons mimon determines that there is no
$ tion only if: (11 A majority of the present, shall be retained by the Com. further justifleation for withholding entire membership of the Commission any tran.<cript. recording or other item determines by a recordsd vote that mission. tain a The Commission shall main. of ir.fotuation from the public which complete transcript or electron.
Cocamission business se requires and le recording adequate to record fullydhas orcuously been vdtnheld. then that nc earlier announcement of the the proceedings of each meeting, or.such mformation shall be made asnila.
change was possible, and (9) the Secre. portion of a meeting closed to the"ble.
tary publicly announces such change public. except that in the case of a[g ,,g, and the vote of each member upon g ' P" " 8 ""**
such change at the earliest practicable meeting, or portion of a meeting.. The Secretary shall annually report closed to the public pursuant to para. tc the Congress trgstdtng the Com.
time, (r) immediately following each graph (c)(101 of 19.104, the Commis, missioy.'s compliance with the Gosern.
public announcement required by this,'sion shall maintain or a setsuch a transcript. ment m the Sunshine Act includmg a sectiun, notice of the time. place, and or recording of minutes.
minutes shall fully and clearly de.
Such tabulation of the total number of open subject matter of a meeting, whether meetin&s. the total number of closed the meeting 14 open nr closed, any scribe all matters discussed and shall May 31.1985 S13
9.109 PART 9
- PUBUC RECORDS meetinsa, the reasons for closing such I meetings and a description of any liti-
.f gation brought against the Commis-
- sion pursuant to the Government in
~
the Sunshine Act, including any cost b assessed against the Commission in
- ; such litisation Iwhether or not paid by (the Cornmission).
m..
1 i
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1 i
i i
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I APPENDIX E 1785si 9
~ 3 0 tai PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS (d) This section does not apply to .
Ex Paaft CoWUNICAT1oNs communications authortzed by part- Ig) In the case of an application for I I 2.780 Es parte communicalleas. graph (e) of this section. to the dispo- a license under Part 60 of this chapter sition of ex parte matters authorized (relatmg to disposal of high level ra.
(a) Except as provided la paragraph by law. or to commumcations request- dioactive wastes in geologie repositor-l (e) of this section, neither (1) Commis. ed by the Commission concerning: les). this part requires a proceeding on stoners, members of their immediate (1)Its proprietary functions: ,
- the record prior to the issuance of a staffs. or other NRC officials and em. (2) General health and safety prob. 3 construction authorization. Unless the ployees who advise the Commissioners lems and responalbilities of the Com 3 Commission orders otherwise, the issu-in the exercise of their quasi judicial a ance of a construction authorization mission; or functions will request or entertain off ; f or a final decision to deny a construc-the record except from each other, nor (3) The status of proceedings.
(e) In any adjudication for the deter, tion authorization) shall be deemed.
(2) any party to a proceeding for the for purposes of this section to termi-lasuance, denla!. amendment, transfer, mination of an application for inillal nate all. proceedings on the record renewal. modification, suspension, or licensing, other than a contested pro- then pending before the NRC with re-revocation of a license or permit, or Z ceeding. Commissioners. members of spect to such application.
~ any officer. employee, representative. O their immediate staffs and other NRC ~
O or any other person directly or indl. ~ officials and employees who advise the
- . rectly acting in behalf thereof, shall m Commissioners in the exercise of their 8 submit off the record to Commission. quasi judicial functions may consult
' ers or such staff members. officials, the staff, and the staff may communi-a and employees, any evidence, explana. cate with Commissioners. members of tion, analysis, or advice, whether writ. their immediate staffs and other NRC ten or oral, regarding any substantive officials and employees who advise the '
matter at issue in a proceeding on the Commissioners in the exercise of their record then pending before the NRC quasi judicial functions.
for the issuance, dental, amendment. (f) The provisions and limitations of transfer, renewal. modification, sus. this section applicable to Commission-ers, members of their immediate pension, or revocation of a license or staffs, and other NRC officials and permit. For the purposes of this sec. employees who advise the Commis-tion, the term " proceeding on the stoners in the exercise of their quasi-record then pending before the NRC" judicial functions are applicable to shallinclude any application or matter members of the Atomic Safety and IJ-which has been noticed for hearing or censing Appeal Board, members of concerning which a hearing has been their immediate staffs, and other NRC requested pursuant to this part. officials and employees who advise members of the Appeal Board in the exercise of their quasi judicial func-IIO"#*
(b) Copies of written 'communica- -
tions covered by paragraph (a) of this section shall be placed in the NRC public document room and served by the Secretary on the communicator and the parties to the proceeding in-volved.
(c) A Commissioner. member of his immediate staff or other NRC official or employee advising the Commission-ers in the exercise of their quast judi.
cial functions. to whom is attempted
- any oral communication concerning a any substantive matter at issue in a
! proceeding on the record as described
- in paragraph (a) of this section, will
~ decline to listen to such communica-tion and will explain that the matter is pendlns for determination. If unsuc.
cessful in preventing such communics.
tion, the recipient thereof will advise the communicator that a written sum-mary of the conversation will be delly-ered to the NRC pubtle document room and a copy served by the Secre-tary of the Commission on the com-municator and the parties to the pro-ceeding involved. The recipient of the oral communication thereupon will make a fair, written summary of such communication and deliver such sum-mary to the .NRC public document room and serve copies thereof upon the commumcator and the parties to the proceeding invohed.
2 34a December 30,19820ent) ww messt.m
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