ML20205F437
| ML20205F437 | |
| Person / Time | |
|---|---|
| Issue date: | 03/26/1999 |
| From: | Lohaus P, Salomon S NRC OFFICE OF STATE PROGRAMS (OSP) |
| To: | |
| Shared Package | |
| ML20205F434 | List: |
| References | |
| SA-800, NUDOCS 9904060258 | |
| Download: ML20205F437 (11) | |
Text
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OSP Procedure Approval Providing NRC PredeciSional.. Documents to Agreement States - SA-800
, Issue Date: March 26, 1999 Expiration Date: March 26, 2000
(
Paul H. Lohaus .
g 3 Director, OSP / Date: CO
()-QNi ', g d4W }/ - 'l Deputy Director, OSP Date:
Stephen N. Salomon / !
Procedure Contact, OSP Date: j)f/
%'.vi,3bt0V\ il 00A!ED%QW%
NOTE The OSP Director's Secretary is responsiblefor the maintenance of this master copy document aspart ofthe OSP Procedure Manual Any changes to theprocedure willbe the responsibility of the OSP Procedure Contact. Copies ofOSPprocedures willbe distributedfor information.
9904060258 990326 PDR STPRG ESGGEN PDR
- h Procedure
Title:
Page: 1 of 3 Providing NRC Predecisional Documents to Issu Daw
\n***. Agreement States 3/26/99 Procedure Number: SA-800 I. INTRODUCTION This procedure describes the process for providing NRC predecisional documents to Agreement States.
II. OBJECTIVES A. Establish procedures to be followed by NRC staff for providing NRC predecisional documents to Agreement States.
B. Establish guidance on the types of predecisional documents that may be routinely ,
provided to Agreement States, the kinds of predecisional documents that should be I limited to distribution on a "need-to-know" basis, and on the labeling of predecisional l documents. l C. Establish procedures to notify the Commission of release of an NRC predecisional document by an Agreement State.
III. BACKGROUND A. Commission policy recognizes both the interest of, and need for, early and substantive I i
involvement by Agreement States in the development of new or revised rules, guidance documents, or other materials program documents. As a part of this effort, NRC shares NRC predecisional documents with Agreement States for review and comment. As predecisional documents, they are exempt from public disclosure under Federal statutes and NRC rules (Exemption 5, Freedom of Information Act (5 U.S.C. ! 552(b)(5)) and j 10 C.F.R. Il 2.790(a)(5) and 9.17(a)(5)). When providing predecisional documents to i Agreement States, NRC requests that Agreement States also protect the documents from i public disclosure.
l B. Current practice is to provide predecisional programmatic documents, such as drafts of l miemaking plans, proposed and final mles, and licensing and inspection guides to all Agreement States. Other, more sensitive, predecisional documents that pertain to I metters such as escalated enforcement actions, allegations and investigations, are provided to Agreement States only on a "need-to-know" basis in accordance with Management Directive 3.4," Release ofInformation to the Public." l j
SA-8$0i Pibriding NRC PNdecisio$al Dbsumentito?2 PagedQ3bhR AgrehminiStajesNAd@D %MR ' m ' WNn IsusDstei 3/26/99 '
IV. ROLES AND RESPONSIBILITIES A. The Director, OSP, is responsible for development of procedures on providing NRC predecisional documents to Agreement States.
I B. The State Regulations Review Coordinator (Coordinator) has the lead OSP staff responsibility for assisting NRC staffin determining the types of NRC predecisional documents to be distributed to Agreement States, the means for distribution, and the j l preparation of All Agreement States letters. j t
C. The Office of the General Counsel (OGC) is responsible for interpreting public disclosure statutes and providing legal counsel to determine the release to Agreement States of draft proposed and final rules, policy statements, and other predecisional documents.
V. GUIDANCE A. Programmatic predecisional documents, including draft miemaking plans, drafts of proposed rules, final rules, policies, draft internal procedures, generic letters, und information notices, may be routinely distributed to all Agreement States for their information, review and comment.
B. Distribution of all NRC programmatic predecisional documents may be accomplished through use of an All Agreement States letter (see Appendix A).
C. Each predecisional document shoold be labeled as follows:
PREDECISIONAL DRAFTINFORMATION FEDERALLY PROTECTED NOT FOR PUBLIC DISCLOSURE D. Rulemaking, licensing, and inspection guidance documents will be available to the Agreement States through the Technical Conference Forum (http://techconf.llnl. gov) via the NRC Home Page (http://www.nrc. gov). Agreement States must have a unique user name and password to access the separate area set aside for Agreement State use (see All Agreement States letter SP-97-084). There is a special search engine only Agreement States may use. NRC staff members are also required to have a password to access this separate area.
SA-800i Providing NRCPredecisional Documentito : ,
.Page:3 of 3 y -
igreemdrit StatesiE A Mud % J I c W Wl' Issue Dates 3/26/99D E. Other more sensitive NRC predecisional documents, such as proposed enforcement actions, draft orders or demands for information, draft confirmatory action letters or information dealing with investigations and allegations will be shared with Agreement States on a "need-to-know" basis. "Need-to-know" means that the Agreement State receiving the predecisional information is directly involved with the issue or licensee.
Documents should be labeled as described in item C above with NEED-TO KNOW added. Additional labeling or marking to specifically identify the "more sensitive" ,
nature of the predecisional document, or to meet specific State labeling needs may also be added. In accordance with Management Directive 3.4, approval of the Executive Director for Operations, Inspector General, the Office of the General Counsel, Directors of the Office of Enforcement or Office ofInvestigations, as appropriate, should be obtained.
F. Prior to release of other more sensitive NRC predecisional documents, staff should )
determine whether the Agreement State can protect the documents from public disclosure under State law or through a written protective agreement between the State
)
and NRC (see Appendix B). If staff determines that an Agreement State can protect sensitive NRC predecisional documents from public disclosure, the information may be shared with that State.
G. Guidance on the handling and sharing of allegations information with Agreement States is contained in OSP Internal Procedure D.20.
H. If OSP staffis notified that an Agreement State has released an NRC predecisional document, OSP should contact the technical assistant for the Deputy Executive Director for Regulatory Programs to provide notification to the Commission.
VI. APPENDICES Appendix A - Sample letter to All Agreement States Transmitting Programmatic Predecisional Documents Appendix B - Sample Protective Agreement VII. REFERENCES
- 1. Management Directive 3.4," Release ofInformation to the Public."
- 2. Management Directive 6.3,"The Rulemaking Process."
- 3. Office of State Programs Internal Procedure D.20, Proceduresfor Management of Allegations, Revision 1, March 25,1997.
- 4. All Agreement States letter SP-97-084. j l
l l
1 i
Appendix A Sample Letter to All Agreement States Transmitting Programmatic Predecisional Documents Note: Italicized text is guidance for determining text to be entered.
ALL AGREEMENT STATES MINNESOTA, OHIO, OKLAHOMA, PENNSYLVANIA, WISCONSIN PROGRAM MANAGEMENT INFORMATION: DRAFT INSPECTION PROCEDURE (SP-XX-XXX)
This letter provides advance notice of NRC's proposal to revise inspection procedure, "[ Title]."
The principal objective of the revision is to [ reason]. The draft inspection procedure is enclosed and marked:
PREDECISIONAL DRAFI'INFORMATION FEDERALLY PROTECTED NOT FOR PUBLIC DISCLOSURE Due to its predecisional nature, this document is exempt from public disclosure under NRC rules.
We request that you limit distribution to your staff and not release the document publicly. If this document is released, please inform me or the individual named below within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />.
NRC requests comments within 45 days from the date of this letter. Please send or fax your comments on the draft inspection procedure to [NRC staffcontact, address, phone and e-mail address]. Alternatively, you may provide your commerns via the Technical Conference Fomm.
If you have any questions regarding this correspondence, please contact me or the individual named below.
POINT OF CONTACT:[OSPstaff] INTERNET: [ID]@NRC. GOV TELEPHONE: (301) 415-[xxxx] FAX: (301) 415-3502 Director Office of State Programs
Enclosure:
As stated Distribution:
DIR RF [ Task Number] RSAOs DCD [SP Number]
Management Analyst RSLOs PDR (NO)
Inspection procedure staff All A/S File **DO NOT SEND TO OSP-ANNOUNCEMENTS **
DOCUMENT NAME: G:\0SP Stan ID\SPXXXXX.OSP Stan ID
o receive a reev i i this document. Indicate in the bes? "C" = Cory without tit 2 chir ent ier :bsure "E" = Cory with att rhme) t i enebsure "N" = No exv OFFICE OSP OSP IMNS OGC l OSP:D NAME OSP Staff Coordinator DATE / /99 / /99 / /99 / /99 / /99 OSP FILE CODE: SP-AG-
1 Appendix B Sample Protective Agreement NON-DISCLOSURE AGREEMENT The Office of [NRC Ofice), United States Nuclear Regulatory Commission (NRC) and the
[ Agreement State Agency) [ State or Commonwealth] each have regulatoryjurisdiction over aspects of the activities of [ State licensee]. Therefore, it may be in the interest of both the NRC and [ Agreement State Agency] to share information from time to time in carrying out their respective regulatory responsibilities. Accordingly, the Office of [NRC Ofice] may at its discretion provide sensitive information to [ State Agency] provided that [ State Agency] will conform to NRC practices regarding information disclosure.
The [ State Agency) agrees not to release to the public sensitive NRC information including predecisional NRC information (e.g., draft documents) concerning enforcement, licensing, and investigative actions. To preclude the premature public release of such sensitive information,
[ State Agency] will protect the information to the extent permitted by the Freedom ofInformation Act,5 U.S.C. 6 552(b)(5),10 C.F.R. il 2.790(a)(5) and 9.17(a)(5) and other applicable authority.
[ State Agency] will consult with Office of [NRC Ofice] before releasing sensitive information to ensure that its release is not premature or would not affect an ongoing investigation or other NRC action. Office of [NRC Ofice] will inform [ State Agency] of the release of sensitive information as appropriate. Additionally, [ State Agency] will not release proprietary data until a release is approved by the person (s) having proprietary rights therein or until release is approved by appropriate NRC management. In the event that predecisional information is released, (State Agency) agrees to notify the NRC within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> after the release.
The Office of [NRC Office] contact for this agreement is [NRC Management Official]. The contact for the (State Agency) is [ State Program Director].
[ State Program Director)
[Name ofState Program]
[ Address]
[NRCManagement Oficial]
[Date]
[ City, State]
.a. a . .: ' ' ' - ' jr __-'
I i
ALL AGREEMENT STATES !
MINNESOTA, OHIO, OKLAHOMA, PENNSYLVANIA, WISCONSIN i
PROGRAM MANAGEMENT INFORMATION: PREDECISONAL DOCUMENTS (SP-99-XXX)
Through All Agreement States letter SP-97-065 (Septembef 12,1997), we communicated with you to determine your program's ability to withhold NRC predecisional documents from public disclosure. Early sharing of predecisionalinformation is ariimportant part of helping ensure your early opportunity for input, review and comment in de'velopment of new NRC rules and supporting implementing guidance. ,/
/ l Based on Commission review of your response, the Corpmission has approved continuation of l the current practice of providing predecisional programmat.9 documents, such as drafts of l rulemaking plans, proposed rules, and licensing and inspection guides to all Agreement States.
The approval, however, does not extend to other, more sensitive, predecisional documents that pertain to matters such as escalated enforcement actions, allegations and investigations.
These more sensitive types of documents will be provided to Agreement States on a "need-to- i know" basis and only to Agreement States that can protect the information from public disclosure.
/
We have developed the enclosed procedure for NF/C staff use in the distribution of predecisional documents to Agreement States. We will use as a primary means of distribution, the electronic subsystem that has been established for sole use by the Agreement States to comment on draft rulemakings and draft guidance' documents. This subsystem is under the Technical Conference Forum of the NRC Home Page. The subsystem can only be accessed by the Agreement States having a user name and password unique to each Agreement State (SP-97-084, December 9,1997). Notification of'any new documents added to the subsystem will be provided through an All Agreement States letter or specific announcement that will be posted to the "OSP Announcements" list server. In some casus distribution of the predecisional document will be accomplished through an All, Agreement States letter.
/
The Commission also asked that it be informed immediately if a predecisional document is released by an Agreement State. We ask that each Agreement State take necessary steps to ensure that you will notify me, or the contact below, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> in the event a predecisional ,
document is released by your program. We will, in turn, notify the Commission. !
l If you have any questions regarding this correspondence, please contact me or the individual named below.
/
POINT OF CONTACT: StS,6,6 b. Salomon INTERNET: SNS@NRC. GOV TELEPHONE: (301) 415-2368 FAX: (301) 415-3502 l
l
/ Paul H. Lohaus, Director
/ Office of State Programs I
Enclosure:
As stated /
Distribution: /
DIR RF RSAOs siCY(W98-206) DCD (SPX2)
SDroggitis RSLOs PDR (YES_)(NO /)
A/S File ! "DO NOT SEND TO OSP ANNOUNCEMENTS" DOCUMENT NAME: G:\SP99PPP.SNS D:\SA800.SNS *See ce.
Te receive a copf of this document, Indicate in the box: *C' = Copy without attachtnent/ enclosure "E"= Copy with attachtnent/ enclosure *N*Previous
= No copy Concurrp/
/"% I OFFICE OSP OGC l lMNS/NMSS l ADM 6. OSP:b NAME SSalomon:nb FCameron DCool DMeyer btJh PLohaubiIQ\
DATE 03/08/99
y-, .- -_. - - _
I
- ALL AGREEMENT STATES MINNESOTA, OHIO, OKLAHOMA, PENNSYLVANIA, WISCONSIN PROGRAM MANAGEMENT INFORMATION: PREDECISONAL UMENTS (SP-99 XXX)
Through All Agreement States letter SP-97-065 (September 12,1997), we communicated with you to determine your program's ability to withhold NRC predecisjonal documents from public disclosure. Early sharing of predecisionalinformation is an important part of helping ensure
. your early opportunity for input, review and comment in developr'nent of new NRC rules and supporting implementing guidance. /
Based on. Commission review of your response,ion the hasCommiss/
approved continuation of the current practice of providing predecisional programmatic / documents, such as drafts of rulemaking plans, proposed rules, and licensing and inspection guides to all Agreement States.
The approval, however, does not extend to other, more sen'sitive, predecisional documents that pertain to matters such as escalated enforcement actions / allegations and investigations.
These more sensitive types of documents will be provided to Agreen ci 9tates on a "need-to-know" basis and only to Agreement States that can protect the information from public disclosure.
We have developed the enclosed procedure for NRC staff use in the distribution of predecisional documents to Agreement States. We pill use as a primary means of distribution, the electronic subsystem that has been established for sole use by the Agreement States to comment on draft rulemakings and draft guidance documents. This subsystem is under the Technical Conference Forum of the NRC Home Pa'ge. The subsystem can only be accessed by the Agreement States having a user name and password unique to each Agreement State (SP-97-084, December 9,1997) . Notification of any new documents added to the subsystem will be provided through an All Agreement States letter or specific announcement that will be posted to the "OSP Announcements" list serverf in some cases distribution of the predecisional
' document will be accomplished through an All Agreement States letter.
The Commission also asked that it be d immediately informe/document is if a predecisional released by an Agreement State. We ask th'at each Agreement State take necessary steps to ensure that you will notify me, or the contagt below, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> in the event a predecisional document is released by your program, e will, in tum, notify the Commission.
If you have any questions regarding this correspondence, please contact me or the individual named below. /
POINT OF CONTACT: Stephen N. Salomon INTERNET: SNSONRC. GOV TELEPHONE: (301)'415-2368 FAX: (301) 415-3502 el
/ Paul H. Lohaus, Director
/ Office of State Programs
Enclosure:
/
As stated /
Distribution: / -
DIR RF RSAOs / SE Y (W98-206) DCD (SPX2) !
SDroggitis RSLOs/ .
PDR (YES_) (NO.f_)
A/S File b d' NOT SEND TO OSP ANNOUNCEMENTS" DOCUMENT NAME: G:\SP99PPP.0 thSA800.SNS *See Previous Concurryce.
Te resolve a coat of this document, Indicate in the boa *C" = Coy without attachment / enclosure "E" = Copy with attachment / enclosure "N* = No copy AO j OFFICE OSP l / OGC@ l lMNS/NMSS l ADM l OSF:@
NAME SSalomon:nb - rw ._. = > %t h , DCool DMeyer PLohaub11% ,
DATE 03/08/99
p: i d f//L
=
[p* % ,
3,,g p k UNITED STATES j 5
i g g NUCLEAR R5GULATORY COMMISSigN o
- WASHINGTON, D.C. 2066fA001 ,
/'
% ***** / March 18, 1999
[ ,
/ l MEMORANDUM TO: Paul H. .M Director
) &Y /
Office of State Programs FROM: Donald A. Cool, Director '
Division of Industrial and Medical Nuclear Safety, NMSS i
/
SUBJECT:
PROVIDING NRC PREDECISIONAL DOCUMENTS TO AGREEMENT STATES /
/
/
The Office of Nuclear Material Safety and Safeg'uards concurs in the draft OSP 1 l
procedure SA-800, "Providing NRC Predecisional Documents to Agreement States," with l
suggested changes as marked on the attached co .
Attachment:
As stated
/
CONTACT: Robert O'Connell, NMSS/IMNS I (301) 415-7877 /
l
/
/
/
/
/
/
/
/ ilE x
/ moen
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j
\
ALL AGREEMENT STATES /-
MINNESOTA, OHlo, OKLAHOMA, PENNSYLVANIA, WISCONSIN l
PROGRAM MANAGEMENT INFORMATION: PREDECISONAL DOCUMENTS (SP-99-XXX)
/ 4 Through All Agreement States letter SP-97-065 (September 12,1997), we communicated with !
l you to determine your program's ability to withhold NRC prede'cisional documents from public -
disclosure. Early sharing of predecisionalinformation is an injportant part of helping ensure l your early opportunity for input, review and comment in development of new NRC rules and I supporting implementing guidance. / 1 Based on Commission review of your response, the Commi sion has approved continuation of the current practice of providing predecisional programmatic documents, such as drafts of rulemaking plans, proposed rules, and licensing and inspection guides to all Agreement States.
The approval, however, does not extend to other, more sensitive, predecisional documents that pertain to matters such as escalated enforcement actions,lallegations and investigations.
These more sensitive types of documents will be provided to Agreement States on a "need to- ,
kno#' basis and only to Agreement States that can protect the information from public l I
disclosure. /
/
We have developed the enclosed procedure for NRC staff use in the distribution of predecisional documents to Agreement States. We willluse as a primary means of distribution, the electronic subsystem that has been established for, sole use by the Agreement States to ;
comment on draft rulemakings and draft guidance documents. This subsysten? !s under the )
Technical Conference Forum of the NRC Home Pagej The subsystem can only be accessed by the Agreement States having a user name and password unique to each Agreement State (SP-97-084, December 9,1997). Notification of any new documents added to the subsystem will be provided through an All Agreement States letter or specific announcement that will be posted to the "OSP Announcements" list serverc in some cases distribution of the predecisional document will be accomplished through an All Agreement States letter.
l The Commission also asked that it be informed immediately if a predecisional document is released by an Agreement State. We ask that each Agreement State take necessary steps to ensure that you will notify me, or the contact beloW, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> in the event a predecisional document is released by your program. We will, in tum, notify the Commission.-
i If you have any questions regarding this correspondence, please contact me or the individual named below. ;
l POINT OF CONTACT: Stephen N. Salo' mon INTERNET: SNS@NRC. GOV TELEPHONE: (301) 415-2368 FAX: (301) 415-3502 F
l Paul H. Lohaus, Director Office of State Programs
Enclosure:
/
As stated /
Distribution: [
DIR RF RSAOs- SECY (W98-206) DCD (SPX2)
SDroggitis RSLOs ! PDR (YES_) (NO / )
A/S File "DO NOT SEND TO OSP ANNOUNCEMENTS" DOCUMENT NAME: G:\SP99PPP.SNS D:\SA800.SNS *See Previous Concurrp/ ce.
T2 recolve a coat of this document,6rul6cete in the box: "C" = Copy without attachment / enclosure *E' = Copy wim attachmentlenclosure "N' = No copy A l OFFICE OSP l OGC l' IMNS/NMSS l ADM l OSPM uj NAME SSalomon:nb FCameron DCool DMeyer _
PLohauhII%
DATE 03/08/99
l
- n. :. .. +-
ALL AGREEMENT STATES - .
MINNESOTA, OHIO, OKLAHOMA, PENNSYLVANIA, WISCONSIN PROGRAM MANAGEMENT INFORMATION: PREDECISONAL DOCUMENTS (SP-99-XXX)
Through All Agreement Stated letter SP-97-065 (September 12l 1997), we communicated with you to determine your program's ability to withhold NRC predecisional documents from public disclosure. Early sharing of such information is an important part of helping ensure u early ,
opportunity for input, review and comment in development of new NRC rules and pporting j
~
implementing guidance. ' '
Based on Commission review of your response, t$e Commis61on has ap ved continuation of the current practice of providing predecisional programmatic documen , such as drafts of rulemaking plans,' proposed rules, and licensing and inspection guide 6 to all Agreement States.
The approval, however, does not extend to other, more sensitive,pfedecisional documents that
. pertain to matters such as escalated enforcement actions, alleggons and investigations. l These more sensitive types of documents will only be providef on a "need-to-know" basis to l those Agreement States that we have determin.ed can protect the information from public '
disclosure.
]
We have developed the enclosed procedure for NRC staff use in the distribution of predecisional documents to Agreement States. Wgdill use as a primary means of distribution, !
. the electronic subsystem that has been established for sole use by the Agreement States to comment on draft rulemakings and draft guidar)c'e documents. This subsystem is under the !
Technical Conference Forum of the NRC Ho e Page. The subsystem can only be accessed j by the Agreement States having a user na . and password unique to each Agreement State (SP-97-084, December 9,1997), Notific3tfon of any new documents added to the subsystem will be provided through an All Agreemerit States letter or specific announcement that will be posted to the "OSP Announcements t server. In some cases distribution of the predecisional l document will be accomplished thr h an All Agreement States letter.
l The Commission also asked that it be informed immediately if a predecisional document is l released by an Agreement Stat'e. We ask that each Agreement State take necessary steps to ensure that you will notify me$ or the contact below, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> in the event a predecisional document is released by yo'ur program. We will, in turn, notify the Commission.
If you have any questions regarding this correspondence, please contact me or the individual
. named below. /
/
POINT OFCONTACT: Stephen N. Salomon INTERNET: SNS@NRC. GOV ,
TELE ONE: (301) 415-2368 FAX: (301) 415-3502 Paul H. Lohaus, Director Office of State Programs
Enclosure:
As' stated Distribution:
DlR RF RSAOs DCD (SPX2)
-SDroggitis RSLOs PDR (YES._)(NO ()
A/S File "DO NOT SEND TO OSP ANNOUNCEMENTS" DOCUMENT NAME: G:\SP99PPP.SNS D:\SA800.SNS To receive a cop r of thle document. Iruficate in the box: 'C' = Copy without attachment / enclosure "E" = Copy with attachment / enclosure "N" = No copy OFFICE < OSP$ O l OGC l lMNS/NMSS l ADM l OSP:D l NAME SSalomon:nb FCameron DCool DMeyer PLohaus DATE 03/ $ /99 03/ /99 03/ /99 i- 03/ /99 03/ /99 OSP FILE CODE: SP-A-4