ML20210T678
| ML20210T678 | |
| Person / Time | |
|---|---|
| Issue date: | 08/17/1999 |
| From: | NRC (Affiliation Not Assigned) |
| To: | |
| Shared Package | |
| ML20210T312 | List: |
| References | |
| FOIA-98-275 PROC-990817, NUDOCS 9908190146 | |
| Download: ML20210T678 (95) | |
Text
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l INTERNAL COMMISSION PROCEDURES l
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U.S. NUCLEAR REGULATORY COMMISSION 81 6 990817 STELLF098-275 PDR
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TABLE OF CONTENTS CHAPTER PAGE '
FOREWORD i ,
i HIGHLIGHTS li i
i COMMISSION RESPONSIBILITIES 1-1 l
+ Collegial Functions 1-1
- Policy, Rulemaking and Adjudication 1-1
- Appointments 1-2 i
- Personnel Appointment Process 1-3
+ Chairman Duties 1-4 ,
+ Individual Commission Responsibilities I-7
+ Commission Administrative Procedures 1-9 ll DECISION DOCUMENTS ll-1
+SECY Papers ll-1
+ Format for Staff Papers and Memoranda to the Commission ll-4
+ Action Memoranda 11- 5
+ Release of Documents Under FOIA ll-7 Ill VOTING lll-1
+ Votes at Commission Meetings lll-2
+ Votes on Papers 111- 2
- Action Dates 111- 2
- Submission of Votes to the Secretary lil-3
- Recording of Commissioner Votes While Away from the Office 111- 4
+ Comments on Action Memoranda (COMs) 111- 5
+ Negative Consent Process lil-6 '
+ Continuances and Extensions of Time ill-7
+ Closure Process 111- 7
+ Record of Votes lll-8
- Staff Requirements Memorandum Ill-8
- Commission Voting Record 111- 1 0
g TABLE OF CONTENTS CHAPTER PAGE
+ Tracking of Requirements and Tasks 111- 1 0
+ Motions for Reconsideration of a Decision ill-12
+ Withdrawal of SECY Papers 111- 1 2 IV COMMISSION MEETING IV-1
+ Government in the Sunshine Act IV-1
+ Development of Commission Schedule IV-1
+ Format for Commission Meetings IV-3
- Open/Public Commission Meetings IV-3
- Closed Commission Meetings IV-5
+ Conduct of Commission Meetings IV-6
+ Meeting-Related Documents IV-7
- Documents in Advance of Meetings IV-7
- Documents at Meetings IV-8
+ Staff Requirements Memoranda IV-8 V INSTITUTIONAL CORRESPONDENCE V-1
+1ncoming Correspondence V-1
- Receipt and Review by the Office of the Secretary V-1
+ Guidelines for Commission Response V-2
- Action Assigned by the Office of the Secretary V-2
- Requests for Additional Response Preparation Time V-5
+ Commission Daily Reading File V-5
+ Outgoing Correspondence V-6
- Procedures for Commission Correspondence V-6
- Procedures for Chairman Correspondence V-8
- Dispatch of Outgoing Correspondence and Information Copies V-9 VI TRANSMITTAL OF SENSITIVE DOCUMENTS TO CONGRESS VI-1
+ Guidelines and Procedures VI-1 11 I I
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TABLE OF CONTENTS !
CHAPTER PAGE Vil CONGRESSIONAL TESTIMONY Vll-1
+ Draft Testimony Vil-1
+ Commitments to Congress Vll-1 l
APPENDICES I
1 Process for Obtaining Nominations for NRC's Advisory Committees 2 Procedures for Handling Withheld Documents in Commissioners' Offices
! Under FOIA 3 Sample Vote Sheet l 4 Basis for Determining Voting Results l 5 Resolution of 2-2 Vote 6 Specialized Procedures when Commission Review Time for Adjudicatory i Actions is Limited 7 Staff Requirements Memorandum and Commission Voting Record 8 Procedures for Staff Presentations at Commission Meetings 9 Nuclear Regulatory Commission Issuances 10 Security Procedures for Conducting Classified Meetings / Hearings 11 Correspondence Response Sheets l
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FOREWORD This document sets forth the procedures governing the conduct of business at the Commission level of the Nuclear Regulatory Commission. it provides an overview of the Commission's responsibilities, Commission's decision-making process, including procedures goveming formal Commissioner voting, the conduct of Commission meetings, Commissioner involvement in institutional correspondence, transmittal of sensitive documents to Congress, and Commission testimony.
The Office of the inspector General (OlG) is a statutonly established office cont'ucting independent audits and investigations within the agency. The OlG has a statutory responsibility to communicate with the Congress, separate and apart from communication between the Commission and Congress. Accordingly, unless specifically stated, the requirements of these procedures with respect to Commission review and processing of documents, testimony, and personnel, do not apply to the OlG.
These procedures will be reviewed periodically to reflect approved reorganizations, consider changes for improved efficiency or effectiveness and ensure conformity to legal requirements and Commission policy.
John C. Hoyle Secretary of the Commission 1
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HIGHLIGHTS I COMMISSION / CHAIRMAN RESPONSIBILITIES e The Commission is responsible for policy formulation, :
rulemaking', adjudications, and adjudicatory orders. l e Each Commission member has equal authority in all Commission decisions and equal (prompt and full) access to al! Agency information pertaining to Commission responsibilities. '
e The Chairman is the official spokesman for the Agency.
- The Chairman is the principal executive officer for the Commission and is responsible for the administrative l functions of the Agency.
e The Chairman shall be governed by the general policies of the Commission and by such regulatory decisions, findings, i and determinations as the Commission may by law be authorized to make.
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Those matters set forth in 5 USC 553(a)(2) and (b) which do not pertain to policy formulation, orders, or adjudications shall be reserved to the Chairman. The Commission may determine by majority vote, in any area of doubt, whether any matter, action, question, or area of inquiry pertains to matters of policy formulation. See Reorganization Plan No.1 of 1980, Sections 1(a)(2) and (3).
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HIGHLIGHTS i DECISION DOCUMENTS e SECY Papers and action memoranda (COMS) are the primary decision-making tools of the Commission; the Offie of the Secretary (SECY) distrib'Jtes papers, tracks the status of voting, and prepares decision documentation commonly referred to as " Staff Requirements Memoranda" (SRM).
e COMS are written exchanges between Commissioners and written memoranda between staff and the Commission requiring a response (COMSECYS). SECY assigns an '
identification number and tracks responses.
e The Commission's goal is to complete action on most papers in 18 business days from the issuance of a SECY paper or COM.
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l HIGHLIGHTS .
VOTING
- Commission decision-making is accomplished by a majority vote of the Commission (see Appendix 4).
L e Decisions are made by formal vote of the Commission at regular meetings, or Affirmation sessions, or by Notation.
e Vote sheets are circulated with SECY papers and other appropriate memoranda. Specific voting choices are:
" Approve"
" Disapprove"
" Abstain" l-
"Not Participating" Commissioners may utilize the vote sheet to express personal views or comments on staff proposals, and to
. submit proposed amendments to the proposal or to the drat ;
materials proposed for consideration. Commissioners not i voting are recorded as "Not Participating". Commissioners f may recuse themselves from a particular matter to avoid any actual or apparent conflict of interest.
l e Commissioners' votes on SECY papers are normally i . requested in 10 business days. An initial extension of one l week may be granted by the Secretary. Subsequent .
l extensions can be granted unless a majority of the Commission objects.
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HIGHLIGHTS VOTING (Continued)
- Commission decisions are recorded in Staff Requirements Memoranda. Actions requested of the staff are tracked by SECY in an automated, on-line tracking system.
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MEETINGS l
l e Meetings are scheduled and conducted in accordance with the requirements of the Government in the Sunshine Act.
I l e At least three (3) members participating in the meeting shall ;
constitute a quorum for purposes of voting (see Appendix !
4).
e Documents pertinent to Commission meetings must be
! submitted to the Commission five (5) business days prbr to l
l the meeting date.
i l e A Commission meeting schedule is published each week.
l It is prepared from input from Commissioners and others l and approved by the Commission. Commissioners may l request meetings by addressing their written request to the i
- Chairman or SECY with copies to allCommissioners, or by making the request at an agenda planning meeting.
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HIGHLIGHTS l
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CORRESPONDENCE e The Commission's goal is to reply to extemal correspondence within 16 business days from receipt of the letter.
e Chairman or Commission Correspondence that requires a response is acknowledged within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br />. !
- Staff offices normally have 10 business days to draft a reply.
- Correspondence which reflects new, revised, or expanded policy positions must be approved by the Commission.
Other correspondence may be signed by the Chairman without prior review by the Commission.
e Proposed collegial correspondence is sent to the Commissioners who are afforded six business days to review and comment on the proposed reply. The Chairman is normally expected to review and respond within three business days. The other Commissbners are expected to wait three (3) business days for the Chairman's response.
Commissioners are afforded three (3) business days to review and respond to the Chairman's proposed reply.
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HIGHLIGHTS CORRESPONDENCE (Continued) e An additional two (2) business days for comment will be-granted to a Commissioner on request.
- Incoming and outgoing correspondence is circulated in the Commission's Daily Reading File.
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HIGHLIGHTS CONGRESSIONAL REQUESTS FOR SENSITIVE DOCUMENTS e Office of Congressional Affairs (OCA) handles requests for documente from members of Congress; normally, sensitive documents are provided to Congress only upon written request.
l e The transmittal of classified or safeguards infcrmation must be coordinated with the Division of Facilities and Security, Office of Administration and the Office of Nuclear Material Safety and Safeguards, as appropriate.
l e Transmittal of sensitive documents used in the deliberdive, l
consultative, or decision-making activities of the Commission itself must be coordinated with the Commission.
- Documents are transmitted to Congress by OCA with a cover letter identifying their sensitive nabre and requesting appropriate protection. Wording of the cover letter is coordinated with the Office of the General Counsel (OGC) by OCA.
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g I HIGHLIGHTS CONGRESSIONAL TESTIMONY I
- e The Chairman, as official spokesman for the Agency, is l responsible for presenting the Agency's testimony.
l Commissioners may present their own statements only if they are so identified.
e All Commissioners normally attend Congressional hearings l either because they are invited to do so by the Cbngress or !
l they elect to attend. I e Final draft testimony and proposed answers to pre-hearing l
l questions should be received by the Commission 5 '
business days in advance of the scheduled deadline for l t
submittal of the testimony to Congress. l e Separate individual views of Commissioners are normally circulated to the other Commissioners no later than 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> before the scheduled hearing.
e OCA will report all commitments for additional information '
l requested at Congressional hearings to the Commission by memoranda and task appropriate Commission-level or staf offices to furnish the promised information.
- OCA will track requests and forward all items to the appropriate Congressional committee.
l l e If promised information is to be provided in the form of signed correspondence from the Commission or the EDO, SECY will track the commitment.
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CHAPTERI
- COMMISSION RESPONSIBILITIES l . The Nuclear Regulatory Commission, as established by the Energy Reorganization Act of 1974, is responsible for licensing and regulating nuclear facilities and materials and for conducting research in support of the licensing and regulatory process. The President's Reorganization Plan No.1 of 1980 clarified and strengthened the duties of the Chairman as the NRC's principal executive officer and more specifically defined the responsibilities of the Commission members acting as a degial body. Consistent with the requirements of Reorganization Plan No.1 of 1980, on May 18,1988, the Commissioners approved COMLZ-88-10, which made more explicit the operational responsibility of the Chairman of the Commission, as the principal executive officer of the Commission, and the other members of the Commission.
Collegial Functions
- 1. Poliev. Rulemaking. and Adiudicati9n Functions pertaining to policy formulation, rulemaking (with certain exceptions), l adjudications, and adjudicatory orders are reserved for the Commission itself (Reorganization Plan No.1 of 1980, Section 1(a)). The Commission also must approve the appointment and the removal of certain senior agency officials. All other functions are vested in the Chairman (M., Section 2(a)). In an area of doubt, the Commission may determine by majority vote whether any matter, action, question, or area of inquiry pertains to one of the Commission's functions (M.,
, Section 1(a)).
The Commission's collegial functions also include:
- a. approval of outgoing agency correspondence which requires the formulation of a policy position (pertains to policy formulation function - See id., Section 1(a)(1));
! b. revising budget estimates and determining the distribution of appropriated l
funds according to major programs and purposes (Energy Reorganization ;
Act of 1974, Section 201(a)(5); Reorganization Plan No.1 of 1980, Section 1 2(b)); i l
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CHAPTER I COMMISSION RESPONSIBILITIES
- c. approval of proposal for the reorganization of the major offices within the Commission (Reorganization Plan No.1 of 1980, Section 2(b);
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- d. approval of nominations for the NRC's Distinguished and Meritorious Service Awards, all (OPM) Presidential Rank Awards, and approval of SES performance awards; and
- e. the Chairman shall be governed by the general policies of the Commission and by such regulatory decisions, findings, and determinations as the Commission may by law be authorized to make. (Energy Reorganization Act of 1974, Section 201(a)(3); and Reorganization Plan No.1 of 1980, Section 2(c).)
With regard to agency actions pursuant to initial requests under the Freedom of Information Act, the Commission is the approval authority for the release of Commission documents determined by OGC to be legally withholdable. The release of. Commission documents on appeal, other than those generated in individual Commissioner offices, also requires Commission approval.
- 2. Annointments i
The roles of the Commission and the Chairman in the appointment of certain officers is detailed in Reorganization Plan No.1 of 1980. Statutes enacted subsequent to the Reorganization Plan that created or redefined senior agency positions include the Chief Financial Officers Act of 1990 and the Information Technology Management Reform Act of 1996.
In the following cases, the Chairman shall initiate the appointment, subject to the approval of the Commission: Executive Director for Operations and Deputy EDOs, Chief Financial Officer and Deputy Chief Financial Officer; Chief Information Officer and Deputy Chief Information Officer; General Counsel; Secretary of the Commission; Director, Office of International Programs; Director, Office of Commission Appellate Adjudication; and the Chief, Administrative Judge and Members of the Atomic Safety Licensing Board Panel. The Chairman or a member i of the Commission may initiate the removal of these officers subject to approval of
- the Commission. Similarly, the following officers, whose appointments are initiated by the Chairman, after consultation with the Executive Director for Operations, are subject to the approval of the Commission: Director of Nuclear Reactor Regulation (NRR); Director of Nuclear Material Safety and Safeguards (NMSS); and Director l
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1 CHAPTER I - COMMISSION RESPONSIBILITIES _ _
of Nuclear Regulatory Research (RES). The Chairma.: or a member of the Commission may initiate the removal of the officers subject to approval of.the Commission. Appointments of the Members of the Advisory Committee on Reactor Safeguards (ACRS), the Advisory Committee on Nuclear Waste (ACNW), and
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NRC's other federal advisory committees are also subject to the approval of the j Commission.2 Commission guidance on the process for obtaining nominations for NRC's Federal i Advisory Committee positions (previously approved in COMIS-94-003 dated May 4,1994, and COMSECY-94-018 dated June 20,1994) is contained in Appendix 1.
- 3. Personnel Anoointment Process When a position has been formally posted and noticed, the following process is to be used:
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- a. The Office of Human Resources provides the Commission with the list of qualified candidates.
- b. The Chairman in his/her discretion conducts interviews with all, or a selected number of qualified candidates and initiates the appointment process providing his/her recommendation for the position to the Commission for approval. The Chairman also provides the Commission with a summary of his/her interviews, individual background information on the interviewed l candidates, and if requested by the Commission, individual background information on the other qualified candidates.
- c. Individual Commissioners may, in their discretion, interview all, or a selected 4
Reorganization Plan No.1 at Section 1(b)(2).
2 As to the ACRS, see id. at 1(b)(3). As to other Advisory Committees, it is the Commission's policy that appointments of Members of the Advisory Committee ,
on Nuclear Waste (ACNW) and the NRC's other federal advisory committees (except for the LSS Advisory Review Panel, see 10 CFR 2.1011(e)(1)), are also subject to the approval of the Commission.
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CHAPTER I - COMMISSION RESPONSIBILITIES number, of the qualified candidates.8 Each Commissioner provides to the Chairman his/her approval / disapproval of the Chairman's recommendation for the position along with any additional comments.
Positions without a formal posting will be handled on a case by case basis. The process to used for Advisory Committee members is set forth in Appendix 1 of these Procedures.
Chairman Duties The Chairman is the official spokesman for the Commission and appoints, supervises, and removes, without further action by the Commission, the Directors and staff of the Office of Public Affairs and the Office of Congressional Affairs. The Chairman is also the principal executive officer of the Commission, and is responsible to the Commission for developing' policy planning and guidance for consideration by the Commission. The Chairman shall be govemed by the general policies of the Commission and by such regulatory decisions, findings, and determinations as the Commission may by law be authorized to make.
(Reorganization P!an No.1 of 1980, Section 2(c)). The Chairman, on behalf of the Commission, shall see to the faithful execution of the policies and decisions of the Commission, and shall report thereon to the Commission from time to time or as the Commission may direct. (Energy Reorganization Act of 1974, Section 201(a)(1). The Chairman is responsible to the Commission for ensuring that the Executive Director for Operations and the staff of the Commission (other than the officers and staff referred to in i Section (1)(b)(4), (1)(c), and (2)(a) of the Reorganization Plan) are responsive to the j requirements of the Commission in the performance of its functions. The Chairman determines the use and expenditure of funds of the Commission, in accordance with the distribution of appropriated funds according to major programs and purposes and approved by the Commission. The Chairman presents to the Commission for its consideration proposals for the reorganization of the major offices within the Commission, and the budget ;
estimates for the Commission. (Reorganization Plan, Section 2(b).) l The Chairman is responsible for all the functions pertaining to an actual emergency 1 conceming a particular facility or materials licensed or regulated by the Commission (ld.,
Section 3(a). The Chairman may delegate the authority to perform such emergency 8
Nothing in this procedure would authorize the initiation of these appointments by anyone other than the Chairman, as provided in Reorganization Plan No.1 of 1980.
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CHAPTER I - COMMISSION RESPONSIBILITIES functions, in whole or in part, to any of the other members of the Commission. Such authority may also be delegated or redelegated, in whole or in part, to the staff of the Commission (M., Section 3(b)). To the maximum extent possible under the emergency conditions, the Chairman or other member of the Commission delegated emergency authority shall inform the Commission of actions taken relative to the emergency (M.,
Section 3(c)). Following the conclusion of the emergency, the Chairman renders a complete and timely report to the Commission on the actions taken during the emergency _
(M., Section 3(d)).
The Chairman and the Executive Director for Operations, through the Chairman, are responsible fc ensu.ing that the Commission is fully and currently informed about matters within its functions (M., Section 2(c)). The Chairman shall ensure prompt and full delivery of original information with any changes thereto, including draft SECYs and COMs, except preliminary information for development of Section 2(b) proposals and estimates unless expressly requested by the Commission. The Executive Director for Operations reports for all matters to the Chairman (M., Section 4(b)).
In carrying out his or her duties, the Chairman:
e approves the intema! reorgalization of offices, except for those that the Corpmission must approve v:: der Section 2(b) of the Reorganization Plan or those that have been rbiegated to the NRC staff (M., Section 2(b)(3)(l)).
Under that Plan, the Commission must approve reorganizations of the major offices within the Commission - all offices that report to the Commission as well as NRR, NMSS, and RES, CIO, EDO, and CFO (M., Sections 2(b)(2)
[ Chairman prasents proposed reorganizations to Commission) and 2(c)
[ Chairman is l>ound by Commission's decisions on reorganization proposals);
e tdes all personnel actions and makes appointments, except for those descnoed above which have been given to the Commission or to individual Commissioners under the Reorganization Plan and those which have been delegated to individual Office Directors by the Commission or to the EDO by the Chairman (M., Section 2(b));
e ensures that nominations for NRC Distinguished and Meritorious Service Awards, all Presidential Awards, and SES performance awards are submitted to the Commission for approval; e establishes and appoints members to task forces, except for those established by the EDO or Office Directors and those established to review l-5
CHAPTER I - COMMISSION RESPONSIBILITIES policy matters. ' All Commissioners are consulted when task forces involve either policy or highly sensitive matters. Establishment of task forces that include non-NRC employees or advisory committees are approved by the Commission (COMLZ-88-10);
l e initiates the update of the agency Strategic Plan and the Commission's annual review of the Performance Plan; presents the Strategic Plan, j Performance Plan, and budget estimates to the Commission for its consideration; and proposes distribution of appropriated funds according to the Agency's strategic arenas and programs (COMLZ-88-10);
e presents the agency's testimony at Congressional hearings (Section 2 of Reorganization Plan No.1 of 1980);
e approves contracts that the EDO has not been authorized to award (contracts in which aggregate estimated costs are $3,000,000 or more, including base and option years) (COMLZ-88-10). Copies of a formal request to the Chairman for approval shall be submitted simultaneously to the Commission; e advises the Assistant Secretary or appropriate Office Director regarding initial decisions on FOIA requests for documents submitted by the Commission-level offices or by the EDO to the Commission. Documents determined by OGC to be legally withholdable require Commission approval prior to release (COMLZ-88-10);
e makes decisions relative to the administrative and logistical support services i for the agency, including physical consolidation of the agency and individual ,
offices. Commissioners must approve matters that directly affect their individual offices (COMLZ-88-10); 4 o transmits draft speeches to the Commission five business days in advance; and e it is the Commission's recommendation that, whenever the Chairman is outside the United States, the Chairman exercise his or her authority under Section 201(a)(1) of the Energy Reorganization Act of 1994 to designate an Acting Chairman. The Commission recommends that the Acting Chairman be the most senior Commissioner available at Headquarters for the period of the Chairman's trip abroad.
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m CHAPTER I - COMMISSION RESPONSIBILITIES Individual Commissioner Responsibilities e- ' Each Commissioner shall appoint, remove, and supervise the personnel employed in his or her immediate office (Reorganization Plan, Section 1(c)).
e' ' Each Commissioner, including the Chairman, has equal responsibility and authority in all Commission decisions and actions, has full and equal access to all agency
. Information pertaining to Commission responsibilities, and has one vote (Energy Reorganization Act, Section 201(a)(1)). Except for budgetary matters or
~ administrative matters for which the Chairman is specifically responsible. for
. developing . proposals for' Commission review, documents, including draft documents, will be provided to all Commissioners, including the Chairman, simultaneously.'
- e. . The Chairman and the Executive Director for Operations, through the Chairman, are responsible for ensuring that Commissioners are fully and currently informed about matters within the Commission's functions (Reorganization Plan, Section 2(c)).
Significant individual Commissioner requests for information or analyses from the NRC staff shall be directed by Commissioners to the Chairman or to the EDO, CIO, CFO, or Commission-level offices (action offices) with copies to the Chairman and SECY. After receipt of the request, if questions'of priority arise because staff has identified the request as requiring significant resources to fulfill, the action office is to discuss the request with the Commissioner who originated it. The purpose of that discussion is to ensure that the scope of the request is fully understood. Following that discussion, if the Commissioner or the action office still believes there is an issue regarding either the nature.of the request or its priority, the action office
- notifies the Chairman. The Chairman will then be the initial arbiter of the matter. 1 If the Chairman's decision is not satisfactory to the Commissioner making the request or the action office, that Commissioner or the action office can then bring the matter to the full Commir.alon for a vote.
- Copies of tasking memoranda will be provided to the Commission at the same time the memorandum-is forwarded to the staff for action. The Chairman and
. Commissioners are encouraged to informally consult with each other to avoid any question of a tasking memorandum being inconsistent with the Commission's previous policy determinations. If a Commissioner believes an issued tasking memorandum is not consistent with previous Commission policy decisions he or she should notify the Chairman. The Chairman will request the staff to defer action until a majority of the Commission has determined whether the tasking memorandum should go forward.
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i CHAPTER I - COMMISSION RESPONSIBILITIES
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l e in response to FOIA requests forwarded to Commission offices, each Commissioner is responsible for identifying pertinent records in his or her files and for making the necessary disclose / withhold determinations for documents originated by his or her )
office. Commissioners are responsible for making similar determinations, if l
necessary, at the appeal stage. )
i e Commissioners normally attend Congressional hearings either because they are l invited to do so by the Congress or they elect to attend.
- All Commissioners shall become cognizant of the agency emergency procedures and responses in a continuing process. The Chairman should participate in at least one full participation exercise each calendar year, including a mock press conference. This exercise should be tailored to the Chairman's needs and schedule in order for the Chairman to remain as completely up-to-date as possible in any process changes or protilems and to maintain proficiency in emergency response functions. In addition, the Chairman should serve as the Director of the Executive ;
Team for any full field exercise, due to its broad scope, the significant involvement of Federal agencies, and the infrequent scheduling of this type of exercise. Each Commissioner should have the opportunity for refresher training on an annual basis, through participation as Director of the Executive Team in at least one full participation or partial participation exercise per calendar year.
A preliminary schedule for NRC participation exercises shall be developed in accordance with the Performance Plan. Commissioner participation in scheduled exercises as Director of the Executive Team shall then be established by AEOD after consultation with individual Commissioners to determine availability and interest in participation. Schedules of emergency planning exercises will be routinely reported to the Commission during Agenda Planning meetings and discussed, as necessary.
In the event more than one Commissioner expresses timely interest in participating in an exercise, and they cannot work out a solution among themselves, priority should be given first, to the Chairman receiving his or her first training; second, to a Commissioner receiving his or her first training; third, to the Chairman receiving refresher training; and fourth, to Commissioners receiving refresher training in order of seniority.
A Commissioner who has not received his or her first training will not be given preference over the Chairman if doing so will prevent the Chairman from meeting I-8
c j CHAPTER I - COMMISSION RESPONSIBILITIES the minimum goal established above of participating in one full participation exercise ,
each calendar year, or from sitting as Director of the Executive Team for the infrequent full field exercise. Timely interest in participation in emergency exercises will normally be expressed in Agenda Planning meetings. Once scheduled to participate in an exercise, no Commissioner will be involuntarily replaced as head ,
of the emergency exercise executive team. In the event a Commissioner becomes l unavailable after scheduling, AEOD will be responsible for contacting !
Commissioners to determine interest and availability of other Commissioners (COMNJD-98-002).
e Each Commissioner including the Chairman may maintain office working files to the l extent necessary for the conduct of daily business. The Secretary, as the Commission's official record keeper, also maintains a full set of Commission-level :
files for ready reference by Commissioner offices. The Office of the Secretary also ;
provides an opportunity for storage of Commissioners' personal files upon expiration of his/her term of office as defined in NRC Management Directive 3.53, Part IV.
ep e ntationalex s whi 11 app oved y Comm s on s part of the budget process. Each Commissioner's office will track their individual expenditures.
Commission Administrative Procedures in order to perform its business efficiently and expeditiously, the Commission has estrblished mechanisms for obtaining information and for conducting its decision-making activities. The following chapters of this booklet describe the various Commission gu:delines and procedures, in accordance with these procedures, when due dates are established, the Commission must be given the full allotted time established for response.
Items received later than 10:00 a.m. will not be considered as a full day for purposes of responding to the requested action. Guidelines and procedures for the conduct of business requiring action by the Chairman are established by the Office of the Chairman.
Guidelines and procedures relating to the flow of information to the Commission shall be approved by the Commission.
CHAPTER 11 describes the decision documents utilized by the Commissioners and the staff to obtain Commission consideration, guidance, and decisions.
CHAPTER lli outlines the Commissioner voting process.
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CHAPTER I - COMMISSION RESPONSIBILITIES CHAPTER IV contains a description of the development of meeting agendas and decision-making in meetings. To a large extent NRC's meeting procedures are governed by statute, both in the Govemment in the Sunshine Act and in the Energy Reorganization Act's requirement that a " quorum for the transaction of business shall consist of at least three members present" and that "[A]ction of the Commission shall be determined by a majority vote of the members present." (Energy Reorganization Act, Section 201(a)(1).)
CHAPTER V sets forth the process of obtaining collegial review of significant institutional correspondence.
CHAPTER VI contains guidelines for providing sensitive Commission / staff documents to Congress.
CHAPTER Vll contains guidance regarding the preparation of agency testimony for Congressional hearings and procedures for responding to commitments made to Congress at Congressional hearings.
A majority of the Commission members (as described in the voting procedures in Chapter ill and Appendix 4) may change or waive its procedures at any time consistent with existing law. If a Commissioner or Commissioners request a change or waiver, the Office of the Secretary will put the question into writing and poll the Commission. Any change or waiver will be based on written vote of the majority.
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, LCHAPTER 11 DECISION DOCUMENTS J
q The primary' decision-making tool of the collegial Commission is the written issue paper submitted by the Office of the Executive Director for Operations (EDO), the Chief Financial Officer (CFO), the Chief information Officer (ClO), or other Office Directors reporting I directly to the Commission. Best known as SECY papers, they are described below.
- An additional vehicle for Commission decision-making is the written exchange of memoranda between Commissioners, in these action memoranda (called COMs), one Commissioner recommends a particular course of action to the other Commissioners. A
- description of the process used to obtain Commission action on such memoranda is detailed later in this chapter under the section " Action Memoranda".
The Commission also receives memoranda from the staff. Most of these documents provide information on current topics and do not require any Commission action. At times, however, a staff memorandum may contain a recommendation or seek guidance from the Commission. In that event, the memorandum will be circulated in the COM system.
4 Copies of draft and final SECY' papers or COMs delivered to the Chairman shall be delivered simultaneously to the other Commissioners.
l l l SECY PAPERS Policy, rulemaking, and adjudicatory matters, as well as general information, are provided to the Commission for consideration in a document style and format established specifically for the purpose. Such documents are referred to as SECY papers. A SECY paper gains its nomenclature through the designation (e.g. SECY-98-189) assigned to it by the Office
- of the Secretary. In addition to its numerical designation, each paper has two other
. distinctive markings. ElInt, a heading on the first page designates whether the subject matter relates to the formulation of policy (Policy issue papers), or to the promulgation of !
agency rules'(Rulemaking issue papers), or to the granting, suspending, revoking, or amending of licenses or certificates (Adjudicatory issue papers). Subject matter relating
.to Federal Court litigation is also presented in Adjudicatory issue papers. Second, a color band on the top and bottom of the first page further indicates the type of action expected of the Commission. A description of the color bands used by the Commission is as follows:
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CHAPTER ll- DECISION DOCUMENTS
- A red band (Commission Meeting Paper) indicates a major issue on which collegial deliberation and vote et a Commission meeting, usually in a public session, is anticipated. (See also Chapter IV, Commission Meetings).
e A blue band (Notation Vote Paper) indicates an issue requiring consideration by the Commission or consultation with the Commission prior to action by the staff, but not requiring collegial deliberation among Commissioners or a formal vote in a meeting, thereby lending itself to a written notation process.
e A green band (Affirmation Paper) indicates Commission business that does not require deliberation among the Commissioners in a meeting mode, but by law must be voted by the Commissioners in the presence of each other. Such papers are required when the action (such as approval of final rules or orders) legally binds those the NRC regulates or has a significant legal effect on persons outside the Commission. The Affirmation process is administered through a notation voting system and a subsequent formal declaration of votes by Commissioners in a public session dedicated to this purpose.
- A black and white band (Negative Consent Paper) indicates an action proposed to be taken by the staff within its authority in the near future. Such papers provide the Commission with an opportunity to be informed of and comment on a pending action by the staff without the need for a formal vote. The Commission is authorized a period of time (usually 10 business days) in which to make its contrary views known; otherwise, SECY will advise the staff that the action proposed in the paper may be taken. A Negative Consent paper may be converted to an action vote status, such as a Notation Vote paper, upon request by a Commissioner.
e A black band (Information Paper) is placed on papers which provide information on policy, rulemaking, or adjudicatory issues. Weekly Information Papers describing recent agency activities are issued without any color band. No action is required or expected by the Commission on subjects addressed in Information Papers. A Commissioner, however, may request conversion of an Information Paper to a Notation Vote paper if the Commissioner wants formal comment on the topic reported in the paper.
As a general policy, SECY papers will be released to the public in accordance with the guidelines set forth later in this section unless they contain specific, limited types of information which warrant protection, as described below:
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CHAPTER 11 - DECISION DOCUMENTS e SECY papers involving matters which the Commission has specifically agreed should be withheld (adjudicatory, enforcement or investigatory, lawyer-client or legal j work product, classified or proprietary, and personal privacy) will be issued with a statement at the bottom of the first page which reads:
i l
" NOTE: ADJUDICATORY MATERIAL - LIMITED TO AUTHORIZED COMMISSION ADJUDICATORY EMPLOYEES UNLESS THE COMMISSION DETERMINES OTHERWISE"
" NOTE: (ENFORCEMENT) MATERIAL- LIMITED TO NRC UNLESS THE COMMISSION DETERMINES OTHERWISE"
- SECY papers which involve particularly sensitive matters and which contain a specific withhold recommendation by the originating office together with supporting justification will be issued with a statement which reads:
" NOTE: SENSITIVE INFORMATION - LIMITED TO NRC UNLESS THE COMMISSION DETERMINES OTHERWISE" Because the Commission's general policy is to release papers whenever possible, the use of this withholding category should be limited and, when used, requires solid justification for withholding on a case by case basis. The originating office must include in the supporting justification statement reasons which are sufficiently persuasive to set aside the release policy. Papers withheld from the public in this category are internal NRC documents and may not be given to any outside sources (licensees, industry working groups, etc.). If requested, SECY will obtain the views of the Commission on release of such papers.
Papers which do not involve matters discussed above will be released using the following i guidelines: l e Information Papers will be made publicly available 10 business days after i issuance of the paper by SECY. This allows the Commissioners time to become familiar with the paper and decide whether they would like to convert it to a Notation Vote paper before it is made publicly available.
e Affirmation Papers, Notation Vote Papers, and Negative Consent Papers will l
l l
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CHAPTER 11 - DECISION DOCUMENTS be made publicly available when the final SRM' is issued. An exception to this procedure will be made if a paper contains correspondence, Report to Congress, etc. .In these cases the paper and SRM will be issued with a statement which reads:
" NOTE: TO BE MADE PUBLICLY AVAILABLE 5 BUSINESS DAYS AFTER j THE [ LETTER / REPORT] IS DISPATCHED."
e if the Chairman or a Commissioner proposes that a paper be withheld their reason '
for withholding should be documented and the Commission will be polled. A majority vote is needed to withhold a document claimed to be sensitive or to release a document that is considered sensitive.
e The Commission may authorize release of a SECY paper to the public at an earlier time than the normal practice, to allow earlier public access to the SECY paper.
This can occur when there is a request made for early release of the paper from individuals either inside or outside the agency. When SECY receives a request for early release of a SECY paper, SECY will poll Commission offices. If a majority of l the Commission agrees with the request, the SECY paper will be made publicly '
%/ailable at a time to be determined by the Commission.
.SECY will send a copy to the Headquarters Public Document Room and notify the i appropriate staff that it is a public document. SECY will also notify the l
, Commission's Advisory Committee on Reactor Safeguards (ACRS), or other l appropriate advisory committees, which may conduct open meetings on the ;
l subject. l l
~
- FORMAT FOR STAFF PAPERS l AND MEMORANDA TO THE COMMISSION 1
l The following guidance concerns format for SECY papers and memoranda which are forwarded to the Commission for approval of a policy, a significant course of actinn, rulemaking, or a major adjudicatory matter.
SRM is the acronym for the Secretary's memorandum of decision, known as a Staff Requirements Memorandum, in which the Secretary records the results of collegial action on each paper. The SRM is described in greater detailin Chapter Ill.
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l CHAPTER 11 - DECISION DOCUMENTS
- 1. If the text of the paper or memorandum is more than 5 typed pages, single spaced, the paper should include a concise summary which sets forth the major issues (e.g.,
technical, policy, legal), the recommendation of the office sending the paper, a statement concerning dissenting views (if any), and a statement conceming personnel and funding resource requirements (if none so state).
- 2. If the subject of the paper has had a prior history before the Commission, the paper should provide the reference (staff paper numbers, meeting dates, memoranda, etc., and Commission actions on them) in a preliminary background paragraph.
- 3. If the paper recommends revised text in a document the Commission has been asked previously to approve, the additions and the deletions to that text should be clearly identified.
ACTION MEMORANDA Action Memoranda (COMs) may be (1) written exchanges between Commissioners on issues before the agency or on matters a Commissioner wants to bring to the attention of his or her fellow Commissioners, or (2) memoranda from the Executive Director for Operations (EDO), the Chief Financial Officer (CFO), the Chief Information Officer (ClO),
or other Commission-level office seeking guidance from the Commission. The use of this system allows Commissioners to develop preliminary views, explore options and proposed direction to the staff, and to initiate activities prior to staff offices becoming involved. In addition, this system allows the staff to obtain Commission views on matters that do not warrant development of a SECY paper. The Chairman has also used the system to obtain Commissioner concurrence on management issues such as contracts and personnel i actions. An attempt has been made to keep the system as informal as possible, with I flexible due dates and Commissioner responses to proposals either verbally to SECY, in I hand written notes, or in typewritten memoranda all being acceptable. Each memorandum is forwe-ded to the Office of the Secretary by the initiating Commissioner or office and ;
processed with a distinctive control and identification number, similar to the SECY paper numbering system, and a proposed due date (normally 10 business days). The numbering system for Commissioner memoranda consists of a three-letter Commissioner identification, year of issuance, and a consecutive number (e.g., COMSAJ-98-XXX, COMNJD-98-XXX). Staff memoranda are identified with a "COMSECY" identification number, year of issuance, and a consecutive number (COMSECY-98-XXX). Distribution of the COMS is normally set by the originating office. It can be limited to Commissioners only or they may be distributed more broadly to OGC, the EDO, the CIO, the CFO, or other offices. Detailed procedures and voting requirements for COMs are found in Chapter 111.
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CHAPTER ll- DECISION DOCUMENTS l As a general policy, COM documents developed by a Commissioner and COMSECY documents are released to the public after completion of the Commission's action, unless they contain specific, limited types of information which warrant protection, as described .
below:
l l
- COM and COMSECY documents involving matters which the Commission has l specifically agreed should be withheld (adjudicatory, enforcement or investigatory, I
lawyer-client or legal work product, classified or proprietary, and personal privacy) l will be issued with a statement at the bottom of the first page which for example l reads:
" NOTE: ADJUDICATORY MATERIAL - LIMITED TO AUTHORIZED
- COMMISSION ADJUDICATORY EMPLOYEES UNLESS THE COMMISSION DETERMINES OTHERWISE"
" NOTE: (ENFORCEMENT) MATERIAL - LIMITED TO NRC UNLESS THE l COMMISSION DETERMINES OTHERWISE" i l
e COM and COMSECY documents which involve particularly sensitive matters should l be accompanied by a specific withhold recommendation by the originating office.
These papers will be issued with a statement which reads: )
" NOTE: SENSITIVE INFORMATION - LIMITED TO NRC UNLESS THE COMMISSION DETERMINES OTHERWISE"
! Because the Commission's general policy is to release decision documents whenever possible, the use of this withholding category should be limited and, !
- when used, it requires solid justification for withholding on a case by case basis.
For COMs, the Commissioner initiating the COM should communicate to SECY the sensitivity of the particular COM. For COMSECYS, the Office of the Secretary will make the sensitivity determination along with the originating office. Papers withheld from the public in this category are intemal NRC documents and may not be given l to any outside sources (licensees, industry working groups, etc.). If requested, SECY will poll the Commission on release of such papers. SECYs and COMSECYs will be released if a majority of the Commission approves release. The COMs of
! individual Commissioners will be released only upon approval of the originating Commissioner (s).
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CHAPTER 11 - DECISION DOCUMENTS RELEASE OF DOCUMENTS UNDER FOIA ,
The Commission's decision-making documents, including the private intra-office exchanges j between a Commissioner and his or her personal staff, are subject to review for possible )
release under the Freedom of Information Act (FOlA). Upon receipt of an FOIA request for Commissioner records, individual Commissioner offices are advised and expected to
' identify and review all records within the scope of the request in their office files within the 20 business day statutory review period for FOIA requests. Release / withhold decisions are made by the individual offices. (See Appendix 2 for detailed procedures for handling i l
withheld documents in Commissioners' offices under FOIA.) If withheld documents are subject to later FOIA appeal, a second review is conducted and final decisions are made i by the individual offices with the advice of the General Counsel.
Commissioner offices are consulted prior to the release or withholding under the FOIA of j other Commission decision-making documents after review by the General Counsel's office l and SECY. If an FOIA appealis received, the Secretary is authorized to grant the appeal after consultation with the Commissioners. If no documents are to be released on appeal, !
the Secretary should consult with the Commission regarding the proposed withholding.
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CHAPTER lli l
VOTING Commission decision-making is done through voting at scheduled Commission meetings, through notational voting on prescribed Vote Sheets,5 by affirming a notational vote at an
' Affirmation session, or by responding to COMs. The Commission also uses the negative consent process which has no speic voting requirement but permits Commission comment on or discretionary intervention in an intended staff action. Fo!!owing the Commission vote (regardless of how conducted), or the expiration of time for intervention on a negative consent item, and Commission review of the SRM, the Office of the i Secretay issues a formal Staff Requirements Memorandum (SRM). (See section below on " Record of Votes"). ;
A majority Commission position is needed for action.' On Vote Sheets supplied by the Secretary, Commissioners vote to " Approve," " Disapprove," " Abstain," or "Do Not Participate." The vote sheet also provides space for Commissioners to provide views and i propose modifications for consideration by other Commissioners. The majority is determined by counting the " Approve" votes and the " Disapprove" votes. Non-responding Commissioners are recorded as "Not Participating" and are not included in the majority determination. l l
For meeting activities, a quorum is required for the transaction of business. The quorum is determined by including only the number of Commissioners participating who are voting to " Approve" or " Disapprove", or havo chosen to " Abstain."
Under certain circumstances a Commissioner may wish to recuse himself/herself from participation in a particular matter in order to avoid any actual or apparent conflict of interest. When this occurs, the determination of a quorum and the majority vote will be based upon the number of other Commissioners voting. The recused Commissioner does not submit a vote sheet on the issue and is not included for purposes of determining a quorum.
As a general matter, requests for Commission action will be denied if the Commission vote is 2-2;7 however, in those instances where the staff has authority to act on a matter, but 5
A sample Vote Sheet is in Appendix 3.
- The " Basis for Determining Voting Results" is described in Appendix 4.
7 See Appendix 5, Resolution of 2-2 Votes.
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CHAPTER lli- VOTING ._. _ . _.
must first consult with the Commission before taking a proposed action, the staff may, at its discretion, proceed with its proposed action after it has been informed by the Secretary that the Commission has been unable to act on the staffs proposal either because of a lack of a quorum or an evenly divided vote. -
VOTES AT COMMISSION MEETINGS 3
If an opportunity for voting occurs at a Commission meeting, the Chairman determines the l
need for a formal vote. Commissioners vote orally at the meeting when the Chairman calls for the vote. At an Affirmation Session, the Secretary describes the item on which formal ,
voting is to take place; reviews the outcome of the notational voting and any agreed to l modifications which have occurred on the issue, noting the position taken by the Commission; and asks the individual Commissioners to declare formally that they affirm the positions as described. Commissioners normally " affirm" their votes by declaring "aye" i or "yes"in unison. Separate individual views of Commissioners on matters to be affirmed l
must be circulated to the other Commissioners no later than 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> before affirmation. '
I i
l VOTES ON PAPERS l Vote Sheets are prepared by the Secretary for each SECY Notation and Affirmation paper.
When appropriate, the Vote Sheets are customized by SECY to permit voting on specific options or directions to the staff. Vote Sheets are delivered to each Commissioner's office when the paper is issued and are retumed to SECY by each office when the Commissioner has completed voting. Specific guidance for voting is as follows:
- 1. Action Dates
- a. The Commission's goal is that Commission action on the majority of the ;
papers be completed within 18 business days. i
- b. Commissioners are expected to complete voting within the first 10 business i days on the recommendation of a paper in most cases. After evaluation of the action required, the Office of the Secretary will, in some cases, set a shorter or longer time frame for Commission response; e.g. the substance of the paper, and/or a scheduled Commission meeting may require that a l longer time frame for Commission response be set. (Commission-level offices may comment on the recommendation within the first 5 business days.) Commissioners are urged to vote early, and to request any necessary extensions of time as early as possible, particularly if they are expected to j ..
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l CHAPTER lli- VOTING be out of town or unavailable to vote by the end of the 10 business day voting period.
- c. Extensions of voting time are normally limited to 5 business days. (See I section on " Continuances and Extensions of Time" in this chapter for a more l complete discussion of extensions.)
- d. At the completion of voting, SECY will draft a decision memorandum that reflects the majority position of the Commission and forward it to the j Commission for review.
- e. Three business days are allowed for circulation and review of the Secretary's i decision memorandum by the Commission.
- f. Commissioner requests for extensions of review time will be granted up to 2 business days.
- g. If Commissioners propose modifications to the SRM, SECY will poll the other I Commissioners through subsequent versions of an SRM and determine a majority position with regard to inclusion of the changes. Subsequent revisions on an SRM will normally be circulated for a 2 business day review period with no more than a 2 business day extension on each version. !
l
- h. SECY shall promptly transmit to the Commissioners any comments on a ;
draft SRM that a Commission-level or staff office transmits to SECY if the i submitter of the comments does not indicate delivery of a copy of the comments to the Commissioners.
- 2. Submission of Votes to the Secret,arg
- a. Commissioners select the appropriate expression of their position and mark the Vote Sheet accordingly (" Approved," " Disapproved," " Abstain," or "Not Participating").
- b. Commissioners may use the Vote Sheet to propose ameridments to the course of action recommended in the paper, to record comments on the issue, or to write separate views.
- c. Commissioners' staff forward the original and 9 copies of completed Votes to the Secretary as soon as they are available and promptly enter the correct vote in the Cornmission's on-line automated vote tracking system maintained by SECY.
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CHAPTER lll - VOTING 1
1
- d. Individual completed vote sheets are transmitted by SECY to the other Commissioners for their consideration and to the appropriate staff (e.g.,
OGC, IP, EDO, CFO, CIO) for information. Further distribution of vote sheets within the staff is permissible upon issuance of the vote, but distribution outside the agency is permissible only after the final collegial decision is recorded by the Secretary in a memorandum to the action office i (Staff Requirements Memorandum (SRM)). Staff actions are not to be based l upon individual Commissioner votes; the staff's actions are controlled by a l majority vote of the Commission as directed in the SRM when issued. SECY l
shall promptly transmit to the Commission any comments that a l Commission-level or staff. office submits to SECY regarding one or more l votes if the submitter of the comments does not indicate delivery of a copy l of the comments to the Commissioners.
l e. If a Commissioner proposes modifications to the course of action recommended in the paper, or proposes revisioris to a document on which voting is taking place, other Commissioners, or the Executive Assistants or their designees, are expected to indicate their agreement / disagreement with the proposed changes. SECY transmits all votes / comments to other Commissioners and through the SRM process and discussions with Commissioner offices determines whether individual modifications to the j initial proposal receive support by a majority of the Commission.
- f. The Office of the Secretary will handle the release of the SECY Paper, Staff Requirements Memorandum, and Commission Voting Record, which l
I includes individual Commissioner votes, as a unit, based upon the I
releasibility of the SECY Paper. A Commissioner should inform SECY and l
their fellow Commissioners promptly if they make a release / withhold l determination on their vote that is different from the release / withhold determination made for a SECY Paper. Appropriate staff offices will be advised prior to the release.
- 3. Recording of Commissioner Votes While Away from the Office The preferred methods for recording Commissioner votes while a Commissioner is away from the office are:
I e a Commissioner faxes his or her signed vote to the office from the'off-site l location for use by SECY, or e uses an overnight mail service to transmit the vote to his or her office for transmittal to SECY.
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CHAPTER lli- VOTING_
However, the preferred methods may, in certain circumstances, not be possible.
The following mechanism will be followed in those cases:
i f
e A Commissioner votes orally through telephone contact with his or her staff.
A Commissioner's Assistant forwards to SECY the Commissioner's completed vote sheet. (This continues to allow the Commission's action to be taken and the SRM drafte.1 on the issue without delay.) Upon the Commissioner's retum, he or she should sign and date an additional vote sheet and forward it to SECY. SECY will use this vote sheet for placement in the official record, and, if appropriate, release it to the public in the Commission Voting Record.
SECY will ensure that no delay is incurred while waiting for the actual Commissioner-signed vote sheet in the issuance and public release of SRMs and the Commission Voting Records. If a Commissioner-signed vote sheet is not l available at the normal time of public release of an SRM and the Commission Voting Record, SECY will include a note in the Voting Record stating that the missing Commissioner-signed vote sheet will be added to the Voting Record when it is available.
l.
COMMENTS ON ACTION MEMORANDA (COMS)
I
- 1. When a Commissioner sends an action memorandum to his or her fellow i Commissioners and requests their views or when the staff sends a memorandum requesting Commission views, it is forwarded to the Office of the Secretary with the ;
notation: "SECY please track."
- 2. The Secretary assigns a specific reply date of 10 business days, or less depending upon the subject matter (or the date requested by the originator), and assigns a distinctive control and identification number (e.g. COMSAJ-98-XXX if Commission originated memorandum or COMSECY-98-XXX if originated by the staff, see Chapter ll-Decision Documents, " Action Memoranda"). If the memorandum is related to a SECY paper, a projected response date will be assigned in conjunction with the date assigned to the SECY paper (including any approved extensions).
- 3. A copy of the memorandum is circulated to each Commissioner's office and SECY tracks each Commissioner's response. If the memorandum is related to a SECY paper, the Secretary tracks the comments in conjunction with e SECY paper.
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CHAPTER ll1 - VOTING
- 4. Commissioners respond to SECY in writing by separate memorandum to SECY or
- . by handwritten or typed comment directly on their copy (or Xerox) of the COM l memorandum.
- 5. SECY transmits all comments to other Commissioners for information. (See section on " Record of Votes" later in this chapter.)
! 6. After all Commissioner comments are received, SECY develops a decision memorandum. For COMSECYS, an SRM is generated. For Commissioner-generated COMs, a memorandum reporting the outcome is addressed to the individual Commissioner it.itiating the COM and, an SRM is prepared if tasking or .
guidance to the staff is the result. When Commissioners' comments differ and there
{
l is not a majority position, SECY may meet with Commissioner assistants, the staff, i OGC, and/or Commissioners to resolve differing points of view. If necessary, a i Commission meeting may be scheduled to resolve the issue.
1
- 7. Normally, the Office of the Secretary will handle the release of the COM, the decision memorandum, and individual Commissioner comments as a unit, based upon the releasibility of the COM paper. This procedure, however, does not j l preclude a Commissioner from withholding his or her vote when the COM has been ;
I released or vice versa, in appropriate circumstances. A Commissioner should inform SECY and their fellow Commissioners promptly if they make a I
release / withhold determination on their vote that is different from the release / withhold determination made for a COM. i i
NEGATIVE CONSENT PROCESS No formal vote or expression of position is required in the case of issues which are brought to the Commission in a " Negative Consent" process. In this process, the Commission is informed, usually in SECY paper format, of a proposed staff action to be taken by the staff l within its authority in the near future. The paper shall clearly indicate that the official l submitting the paper has made the threshold determination that the paper concerns a l proposed staff action within the staff's authority that will be taken in the near future. The l Commission is authorized a period of time in which to make its contrary views known; if, l at the end of the period, no contrary views have been expressed, SECY will advise the staffin an SRM that the action proposed in the paper may be taken. A Commissioner may request formal voting on a Negative Consent paper and SECY will convert the paper to a Notation paper, issue vote sheets, and assign a due date. The original due date of the paper will be retained, or ifless than 5 business days remain before the original due date, a new date allowing up to 5 additional business days will be designated. The Office of the Secretary will send a courtesy message to each Commissioner office on the 7th business lil-6
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CHAPTER 111 -VOTING 1
day of the Commission's 10 business day negative consent period indicating that the time i
to make contrary views known is about to expire and that the Office of the Secretary plans to send an SRM by COB on the due date to close out the Negative Consent paper. This will serve as a reminder that a Commissioner may request an extension of time, if needed, or convert the paper to a Notation Vote if the Commissioner plans to comment.
l CONTINUANCES AND EXTENSIONS OF TIME 8 l 1. If a Commissioner is unable to meet an original due date, he or she may request an l extension of time to vote on a SECY Notation or Affirmation paper, on an action ,
l memorandum, or for review of a Negative Consent paper. The Secretary will honor i requests submitted within the 10 business day voting period and within the additional 3 business day period, if needed, when Commissioners who have not yet responded are advised that a majority of the Commission has voted (see 3 below).
Extensions of voting time are normally limited to 5 business days. Any extension after the initial request can be granted unless a majority of the Commission objects.
- 2. When voting papers are issued, Commission level offices are normally asked to provide any comments within 5 business days; if the Commission level office wishes to comment but cannot meet the 5 business day deadline, it should inform SECY in writing of the reason (s) for the delay and provide the approximate date that comments will be submitted. SECY will inform the Commissioners.
- 3. If a Commissioner has requested that additional information or analyses be received from the staff before voting, it is incumbent upon the staff to fulfill the request expeditiously to avoid delay in completing the voting process.
CLOSURE PROCESS
- 1. When a majority of the Commission has voted, SECY notifies the remaining Commissioners in writing of the majority action. .The non-voting Commissioners are 8
Appendix 6 contains procedures for assuring that the Commission will have sufficient voting time when its formal review time for adjudicatory actions is lirnited by NRC regulations.
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CHAPTER lli - VOTING advised that they ha've 3 additional business days to vote.' If there are more than 3 business days remaining of the original 10 business day voting period, their votes would not be due until the end of that period.
- 2. When Commissioners' votes differ and there is not a majority position, SECY may meet with Commissioner assistants, the staff, OGC, and/or Commissioners to resolve differing points of view. If appropriate, a Commission meeting may be scheduled to resolve the issue.
- 3. In the case of Negative Consent papers, SECY may circulate the draft SRM for a 3 business day review at the end of the 7th business day of the Commission's 10 business day negative consent period. An SRM will be circulated only if comments are received on the Negative Consent paper (see following section on " Staff Requirements Memorandum", Number 5).
i RECORD OF VOTES
- 1. Staff Requirements Memorandum ,
After the Commission completes its vote or after at least a majority of the j Commission has voted and all extensions of time have expired, SECY records the i decision in a Staff Requirements Memorandum (SRM).'
When Commissioners' votes differ and there is not a clear majority position on the staff proposal or on amendments to that proposal by individual Commissioners, SECY may meet with Commissioner assistants, the staff, OGC, and/or Commissioners to resolve differing points of view. In the case of an Affirmation action, the SRM is not written until the formal vote has been taken at the Commission meeting scheduled for that purpose (see Chapter IV, " Affirmation Sessions").
l l
If a majority of Commissioners has not voted by the end of the 10 business day voting limit, no action can be taken. SECY may institute the closure process only after a majority of the Commission votes have been received.
A sample Staff Requirements Memorandum (SRM) is located at Appendix l 7.
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L CHAPTER lli - VOTING l
l The SRM includes:
1 l
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- a. a concise statement of the Commission's decision on the recommendation i l
of the paper, noting specifically any approved modifications to the recommendation;
- b. a clear statement of any additional requirements or tasks to be performed by ;
the staff together with appropriate action due dates and designation of high priority, if appropriate; these dates are assigned by SECY and confirmed through the circulation of the draft SRM; and l
l
- c. any exceptions to immediate public release of the SRM will be clearly indicated in a statement at the bottom of the first page.
l
- 2. On a Negative Consent paper, the negative consent, (assent to the staff's recommendation) will also be recorded in a Staff Requirements Memorandum ac the i end of the Commission's review time (10 business days), absent a Commissioner's request for extension of the review time.
- 3. If the Commission is unable to reach a decision on an issue not delegated to the !
staff because of a 2-2 split vote), the Secretary's SRM will advise the staff that the proposed action is not approved. The staff may resubmit the issue for Commission !
I consideration when the reason for the inability to reach a decision has been rectified (e.g., when additional Commissioners are appointed, or when new or additional information is provided to the Commission). In cases where the staff has authority to act but discretion requires them to first consult with the Commission before taking a proposed action (e.g., an enforcement matter), the SRM may advise the staff that it may proceed with its action even though the Commission has bee.n unable to act either because of a lack of a quorum or an evenly divided vote.
- 4. . With the exception of SRMs on Affirmation items (see 6 below),. draft SRMs are circulated to the Commission, OGC, EDO, CFO, CIO, and others as appropriate, for a 3 business day review period. Commissioner requests for extensions for l review will be granted up to 2 business days. OGC, EDO, CFO and CIO, etc. are l afforded an opportunity to review the SRM to ensure that the Commission decision is clear and understandable and that resource, schedular, and legal constraints are properly considered. If no suggested modifications are received at the end of that time, the memorandim will be sent to the staff. If Commissioners or staff or l Commission level offices propose modifications to the SRM, SECY will poll the other l
Commissioners through subsequent versions of the SRM and determine a majority position with regard to inclusion of the changes. In order to conclude the decision-making process in a timely manner, subsequent versions of SRMs will normally be lll-9
CHAPTER lil -VOTING circulated for a 2 business day review period or less with no more than a 2 business day extension granted on each version.
- 5. The 3 business day Commission review of final SRM's may be waived when (1) the memorandum is based upon unanimous approval, without amendment; (2) it closes out a Negative Consent paper in which the time for Commission review expires without further action of the Commission; or (3) when time is a major consideration and the memorandum is cleared with each office by SECY. If a Commissioner objects to the waiver, SECY will poll the other Commissioners to determine what action should be taken. Waiver action will be determined by a majority of the Commission.
- 6. The 3 business day Commission review does not apply to SRMs on items requiring affirmation. Since these SRMs restate the formal Commission's position affirmed in a public Affirmation Session (see Chapter IV, page 4), they are issued immediately following the affirmation.
- 7. Commission Voting Record i
When the final Staff Requirements Memorandum (SRM) is issued, the Secretary will j issue a Commission Voting Record package (see Appendix 5) which will include. ;
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- a. an indication of affirmative votes, negative votes, abstentions, non participation, and individual views of all Commissioners;
- b. a copy of each Commissioner's vote sheet;
- c. a comment resolution section indicating the extent to which differing views, if any, as expressed in the individual vote sheets, were accommodated, ,
resolved, and reflected in the final decision; and
- d. a copy of the final SRM.
Copies of the Commission Voting Record will be sent to OGC, EDO, CFO, CIO, and Public Document Room (PDR) when appropriate.
TRACKING OF REQUIREMENTS AND TASKS
, All requirements and tasks identified in SECY papers, meetings, and COM SRMs are
! entered into the Commission Tracking System maintained by SECY. The system also tracks requirements for staff actions identified through Commission correspondence, in lll-10
r i CHAPTER 111 - VOTING memoranda or infom1ation papers, and through individual Commissioner requests such as
- items on the Chairman's Tracking List. The Tracking System enables SECY to provide the Commission and the action offices with pertinent status information to assist in focusing management attention and setting priorities for the completion of tasks on schedule.
The Commission Tracking System is available online to Commissioner Offices.
The SECY Tracking Officer provides the following periodic reports in hard copy:
e Weekly status report to the Commission on overdue tasks and tasks with revised due dates
- Monthly reports of open tasks for individual Office Directors e Quarterly reports of open tasks for the Commissioners The Tracking System includes a feature to identify high priority tasks for which due dates are particularly important. When a requirement is designated high priority in an SRM, it is coded to indicate that all due date extensions are subject to Commission review. For high priority tasks the action office must notify the SECY Tracking Officer in writing or by e-mail, at least 10 calendar days prior to the date due to the Commission, if that date will not be met, explaining the reason for the delay and providing a revised due date. In this way, the Commission will be notified of all extencions to high priority tasks and can make a determination on the acceptability of the new date. The SECY Tracking Officer will check with Commissioners' offices to confirm that the revised date is acceptable.
For other tasks, due date extensions will be accepted, provided that there is a reasonable explanation for the change and the revised due date is not more than 90 calendar days beyond the Commission requested due date. An exception applies when a task of particular interest to an individual Commissioner (i.e., on the Chairman's tracking list or tracked from a Commissioner's COM or memo) receives a revised due date. In such a case, the SECY Tracking Officer will confirm the acceptability of the revised date with the Chairman's or the Commissioner's office.
The Commission will be notified by the SECY Tracking Officer of tasks for which requested extensions will alter the due date by 90 calendar days or more. However, in cases where the requested revised due date will extend beyond six months from the initial due date, the l action office must notify the SECY Tracking Officer in writing or by e-mail, at least 10 i calendar days prior to the current due date, explaining the reason for the delay and providing a revised due date. Given no objection from a majority of the Commission, SECY will extend the due date. If a majority of the Commission objects to a new due date, the Office of the Secretary will request the action office to re-evaluate the revised due date.
! l l 111-1 1 l
1 l
CHAPTER lli - VOTING MOTIONS FOR RECONSIDERATION OF A DECISION l l
Any Commissioner may request the Commission to reconsider a decision. Such requests ,
are addressed to SECY in writing and contain a brief explanation of the reason for the request. The subject should be entitled " Request for Reconsideration". Except as noted ;
below (3), such a request does not prevent the implementation of the decision or the Commission Order that recorded the initial decision. (See also Chapter IV, p. 8.)
- 1. SECY distributes the request to the other Commissioners with an attached vote sheet asking Commissioner views within 5 business days.
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- 2. If a majority of participating Commissioners vote to reconsider, SECY notifies the appropriate action office. The issue then is again presented to the Commission in the same format as the original vote, i.e., if the original decision was reached at a I Commission meeting, another meeting will be scheduled for reconsideration. If a different resolution method is preferred, the Commissioners should so indicate on their response sheet.
- 3. The earlier decision remains in effect while the Commission reconsiders the matter unless a majority declares the earlier decision to be stayed. In this instance, SECY ;
notifies the appropriate action office that the earlier Commission decision has been !
sta'yed pending reconsideration. In some instances this requires a letter or !
" withdrawal" order which in tum may require a separate affirmation vote. Copies of these notifications are provided to all Commissioners and appropriate staff offices.
WITHDRAWAL OF SECY PAPERS A SECY paper will be retumed to the staff without action if a majority of the Commissioners ;
participating subscribe to that course of action. Staff must ask for withdrawal of a SECY !
paper in writing if the action is to be based on staff's initiative.
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CHAPTER IV i
COMMISSION MEETINGS l 1
GOVERNMENT IN THE SUNSHINE ACT '
The Government in the Sunshine Act (PL 94-409) requires the collegial agencies of the Federal Govemment, including the NRC, to open meetings of their Commissioners to public observation except where the subject matter falls within one of the specific categories of exemption. The law is based on the premise that "the public is entitled to the fullest practicable information regarding the decision-making process of the Federal 3 Government." The Government in the Sunshine Act applies to meetings of at least a i quorum of Commissioners where deliberations determine or result in the joint conduct or disposition of official Commission business. This Chapter describes procedures only for Commission meetings which are governed by the Sunshine Act.
The Act favors open meetings. An agency, however, is allowed to close a meeting or portions of a meeting or to withhold information about a meeting or portions of a meeting if the agency determines that the meeting or portions thereof, if opened, or the information, if released, would likely disclose exempted information protected from disclosure under one or more of the 10 exemptions authorized by the Act. A list of these exemptions is contained in 10 CFR Part 9. Determinations to close a meeting require a recorded majority vote of the entire Commission membership.
The Act further requires NRC and similar agencies to publicly announce, al east one week l prior to each meeting, its time, place, and subject matter, and whether it is to be open or closed. The agency can provide less than 7 calendar days notice of a meeting, provided a majority of the Commission membership determines by recorded vote "that agency l l business requires"less notice. l DEVELOPMENT O'F COMMISSION SCHEDULE i 1. SECY prepares weekly a schedule of Commission meetings from an assessment of the following considerations: I
- a. a projection of anticipated meeting subjects from the EDO;
- b. projections and requirements known to SECY; i
IV-1
E i l
1 l
CHAPTER IV - COMMISSION MEETINGS
- d. availability of Commissioners; j
- e. readiness of affirmation items;
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- f. requests for meetings with the Commission by outside agencies or organizations; and l
- g. requests for a meeting by any Commissioner.
- 2. First priority is given to the scheduling of meetings, principally from 10:00 a.m. to l 11:30 a.m., and from 2:00 p.m. to 3:30 p.m., on days when all Commissioners are available.
- 3. Factors such as holidays, Congressional hearings, availability of staff, and the conflicting schedules of individual Commissioners influence the dates and times i available for meetings. As part of the data-gathering process, Commissioners' staffs enter individual travel and leave plans and other appointment information of each Commissioner into an on-line automated calendaring system which provides an integrated daily schedule of Commissioner availability.
- 4. SECY meets at pre-agenda sessions with the Chairman and representatives of OGC, EDO, and OCA. SECY provides a proposed Commission schedule with 7 planning weeks. The results of the meeting form the basis for the Chairman's proposed agenda to the other Commissioners.
- 5. The schedule, as approved by the Chairman, is reviewed and approved by the Commission at Agenda Planning Sessions conducted by the Chairman.
Commissioners and/or their representatives and representatives from EDO, CIO, l CFO, OGC, SECY, OCA, OPA, and OCAA normally attend and participate as i appropriate. In recognition of the collegial process, an individual Commissioner's request that a meeting be scheduled will be granted unless a majority of the Commission disapproves the request. The approved schedule for the subsequent 7 week period is published by SECY and given wide circulation to the Headquarters l and Regional Offices. A summary of the schedule is also released to the Federal i Register for publication and posted to the NRC Home Page on the World Wide Web. ,
1 IV-2 1 -
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- - . - COMMISSION MEETINGS CHAPTER IV __ . _ _ - - . . - _ - _ _ - - - - - - - _
- 6. In addition, the Secretary includes in the Commission's agenda scheduling package a listing of projected and completed Commissioner visits to nuclear power plants and other facilities, schedules of emergency planning exercises, and a 12 month projection of Commissioners' travel and leave.
FORMAT FOR COMMISSION MEETINGS The Commission has conducted business in both open and closed meetings and in several different meeting formats over the years. Adjustments in style, format, and conduct are made to best suit the information gathering and decision-making needs of the Commission.
The vast majority of Commission meetings are open for public observation. Members of the public may attend meetings held in the Commission's main conference room, observe the presentations and discussions, and obtain copies of NRC documents released at the meeting. They may not address the Commission or other meeting participants without prior Commission approval. Members of the public that desire to speak at a Commission meeting should submit their requests in writing to the Secretary of the Commission.
Under certain circumstances allowed by the Government in the Sunshine Act, the Commission may meet in closed session. A separate conference room is normally utilized for this purpose.
- 1. Open/Public Commission Meetings i
As previously noted, the Govemment in the Sunshine Act presumes that most Commission meetings will be conducted in public. Open meetings are held to enable the Commission to gather information in Briefings by NRC staff members," the regulated industry, and members of the public in fulfillment of the Commission's responsibilities. In addition to gathering information in staff briefings, the Commission may utilize its meetings to provide the staff with guidance on future activities, and/or Vote on specific issues such as restart of a nuclear plant. Commission voting and decision-making activities may occur at the end of briefings by the staff, industry and/or public, or voting may occur at a later date after the Commission has had the opportunity to consider the information received during the briefing or from other documents and views. Commission meetings and briefings are generally scheduled to last 1-1/2 hours.
1 i
I
" The procedures for staff presentations at Commission meetings are in Appendix 8.
IV-3 i
CHAPTER IV - COMMISSION MEETINGS Voting does occur at short meetings (Affirmation Sessions) held to affirm positions 4 previously taken in the notation voting process (see Chapter ll for a description of Affirmation Papers and Chapter 111" Votes at Commission Meetings"). Affirmation Sessions which may involve a short 5-10 minute discussion of issues, are required, by law,52 to enable the Commissioners, in the presence of each other, to formally ratify votes previously cast by paper ballot. Affirmation Sessions are generally scheduled to obtain a formal vote of the Commission on recommended actions which legally bind those the NRC regulates or has a significant legal effect on persons outside the Commission. Such actions usually involve the issuance of final rules or adjudicatory orders. Significant Orders ,
of the Commission (and its Licensing Boards) are printed in a cumulative compilation of NRC adjudicatory decisions entitled Nuclear Regulatory Commission Issuances.'
The Commission may also hold occasional open meetings for a Collegial Discussion of a variety of matters of current interest to individual Commissioners. These meetings, while open to the public, do not usually have a formal agenda, do not involve the active participation of the NRC staff, and may or may not result in a Commission decision on any particular issue discussed.
All open meetings are transcribed by a stenographic reporting contractor for the Commission. Unedited copies of the transcripts are maintained by SECY and made available for inspection and copying by members of the public in the Commission's Public Document Room and, for meetings after September 1,1991, may be viewed and downloaded from the NRC Home Page on the World Wide Web. Each transcript contains a disclaimer stating that it is not a part of the formal or informal record of decision of matters discussed and that expressions of opinion in the transcript do not necessarily reflect final determinations or beliefs. {
j f
22 The provisions of the Energy Reorganization Act of 1974 require that a
" quorum for the transaction of business shall consist of at least three J
members present" and that "[ Action of the Commission shall be determined by a majority vote of the members present"(42 USC 5841).
The Commission has determined that the requirement of " presence" does not preclude the Commission from meeting with the participation of a Commissioner who is "present" by speaker phone, so long as there is no impairment of the Commissioner's ability to hear and be heard by all those in the room, and no effect on the public rights of attendance and observation under the Sunshine Act.
2' Appendix 9 contains a description of the Orders published in the Nuclear )
Regulatory Commission issuances document.
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CHAPTER IV - COMMISS10N MEETINGS f .. .
- 2. Closed Commission Meetings l
Under certain limited circumstances, the Commission may meet in closed session. The Government in the Sunshine Act allows the Commission to hold discussions in closed session when the discussion includes classified information, proprietary information, investigation and enforcement matters, internal management and personnel matters,
, certain adjudicatory / litigation matters, and information the premature disclosure of which would be likely to significantly frustrate implementation of a proposed Commission action.
A detailed set of" Security Procedures for Conducting Classified Meetings / Hearings" has I been issued by the Division of Security and Facilities Support, Office of Administration, in consultation with the Office of the Secretary. See Appendix 10 for the complete procedures.
As with open meetings, closed meetings are also used to provide the Commission with information in briefinas by the staff, and allows the Commission to make decisions (Mate) on issues requiring a decision.
l The most common types of closed Commission meetings are:
l Manaaement and Organization - the Commission considers management, organization, and personnelissues requiring collegial attention. Attendance is very l
limited - often only the Commissioners attend.
EEnqutive Branch briefings are held in closed session to permit representatives of Executive Branch Departments and Agencies to brief the Commission on classified l matters related to the Commission's responsibilities for import and export of nuclear materials and production and utilization facilities or other matters relating to security j and safeguards of nuclear material and facilities.
Investigative Matters - on occasion, the Commission is briefed in closed session by the inspector General and/or the Office of Investigations on pending investigative I matters.
l Ad!udicatorv/ Litigation - on occasion, the Commission is briefed in closed session by the General Counsel or the Office of Commission Appellate Adjudication on current adjudicatory / litigation matters.
As required by the Government in the Sunshine Act, NRC maintains a complete verbatim transcript or electronic recording of all closed meetings except certain adjudicatory meetings which may be recorded by detailed minutes. For every closed meeting, the IV-5
F l
CHAPTER IV COMMISSION MEETINGS General Counsel must cedify that the meeting may be properly closed. The agency must maintain a copy of the General Counsers cedification along with a statement of the presiding officer of the meeting (the Chairman) stating the time and place of the meeting j and listing the persons actually present. The Secretary prepares this statement for the l Chairman. l The records of closed meetings (transcripts and/or tape recordings) are normally retained by SECY, the Division of Security, or the Office of the Chairman, depending on the J classification and sensitivity of the meeting. These records may be released to the public j following review and approval by the Commission. The reviews are conducted by the ;
originators, other agencies if involved, Division of Security as needed, OGC, and l Commissioners. SECY coordinates the review.
Long-hand minutes are used occasionally to record closed, adjudicatory meetings as permitted by the Government in the Sunshine,Act. Minutes are prepared by SECY.
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CONDUCT OF COMMISSION MEETINGS
- 1. . The Commission desires to start its meetings promptly at the time scheduled. The !
Chairman or the designated Commissioner can begin a decision meeting as soon j as a quorum of Commissioners is present. !
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- 2. The Chairman or designated Commissioner may begin non-decision meetings at j the time scheduled but not later than 5 minutes after the scheduled start time unless !
a Commissioner has requested that the meeting be delayed.
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- 3. Meetings are generally informal in nature; the Chairman or the designated l Commissioner presides at all meetings and assures equal oppodunity for l padicipation and questions by all Commissioners present.
- 4. On occasion the Commission conducts formal sessions at which representatives of l the parties in a particular adjudicatory proceeding are invited to present their !
positions in an Oral Argument before the Commission. Procedural arrangements 1 are established in advance to determine the issues for discussion and to specify time limits for each Party's presentation.
- 5. A Commissioner who is unavoidably absent, such as because of medical leave or ,
official travel, may take pad in any Commission meeting, as described above in this l Chapter, provided that he or she is in two-way communication with the other l
IV-6
CHAPTER IV - COMMISSION MEETINGS Commissioners in the meeting by a device (e.g., a speaker phone) that allows the voice of the absent Commissioner to be heard by all present in the meeting room, and that allows the absent Commissioner to hear the entire discussion in the meeting. This procedure applies whether or not the participation of the absent Commist.ioner is needed to create a quorum for the transaction of business. A Commissioner participating in a meeting by speaker phone has the same rights of voting possessed by every other Commissioner. When this procedure is employed, the Secretary will ensure that voices are properly identified.
MEETING-RELATED DOCUMENTS
- 1. Documents in Advance of Meetinas in order to prepare for matters to be discussed at meetings, the following documents are required in advance so that the Commissioners may familiarize themselves with the purpose and content of matters to be presented:
- a. Pertinent SECY papers, documents or briefing outlines by the staff unit involved must (except in extraordinary circumstances) be available to Commissioners at least 5 business days before a meeting on a particular subject is held. If the document is not available 5 business days in advance, the originating office should explain the reason to the Commission in a cover memorandum. Commissioners may request postponement of a meeting if they do not have sufficient time to review late arriving documents. When such requests are made, SECY discusses the issue with the Chairman and polls the other Commissioners to determine whether the meeting will be postponed.
- b. Viewgraphs, if they are to be used, should also be received by the Commission at least 5 business days prior to meetings.
- c. Any memoranda by Commission level offices pertinent to the subject matter should be available well in advance (at least 5 business days) of the meeting.
- 2. Documents at Meetinas At open Commission meetings, SECY ensures that copies of the principal documents referenced in the Commission schedule and viewgraphs are placed near
_._w___._
IV-7
CHAPTER IV -COMMISSION MEETINGS the entrance of the Commission Conference Room for members of the public. The presenters (staff unit or outside entity) are responsible for providing sufficient copies of the viewgraphs or other relevant written information for public availability and should ensure they arrive in the briefing room 20 minutes prior to the start of the meeting. SECY will provide copies of SECY papers. On occasion, additional documents will be available to members of the public at the meeting if it is anticipated that the discussion will draw upon information contained in the documents. Every document made publicly available at the meeting is placed in the Public Document Room after the conclusion of the meeting. Occasionally, documents are made available in the Public Document Room in advance of a Commission meeting on the subject.
STAFF REQUIREMENTS MEMORANDA After meetings, Commission decisions are recorded in a Staff Requirements Memorandum (SRM) prepared by the Secretary and issued to the action addressee, with copies to the Commissioners and interested staff offices to memorialize the Commission decisions or actions that took place in the meeting and the requirements placed on the staff for implementing action. Procedures for developing, reviewing, and issuing meeting SRMs are identical to those described in Chapter ill for voting SRMs.
I IV-8
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CHAPTER V
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INSTITUTIONAL CORRESPONDENCE :
l l The agency policy is to ensure preparation of responsive, timely replies to all ;
correspondence requiring action by the Commission. This demands personal attention by staff managers as well as priority action by Commissioners. Procedures regarding the preparation of Congressional testimony and proceJures for tracking commitments made ,
in Congressional hearings and for forwarding responses to Congress are set forth in l Chapter Vll.
1 INCOMING CORRESPONDENCE l
- 1. Recelot and Review by the Office of the Secretary I l a. Extemal correspondence addressed to the Chairman, or the Cornmission, or the Secretary, and all Congressional correspondence addressed to the l Chairman, and the Commission, and the Secretary is delivered to the Office l of the Secretary. Correspondence addressed to individual Commissioners I is handled according to procedures established by each Commissioner.
- b. SECY reviews the incoming correspondence and makes an initial l
determination as to:
l l o whether a response is necessary; o who should prepare the response and how much preparation time will be allowed; l o who should sign the response if one is required; l o whether the response will require Chairman review or collegial Commission review; l
l o whether an acknowledgment is required and who should prepare it; and o whether the communication is ex carte as defined by the Commission's Rules of Practice (10 CFR 2.780), and requires special handling.
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CHAPTER V -INSTITUTIONAL CORRESPONDENCE
- c. If an incoming communication is believed to be ex oarte. SECY consults with OGC and OCAA, as necessary, before the correspondence is assigned to an action office. (See further discussion of ex carte rule in this Chapter.)
GUIDELINES FOR COMMISSION RESPONSE
- 1. Action Assigned by the Office of the Secretary
- a. Action Office Depending upon the subject matter and the issues addressed in the incoming letter, the responsibility for preparing an appropriate response will be assigned to the Chairman, Executive Director for Operations (EDO), Chief Financial Officer (CFO), Chief Information Officer (CIO), General Counsel, or Director of a Commission level office.
- b. Action Assignment Sheet A customized action assignment sheet is produced for each incoming letter containing such information as the author, date of the letter, subject matter, date logged, due date, etc., along with a specific control number for tracking.
Allincoming correspondence addressed to the Chairman or Commission is initially reviewed by the Office of the Secretary in coordination with the Office of the Chairman to determine whether the response will require collegial Commission review or only review by the Chairman; this determination is specified on the action assignment sheet.
- c. Signature Levej The following factors are considered in determining whether correspondence will be reviewed and/or signed at the Commission level, by the EDO, CFO, CIO, or by a Commission level office:
o does the correspondence involve substantive new policy or legal issues; o is the communication an official transmittal to Congress of reports and studies and other communications expressly required by law; V-2 '
CHAPTER V - INSTITUTIONAL CORRESPONDENCE o is it correspondence from/to Congressional Committees, Senators or Representatives; o is it correspondence from/to the White House, State Govemors, or Heads of Federal Agencies and Departments; o does the communication involve Office of Management and Budget (OMB) requests for comments on proposed Executive Orders or logislative proposals requiring collegial Commission review; o does the communication involve Comptroller General final reports which require action by NRC in response to General Accounting Office (GAO) recommendations; and o is the incoming correspondence an executive communication as determined by the signatory's present position or previous relationship with NRC and/or urgency or gravity of the subject content of the communication.
Correspondence not requiring signature by the Chairman is assigned to the appropriate Commission level office or the EDO, CFO, CIO offices to prepare a response for the signature of an individual designated by the EDO, CFO, CIO, or Office Director responsible for the action.
Communications of a routine nature to Members of Congress, Congressional Committees and their respective staffs may be signed by the Office of Congressional Affairs.
- d. Suspense Date If possible, it is the intent of the Commission to answer Commission correspondence requiring a response within 16 business days of initial receipt into the agency. As a general rule, therefore, all incoming correspondence requiring signature of the Chairman is assigned a suspense that allows the action office ten (10) business days to draft a proposed reply.
The remaining time (6 business days) is assigned for Commission review of the proposed reply.
- e. Acknowledgment Reauirements The assignment sheet will indicate whether the correspondence requires an acknowledgment. The following correspondence will be acknowledged by V-3 l
1 CHAPTER V - INSTITUTIONAL CORRESPONDENCE . ..
the office indicated on the assignment sheet within 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> of receipt:
o Congressional correspondence (by OCA); '
o Correspondence from State and local govemment officials and Indian Tribe representatives (by EDO/SP);
o All other correspondence designated for reply, including correspondence from the White House or the Head of a Federal Agency (by SECY).
- f. Ex parts Communications The Commission's ex parte rule (10 CFR 2.780) provides in part that "...(a)
Interested persons outside the agency may not make or knowingly cause to be made to any Commission adjudicatory employee, any ex carte communication relevant to the merits of the proceeding..." Ex carte or separate communications to a Commission adjudicatory employee (including Chairman / Commissioners) on an active adjudicatory matter are strictly prohibited- by this regulation. If it is determined that a piece of correspondence is subject to the Commission's ex parte rule, it is normally assigned to the appropriate action office; information copies are given to the Commission and the appropriate Licensing Board; " service" copies are sent to all parties to the proceeding involved and to the communicator; and a copy is made available to the public in the Commission's Public Document Room.
The Commission has directed that, as a matter of practice, ex oarte communications about pending adjudications should be served to the parties promptly when they are received, regardless of their source. The Office of l the Secretary provides a standard-format response to the sender explaining {
that in conformity with the NRC's rules on handling of such communications, j it has been served on the parties to the proceeding. If a further staff j response is called for, this letter can tell the writer to expect the staff to respond shortly to the merits of the incoming letter. i Ex carte communications include those received from parties to the i proceeding, participants under 10 CFR 2.715(a), other public officials, competitors, and nonprofit or public interest organizations and associations ,
with a specialinterest in the proceedings. Communications received from )
a member of the public at large who makes a casual or general expression of opinion about a pending proceeding are not considered ex carte communications under NRC regulations. See 51 Fed. Reg. 10393,10396 V-4 l l
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r CHAPTER V ~ INSTITUTIONAL CORRESPONDENCE l
(March 26,1996). (NRC staff communications to the Commission are governed by separation of function rules found at 10 CFR Section 2.781.)
- 2. Reauests for Additional Response Preparation Time As previously noted, if possible, it is the intent of the Commission to respond to correspondence action items within 16 business days of initial receipt of the !
correspondence in the agency. If, in the view of the action office, the preparation l
of a response will take longer than the due date assigned, an extension should be J
requested within the first 5 business days after receipt.
l A new due date must then be negotiated by the Office of the Secretary and other offices as deemed appropriate.
COMMISSION DAILY READING FILE l SECY (Correspondence and Records staff (C/R)) prepares a Daily Reading File which is the primary means for distributing incoming and outgoing correspondence to the ,
Commissioners, Commission level offices, and the Office of the inspector General. Urgent l correspondence is hand carried. Information such as the routing, suspense date, signature level, action to be taken, and review level are indicated at the bottom of the first page of l each letter. If Commissioners wish to change routing, signature level suspense date, or i provide for collegial review of a letter prior to dispatch, they should direct their requests to l SECY.
The Daily Reading File contains important correspondence that is either relevant to the l Commission's business or has the likelihood of generating media or public attention. It i also contains correspondence concerning the known interests ofindividual Commissioners.
In addition, the Daily Reading File regularly contains:
- 1. Readina File Index - summaries of external correspondence received and outgoing Chairman and Commission Correspondence.
- 2. SECY Daily Report - summaries of the previous day's internal memoranda.
- 3. Daily News Summarv - summaries (prepared by the Office of Public Affairs) of i news items of interest to NRC from the day's newspapers or other news services. ;
The Daily Reading File is distributed to the Commissioners and to Commission level offices. Copies of correspondence contained in the Daily Reading File are also provided '
to the EDO, CFO, CIO, and the Inspector General.
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r CHAPTER V -- INSTITUTIONAL CORRESPONDENCE OUTGOING CORRESPONDENCE Outgoing correspondence prepared for the Chairman's signature is forwarded to SECY by the action office.
Normally,. correspondence which addresses policy issues previously resolved by the Commission, transmits factual information, or restates Commission policy, will be handled as Chairman Correspondence on behalf of the Commission.
Correspondence in which new, revised, or expanded policy positions are formulated will be handled as Commission Correspondence as_well as correspondence conceming matters pending Commission decision, items relating to the performance of Commission duties and responsibilities, and items of high Commission interest (e.g. certain Executive Branch correspondence and correspondence on invitations from foreign governments).
. Correspondence which formulates policy or expands, revises, or interprets current policy should only be signed by the Chairman after Commission review. On occasion, there is correspondence generated in response to incoming correspondence and _NRC self initiated,' to be signed by the staff which does not require formulation of policy, but nevertheless, because the correspondence concerns matters pending Commission decision, items relating to the performance of Commission duties and responsibilities, or items of high Commission interest needs to be reviewed and approved by the Commission.
- This type of correspondence should also be forwarded to the Office of the Secretary by the ,
action office for Commission approval. l l
The concurrence page of the draft letter will~contain a statement prepared by the action office advising whether the proposed response requires the Commission to formulate a policy position, involves matters pending Commission decision, items relating to the performance of Commission duties and responsibilities, or involves items of high !
Commission interest. SECY will consider this statement in determining whether to l reevaluate the initial determination of whether to handle a reply as Commission l Correspondence or Chairman Correspondence.
1.' Procedures for Commission Correspondence:
- a. When the draft reply is received from the staff, SECY will route it concurrently to the Commission, OGC, and OCA (if a Congressional response) for a 6 business days review and comment period unless the l correspondence requires special (e.g. expedited) handling. The Chairman i is normally expected to vote first, and the Commission would normally review j and respond in the last 3 business days of the 6 day review period.
V4 '
l CHAPTER V - INSTITUTIONAL CORRESPONDENCE Simultaneously, OGC and OCA will have 2 business days to provide their ;
comments through SECY to the Commission for review. Special I requirements will be identified on a case-by-case basis when the proposed reply is routed to the Commission Office. Commission Correspondence being circulated is covered by a Yellow cover which also serves as each Commissioner's Response Sheet."
- b. The Chairman reviews the proposed draft and any OGC or OCA comments, makes revisions, as necessary, and returns it to SECY. If no change is l made in the proposed reply SECY informs the Commission offices by e-mail. l If there are only minor revisions, SECY incorporates revisions and forwards l the proposed reply directly to other Commissioners for comment and approval.
- c. If extensive changes have been made to the draft response by the Chairman or the Commission, SECY will return the draft to the staff, the Office of the General Counsel, and Congressional Affairs, if appropriate, for comment.
One business day will be allowed for this step. SECY will provide any comments received from staff, OGC, and OCA to the Commission for review.
- d. Commissioners note their approval, or comments and changes, if any, on the Yellow Commission Response Sheet and return it to SECY. Modifications to the draft may be handwritten or, if practical, should be noted by the line-in, line-out method. Comments and changes suggested by Commissioners are referred to the Chairman for consideration. Copies are sent to the other Commissioners for information.
- e. If required, up to an additional 2 business days for review and comment will be granted to a Commissioner who is on short-term absence from the Office.
If a Commissioner is unavailable for comment for an extended period of time, and has delegated authority for his or her staff to respond in his or her absence, Commissioner staff comments will be taken into consideration.
- f. Any Commissioner who does not concur in the substance of the letter may write a separate letter stating his or her views. Copies of the separate letter should be provided to the other members of the Commission. The letter may state that Commissioner (s) has(have) differing views and will submit them separately.
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" Appendix 11 contains a copy of the Yellow Response Sheet.
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L CHAPTER V -INSTITUTIONAL CORRESPONDENCE
, g. Under certain circumstances a Commissioner may wish to recuse l himself/herself from participation in a particular matter in order to avoid any actual or apparent conflict of interest. If a Commissioner has recused himself/herself from a specific subject, the letter will state
" Commissioner .did not participate in the preparation of this i response."
- h. The Chairman will incorporate changes and comments necessary to convey ;
a majority view of the Commission and forward the correspondence to SECY l
for incorporation into a final signature package. if extensive changes have been made to the final draft, the Chairman's Office in consultation with SECY will determine whether recirculation to the Commission is necessary because -
of substantive rewrites to ensure a majority view of the Commission is reflected, and/or additional consultation with the EDO, OGC, and/or OCA is required.
- i. SECY will incorporate the changes, prepare the final signature package (approved outgoing response, concurrence sheet, incoming correspondence, and any pertinent background information), obtain final OCA concurrence if correspondence is a Congressional letter, and forward it to the Chairman for signature. .The Chairman will then sign the letter following which it will be retumed to SECY for dispatch. Congressional correspondence is dispatched as indicated below in Section 3.a.
J. SECY distributes to Commission offices a copy of the signed Commission correspondence, along with the incoming letter, in the Commission's Daily Reading File.
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- k. SECY forwards a copy of all non-sensitive outgoing Commission correspondence, along with the incoming letter, to the NRC Public Document l Room approximately 5 business days after dispatch. The 5 business day
. delay allows for the correspondence to reach the recipient before the letter is made publicly available.
- 2. Procedures for Chairman's Correspondence:
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- a. When the draft reply is received from the staff, SECY will route it concurrently to the Chairman's Office, OGC, and OCA (if a Congressional ;
response). The Chairman's office has 3 business days for comments unless the , correspondence requires special (e.g. expected) handling. l Simultaneously, OGC and OCA will have 1-1/2 business days to provide l their comments through SECY to the Chairman's office for review. Special i I
V-8 i
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r CHAPTER V -INSTITUTIONAL CORRESPONDENCE i i
requirements will be identified on a case-by-case basis when the proposed reply is forwarded to the Chairman's office. Chairman correspondence being circulated will be covered by a Blue Chairman Response Sheet."
- b. The Chairman reviews the proposed draft and any OGC or OCA comments, l makes revisions, as necessary, and returns it to SECY. '
- c. SECY prepares the final signature package (approved outgoing response, concurrence sheet, incoming correspondence, and any pertinent background information), obtains final OCA concurrence if it involves a Congressional correspondence, and forwards it to the Chairman for signature. The Chairman will then sign the letter following which it will be retumed to SECY for dispatch. Congressional correspondence is dispatched as indicated below in Section 3.a.
- d. SECY places a copy of the signed Chairman correspondence, along with the incoming letter, in the Commission's Daily Reading File.
- e. SECY forwards a copy of all non-sensitive outgoing Chairman correspondence, along with the incoming letter, to the NRC Public Document l Room approximately 5 business days after dispatch. The 5 business day delay allows for the correspondence to reach the recipient before the letter l is made publicly available.
- 3. Dispatch of Outgoing Correspondence and information Copies ;
- a. Letters to Congressional Offices Signed Congressional correspondence is delivered by SECY to the Office of Congressional Affairs (OCA). OCA arranges for the outgoing correspondence to be hand carried to the appropriate Congressional office.
- b. Non-Congres1Lqnal Letters SECY processes and dispatches non-Congressional letters signed by the l Chairman. Letters are dispatched by express mail, courier, fax machine, or U.S. mail, depending upon urgency.
Replies to correspondence assigned for direct reply by SECY to the EDO,
" Appendix 11 contains a copy of the Blue Response Sheet.
V-9
7-l CHAPTER V - INSTITUTIONAL CORRESPONDENCE CFO, CIO, an EDO staff office, or a Commission level office are processed and dispatched by the appropriate office. Copies of the signed responses i are forwarded to SECY. SECY will distribute individual replies to the Commissioners or place them in the Daily Reading File when, in their I
judgment, the nature of the response so requires.
- 4. Special procedures for the transmittal of sensitive documents to Congress are set forth in Chapter VI.
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( V-10 l
o CHAPTER VI TRANSMITTAL OF SENSITIVE DOCUMENTS TO CONGRESS Members of Congress, Members of Congressional Committees, and their staffs often request copies of classified and unclassified sensitive documents. The procedures set 1 forth in this section are established to ensure that these Congressional requests are treated uniformly and responded to promptly.
GUIDELINES AND PROCEDURES Specific guidelines and procedures goveming the handling of incoming requests (both oral and written), the coordination of responses, and the transmittal of documents are set forth below:
- 1. Sensitive documents are documents within the agency's possession which have not been disclosed to the public and which may be withheld from public disclosure under the Freedom of Information Act (FOIA) or Privacy Act.
- 2. The Office of Congressional Affairs (OCA) is the proper office to handle requests from members of Congress or Congressional committees and their staffs for sensitive documents. In the event such requests are received elsewhere in NRC, they should be referred to OCA for handling. OCA is to assure that all such requests are accorded uniform treatment and responded to promptly within the guidelines established by the Commission.
- 3. Sensitive documents will normally be provided only upon written request. While sensitive documents are requested orally by a member of Congress or a Congressional staff person, OCA should inform the requestor that the document or documents requested contain sensitive information and ask that a written request be made to the Commission. In matters where time is of the essence, the written request of a member of Congress or Congressional staff person may be dispensed with as long as the request is memorialized by OCA. Copies of all memoranda prepared by OCA which memorialize such requests are circulated to the Commission by OCA. -
VI-1
e CHAPTER VI - TRANSMITTAL OF SENSlTIVE DOCUMENTS TO CONGRESS
- 4. Documents relating to ongoing formal adjudications, pending enforcement actions, or ongoing investigations are particularly sensitive, and the Commission's preference is that these documents not be requested by or provided to Congress until after the agency has decided the matter at issue. When documents within these categories are requested, OCA will discuss the sensitivity of the document with the requester and ask that NRC provision of the document be deferred until-after the agency has made its decision on the matter at issue. If the requester ;
refuses to withdraw or defer his or her request, then OCA, after consultation with the '
Commission, will provide these documents to Congress pursuant to the procedures set forth below.
- 5. Unless otherwise directed by the Commission, sensitive documents are to be transmitted by the Director, OCA, under a cover letter which identifies their sensitive nature and requests that the documents be held in confidence with access limited to members and committee staff. It should clearly identify the documents supplied.
l Where not previously established, the exact wording of the cover letter should be coordinated with the Office of the General Counsel (OGC).
- 6. As with all other correspondence with Congressional Committees and Subcommittees, copies of the transmittal letter should be routinely provided to the Committee Chairman or Ranking Minority Member. If requested, the documents supplied as enclosures to the transmittal letter should be provided. Copies of all letters transmitting sensitive documents to Congress are circulated to the Commission by OCA. l
- 7. Responses to requests for investigative records compiled for law enforcement purposes should be coordinated with the Executive Director for Operations (EDO),
the Office of the General Counsel (OGC), and/or the Office of the inspector General (OlG), depending upon the nature of the records requested.
- 8. Responses to requests for the following types of sensitive documents should be coordinated, as appropriate, with the EDO, CFO, CIO, and OGC:
- a. classified documents (National Security Information and Restricted Data);
- b. documents containing Proprietary Information;
- c. agency files containing personnel or medical information, the public disclosure of which would constitute a clearly unwarranted invasion of personal privacy; l
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CHAPTER VI - TRANSMITTAL OF SENSITIVE DOCUMENTS TO CONGRESS I
- d. documents containing Safeguards Information;
- e. draft documents containing inspection and enforcement findings, either in their entirety or excerpts from them;
- f. staff drafts, predecisional memoranda, and letters containing advice, recommendations, or opinions prepared in or by an office reporting to the Commission, EDO, CFO, or CIO, on matters pending agency review and decision; and 4
- g. documents containing confidential commercial information relating to the awarding of grants, . contracts, or other agency procurement actions, disclosure of which may jeopardize the agency's competitive position.
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- 9. Responses to requests for documents containing classified or Safeguards Information should also be coordinated with the EDO Offices of Security or Nuclear Material Safety and Safeguards, respectively. Established procedures for handling and storing classified or Safeguards Information should be followed and delivery l I
made only to Congressional staff persons with the appropriate clearance and need to know. 1 i
- 10. Classified documents originated by another agency will not be transmitted, and the requester will be advised to contact the originating agency directly, pursuant to ;
Executive Order 12958. The possible release of NRC documents containing classified information originated by another agency will be coordinated with the ,
originating agency. l
- 11. Requests for lists of SECY papers and other administrative records relating to the :
deliberative, decision-making' process of the Commission should be coordinated i with the Office of the Secretary (SECY).
- 12. Responses to requests for sensitive documents used in the deliberative, consultative, or decision-making activities of the Commission itself should be coordinated with the Offices of the Commissioners. These documents include the following items:
- a. transcripts of Commission meetings closed pursuant to the Government in the Sunshine Act (e.g., pending adjudications and enforcement actions, pending investigations, litigative strategy and frank discussion of individuals where release would invoke privacy issues);
VI-3
- i CHAPTER VI - TRANSMITTAL OF SENSITIVE DOCUMENTS TO CONGRESS b.~ interoffice communications between and among Commissioners and their personal staff containing predecisional advice, recommendations, or opinions; '
- c. documents containing predecisional staff advice, recommendations or i opinions prepared by a member of a Commissioner's personal staff or a- i special consultant to a Commissioner; and
- d. documents containing predecisional staff advice, rocommendations, or '
. opinions of an. office reporting directly to the Chairman, i.e., Office of Congressional Affairs (OCA), and Office of Public Affairs (OPA), or to the Commission, i.e., OGC, SECY, OCAA, IP, and the EDO. (These documents ,
specifically include those subject to the attomey-client privilege and l documents prepared by legal counsel which reveal the theory of a case or litigative strategy. They also include investigative reports prepared by Ol pending Commission action). ,
- 13. In coordinating with Commissioner offices, OCA should first collect the requested l documents in coordination with SECY and the relevant Commission-level offices.
Once the documents have been compiled and a cover letter drafted, a listing of the !
documents and the draft cover letter should be provided to each Commissioner for his or her review. Unless otherwise advised by the Commission, the Director, OCA, may transmit the requested documents to the requesting party in the aftemoon mail on the third business day after circulation to Commissioners.
- 14. In some cases, where the nature of the documents is highly sensitive, the Commission may wish to consider alternatives to direct transmittal. For example, the Commission may wish to suggest retaining the documents on the premises and making them available to Congressional staff for their review. It is the responsibility of the Director, OCA, and of the EDO, CFO, CIO, or the relevant Office Director to call the attention of the Commission to especially sensitive documents which in their
. Judgment may require special handling. ;
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- 15. In cases where non-public documents requested by a Congressional source are also being requested under a FOIA request, they should be transmitted to the requesting Congressional committee under a cover letter signed by the Director, OCA, explaining that the documents are subject to a pending FOIA review and
' requesting that they be maintained in confidence pending a FOIA determination. i in cases where there is no FOIA request pending, the cover letter should simply )
state that the document or documents are not publicly available and ask that they VI-4 4
p CHAPTER VI - TRANSMITTAL OF SENSITIVE DOCUMENTS TO CONGRESS j
l l not be disclosed to the public.
l l 16. The originating office shall promptly advise OCA of any subsequent determination j authorizing the public release of documents sent to Congress under sensitive I handling' procedures. OCA should then inform Congressional committees which have been given these documents of such a determination.
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' CHAPTER Vil CONGRESSIONAL TESTIMONY The Chairman, as official spokesman for the agency, is responsible for presenting the agency's testimony for Congressional hearings. All Commissioners will' attend Congressional hearings either when invited to do so by the Congress or when they elect to attend.
DRAFT TESTIMONY In instances in which the staff drafts Commission testimony or provides input for development of Commission testimony or provides backup questions for hearings, such.
I documents will be provided to all Commissioners and the Chairman simultaneously. Final draft testimony will be forwarded by the Chairman's Office to all Commissioners for comment and approval 5 days in advance of the scheduled deadline for submittal of the testimony to Congress. If exceptional circumstances arise and it is apparent that there is insufficient time to follow the above schedule, the Office of Congressional Affairs (OCA) will advise the Chairman's Office, which will determine whether an attempt should be made to negotiate an extension with the Congressional office or Committee involved. If an
- extension is neither sought nor granted, OCA, after consulting with the Chairman's Office, will reallocate the review time and inform the Commission. Post-hearing questions are normally handled as part of the hearing record and the review time schedules are the same '
I as for pre-hearing questions. However, post-hearing communications with the House l Appropriations Committee are handled by the Chief Financial Officer (CFO) and response times are set by the CFO in coordination with the Chairman's Office and OCA. If a Commissioner wishes to have his or her separate views noted in the Chairman's testimony, he or she is urged to provide input to the Chairman and the other Commissioners when his L or her comments are provided on the draft testimony. If a Commissioner decides to prepare his or her own testimony, the testimony must be circulated to the other Commissioners for their information no later than 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> before the scheduled hearing.
COMMITMENTS TO CONGRESS During the course of a Congressional hearing, officials who testify for NRC occasionally make commitments to provide additional information at a later date. Witnesses are also frequently asked to supply documents or information for the hearing record. In other Vil-1 I
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CHAPTER Vil - CONGRESSIONAL TESTIMONY situations, witnesses may promise to examine a particular matter and report back to the an individual Member of Congress. Specific guidelines and procedures for tracking commitments made in Congressional hearings and forwarding responses to Congress are as follows:
- 1. In all cases, the Office of Congressional Affairs will document the commitments and report them to the Office of the Secretary and other appropriate NRC offices by memorandum following the hearing.
- 2. ' The memorandum prepared by the Office of Congressional Affairs will task the EDO, CIO, CFO, or the appropriate Commission level office to fumish the documents or information promised during the course of the hearing. The memorandum will carry a suspense date negotiated with the EDO or appropriate Commission level office that will furnish the information and with Congress (or will state that the material has already been located and provided).
- 3. If the promised information will be provided in the form of a signed correspondence i from the Commission EDO, CIO, or the CFO, SECY will be requested to track the ,
commitment on the Commission Correspondence Tracking Sheet. in such cases, the memorandum prepared by the Office of Congressional Affairs will carry the notation:' "SECY, please track with correspondence." The action office will forward the completed correspondence to SECY, which will clear the correspondence with the Commission in accordance with the procedures set forth in Chapter V before forwarding it to Congressional Affairs for delivery to Congress. d
- 4. If the information is to be provided in a form other than signed correspondence (e.g.
documents intended as inserts for the hearing record), the Office of Congressional Affairs will track the commitment and clear the information with the Commission before delivering it to Congress.
- 5. Documents for Congress that are publicly available will not be cleared with the Commission bdore they are provided to Congress.
- 6. Copies of hearing transcripts will be distributed to the appropriate EDO, CIO, CFO, and Commission leve1 offices by OCA for editing. The Office of Congressional Affairs will prepare the final edited transcript for Congress.
- 7. All items will be forwarded to OCA for transmittal to the Congress. OCA will transmit inserts for the hearing record along with the edited hearing transcript. All items will be transmitted promptly.
Vil-2
APPENDIX 1 PROCESS FOR. OBTAINING NOMINATIONS FOR NRC'S ADVISORY COMMITTEES O
APPENDIX 1 PROCEDURES FOR OBTAINING NOMINATIONS FOR NRC'S ADVISORY COMMITTEES 1.' The Designated Federal Official for the committee with the vacancy should prepare a draft Federal Register Notice and a Press Release for Commission approval and a list of the professional societies / technical organizations to which it would be sent for the solicitation of nominations. These documents will indicate what specific expertise / skills are being sought for the opening. The specific expertise / skills will be chosen in consultation with the advisory committee which has the opening.
- 2. At the time of publication of the Federal Register Notice and Press Release, notification of the search for nominations will be given to appropriate professional societies / technical organizations. The advisory committee with the opening should be specifically invited to suggest candidates.
- 3. All nominations and resumes should be sent directly to the Office of Human Resources (OHR).
- 4. OHR should convene the appropriate screening panel for review of nominations and provide it with the necessary administrative support. The panel will be composed of:
- a. a representative of the Commission or the principal staff office with whom the committee works;
- b. a (full-time federal employee) representative of the advisory committee with the existing or anticipated vacancy; and 4
- c. an appropriate individual (full-time federal employee with expertise being sought) from outside the agency should be invited by the NRC Chairman to join the Panel.
- 5. Each screening panel will:
- a. Review and rate the nominations for the selecting official using as benchmarks the specific expertise / skills being sought for the opening, as well 1
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APPENDIX 1 PROCEDURES FOR OBTAINING NOMINATIONS FOR NRC'S ADVISORY COMMITTEES (Continued) as the individual's breadth of knowledge and ability / experience in applying his/her skills to problems outside of their specific field of expertise. The panel's report should list all of the qualified candidates, and it should rank at least the best qualified candidates. A brief narrative should be provided identifying the criteria and rationale for the best qualified rankings.
- b. In carrying out the provisions of (a) above, the panel may seek the advice of other individuals whose views may be useful to the screening panel.
- c. Submit a copy of the panel's report to the appropriate committee for its independent recommendation on the nominees, as well as submit a copy to the Commission (or to the designated selecting official for the particular advisory committee).
- 6. The advisory committee should submit its selection recommendations to the screening panel, and/or the Commission (or the designated selecting official) as they see fit.
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i APPENDIX 2 PROCEDURES FOR HANDLING WITHHELD DOCUMENTS IN COMMISSIONERS' OFFICES UNDER FOIA l
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APPENDIX 2 PROCEDURES FOR HANDLING WITHHELD DOCUMENTS IN COMMISSIONERS' OFFICES UNDER FOIA
- 1. When a Commissioner wants to withhold a document, the Commissioners legal assistant will provide a " Reno statement of harm" for each document to be withheld,
- 2. Each Commissioners office will give SECY copies of all the documents covered by the FOIA request, including the documents to be withheld.
- 3. SECY will pass those documents on to OGC for concurrence in the decision to withhold, except in those cases in which a Commissioner wants to withhold a document but does not want any office but SECY to see it.
- 4. When a Commissioner does not want OGC or the FOIA office to see a document to be withheld, the Commissioners office will provide SECY, to be forwarded to OGC, a " certification" (Attachment) that the Commissionefs legal assistant has reviewed the document, and that it can be withheld under a specific stated FOIA exemption which would include the foreseeable harm of releasing the document or information.
- 5. SECY will maintain the required separate "six-year" file of documents which are withheld by the Commission offices rather than sending the documents to the FOIA office. Maintenance of these files will be in accordance with Schedule 14 of the Records Disposition Schedule, Information Services Records.
Attachment 1
ATTACHMENT TO APPENDIX 2 CERTIFICATION Upon review of the records subject to the Freedom of Information Act Request (FOIA) , the documents listed below, or the indicated portions thereof, should be withheld from release under the above reference FOIA request. The undersigned hereby certifies that each document or portion thereof is exempt from public disclosure for the exemption set forth and the statement of foreseeable harm accompanying the named document.
NAME AND OFFICE DATE WITHHELD DOCUMENTS AND FORESEEABLE HARM STATEMENT 1.
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5.
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APPENDIX 3 SAMPLE VOTE SHEET l
NOTATION VOTE RESPONSE SHEET TO: John C. Hoyle, Secretary FROM: COMMISSIONER XXXXXX
SUBJECT:
SECY-98-165- PROPOSED REVISION TO 10 CFR 50.65(a)(3)
TO REQUIRE LICENSEES TO PERFORM SAFETY ASSESSMENTS Approved Disapproved Abstain 4
Not Participating COMMENTS:
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SIGNATURE DATE Entered on "AS" Yes No
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APPENDIX 4 e
BASIS FOR DETERMINING VOTING RESULTS l
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APPENDlX 4 BASIS FOR DETERMINING VOTING RESULTS In determining the outcome of Commission votes, the following rules apply:
- 1. votes from at least a quorum of 3 Commissioners is required to act;
- 2. a vote to " abstain" may be counted to constitute a bare quorum if there are less than 3 yes votes plus no votes;
- 3. action is based on the majority of those participating (yes votes plus no votes plus the abstain votes used for establishing a quorum of 3 Commissioners). 1 Primary Examples:
Votes Not Yes No Abstain Particio. Quorum Results Case 1 3 0 0 2 Yes Passes Case 2 0 3 2 0 Yes Fails Case 3- 2 2 0 1 Yes No Action Case 4 2 2 1 0 Yes No Action Case 5 2 1 2 0 Yes Passes Case 6 2 1 1 1 Yes Passes Case 7 2 1 0 2 Yes Passes Case 8 2 0 1 2 Yes Passes Case 9 2 0 0 3 No No Action Case 10 2 0 2 1 Yes Passes Case 11 1 0 2 2 Yes No Acdon Case 12 1 1 0 3 No No Acdon Case 13 2 0 3 0 Yes Passes 1
APPENDIX 5 RESOLUTION OF 2-2 VOTE
F-APPENDIX 5 RESOLUTION OF 2-2 VOTE As a general matter requests for Commission action will be denied if the Commission vote is 2-2.' Therefore, a 2-2 vote will result in:
- a. denial of staff recommendations, except as noted below;
- b. denial of full power operating licenses;
- c. referral of export license applications to the President;
- d. denial of motions in adjudicatory proceedings;
- e. denial of motions for reconsideration challenging Commission adjudicatory orders or other Commission statements having a legal effect;
- f. denial of review of Licensing Board decisions and Director's Decisions under 2.206, even if staff recommends " review",
- g. denial of requests to close Commission meetings or to hold meetings on short notice; and
- h. denial of requests by members of the public to speak at Commission meetings.
Exceptions to this rule include:
- a. The Commission may alter policy decisions which have not been set forth in an adjudicatory order or policy statement. For example, if the Commission previously took the position that the Commission's export licensing responsibilities should be given to the Executive Branch, a 2-2 vote on this would result in a change of that policy to one of the Commission having no position on the matter. This permits the Commission to provide current views on policy matters before Congressi6nal committees, etc.;
2 Reference OGC Memorandum of May 25,1988.
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APPENDIX 5 RESOLUTION OF 2-2 VOTE (Continued)
- b. If staff has been delegated authority to act by the Commission, but as a matter of discretion, seeks Commissioner views before taking action (e.g., an enforcement action), the staff may take its proposed course of action;
- c. Commissioner requests for extension of time to respond to staff papers will be granted because under :he Commission's procedures such requests are granted unless a majority objects;
- d. Sunshine Act transcripts will be released because a majority of the full Commission must support invocation of an exemption;
- e. Grant of FOIA appeals because a majority must support invoking an exemption.
In some cases rather than taking action on a matter that resulted in a 2-2 vote, the Commission may choose to defer a decision until a fifth Commissioner has been appointed. ,
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APPENDIX 6 !
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SPECIALIZED PROCEDURES WHEN COMMISSION REVIEW TIME FOR )
ADJUDICATORi ACTIONS IS LIMITED
APPENDlX 6 SPECIALIZED PROCEDURES WHEN COMMISSION REVIEW TIME FOR ADJUDICATORY ACTIONS IS LIMITED !
When Commission review time is limited by NRC rules in adjudicatory actions,' the following procedures are applied. ,
- 1. Prior to or concurrent with the submission of a SECY adjudicatory paper for the ;
Commission's consideration, the originating office (usually the Office of Commission !
Appellate Adjudication (OCAA), but in some circumstances, the General Counsel (OGC)) may request in writing from SECY an extension of time for research, analysis and/or Commission review. SECY can grant requests for extensions of up to 30 business days without contacting each Commission office. If a prior extension has already been granted, however, and if the time for the additional extension is over 30 business days, SECY will obtain a position from the Commission. Except in extraordinary circumstances, comments should be received 10 business days ;
before the Commission decision is due. SECY enforces this provision. '
The Secretary may also authorize an extension of time, without prior Commission approval, to conform the review time for an adjudicatory matter to external events (such as subsequent related Licensing Board decisions, reconsideration motions, and staff papers requiring affirmation).
- 2. The same general procedure applies after a paper has been issued and is pending action by the Commission. If a Commissioner requests extension of the review time in writing and if there has been no majority position on the paper, SECY will routinely grant an initial extension of no longer than one business week.
1 2
in accordance with the requirements of 10 CFR Section 2.786, within 40 calendar days after the date of a decision of a presiding officer or within 30 calendar days after a petition for review of a decision of a presiding officer, which ever is greater, the Commission may review the decision or action on its own motion (sua sponte), unless the Commission in its discretion extends the time for its review. See also 10 CFR 2.1253.
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r APPENDIX 6 SPECIALIZED PROCEDURES WHEN COMMISSION REVIEW TIME FOR ADJUDICATORY ACTIONS IS LIMITED (Continued)
Subsequent extensions and extensions requested.after formulation of a majority position will be granted subject to the wishes of the majority.
- 3. The Secretary issues an order informing the appropriate Board and the parties of l all extensions of review time.
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1 APPENDIX 7 l l i
STAFF REQUIREMENTS MEMORANDUM AND !
COMMISSION VOTING RECORD l l
l APPENDIX 8 PROCEDURES FOR STAFF PRESENTATIONS AT COMMISSION MEETINGS i
APPENDIX 8 PROCEDURES FOR STAFF PRESENTATIONS AT COMMISSION MEETINGS i l In the interest of conserving time the following procedures apply to all staff members presenting information at Commission meetings. j
- 1. The presentation should be based on the assumption that Commissioners have read the background paper (s) and are familiar with its content (s).
- 2. Briefings should cover approximately one-half of the allotted time; the remainder should be reserved for questions and answers.
l l 3. At the outset, briefers should clearly identify the focus of the briefing, should indicate whether there are any health or safety implications, and describe any I potential new resource requirements (both personnel and financial).
- 4. Briefers should summarize background history through emphasis on only the important events.
- 5. Briefers should not read slides and handouts verbatim and should discuss only the ;
high points to which they wish to focus the Commission's attention. I l 6. The briefing should be completed within the allotted time.
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- 7. Briefers should follow guidance outlined in the EDO Memorandum to Office Directors and Regional Administrators dated February 23,1995, for the preparation and processing of visuals for Commission meetings. :
1 i 8. A sufficient number of copies of the viewgraphs or other relevant written information I should be placed in the Commission briefing room 20 minutes before the start of the briefing for the public.
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l APPENDIX 9 NUCLEAR REGULATORY COMMISSION ISSUANCES i
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APPENDIX 9 J
NUCLEAR REGULATORY COMMISSION ISSUANCES Significant Commission adjudicatory decisions are published in " Nuclear Regulatory Commis'sion issuances"(NRCl). Types of decisions published are:
- 1. Orders addressing a significant issue of law or policy, including but not limited to:
- a. Those which apply established rule of law to factual situations significantly different from those in earlier published orders.
- b. Those useful for the historical record.
- c. Those where the Licensing Board decision is modified or reversed by the Commission.
- d. Those not accepting the rationale of previously published decisions.
- 2. Licensing and enforcement orders issued by the Boards and the Commission which i may not address significant legal or policy questions, but which are nonetheless significant because of their content (e.g., suspension of licenses, imposition of civil penalties, results of immediate effectiveness reviews, action in cases likely to result in judicial review).
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- 3. Orders applying legal theories or administrative policies in cases not significant by I themselves, but which contain issues capable of arising again where precedent l would be useful (e.g., Seabrook low power operation order addressing financial '
qualification of applicants for low power operation license CLI-88-10,28 NRC 573 (1988)).
- 4. Grants or denials of significant stay motions.
Ordinarily, insignificant Orders (e.g., Orders under 10 CFR 2.772) and minor procedural Orders (e.g., extensions of time and scheduling matters) are not published in NRCl.
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APPENDIX 10 l
SECURITY PROCEDURES FOR CONDUCTING CLASSIFIED MEETINGS / HEARINGS .
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L SECURITY PROCEDURES FOR CONDUCTTNG CLASSIFIED MEETINGS / HEARINGS Ganarpi - 1he foBowing generic guidance is applicable to any classified mening held within NRC specs. (Note: Meetings where Top Secret, codeword, or special access program infonnstion will be discussed are restricted to Division of Facilities and Semrity (DFS) approved space, that is the SensitiveC4 ; - " Infonnation Facihty (SCIF). Other spedal aaadiriaan may apply.)
Except as noted, aB amions are the ryeihility of the organization hosting the meeting.
- 1. Notify DFS as far in advance a possible of any classified meetings
- 2. Obtain an advance list of =** mad = and venfy that all have appropriate security clearances as well as a need-to-know. Security clearances for non-NRC personnel should be certdied s l to the DFS, Personnel Secunty Branch.
- 3. The level of classdied information diameead in any meeting is not to exceed the Secret National Security Information or Secret Restricted Data level. I
- 4. Determine, in conjunction with the DFS, whether a technical survedlance countermeasures surveyis required andjustdied.
- 5. To the maximum extent practicable, ensure that rooms adjacent to the meetmg room are not being used.
- 6. Dieranaaer any telephones from the walljacks and runove them from the meeting room
- 7. Draw any window blinds
- 8. Tum on white noise, security will check periodically to ensure that it is on.
- 9. Have the person eaaA*ia: de meeting advise all attendees at the beginnmg of the .
I meeting and each time the meeting reconvenes that the meeting is classdied and at what level and explain to them the secunty parameters of the meeting. Recora==l that attendees not take notes hac=== of the possibility that these notes might be classified; but ,
if such notes are necessary, they must be handled as classified until they can be reviewed l by an authorized classifier.
- 10. Have the person ea=4esing the meeting announce that the following items / articles are prohibited in the room during the wing 4maring No electronic equipment that transmits or records, includirs Personal computers unless approved by SECY.
I1. Monitor entrances and exits to the caeeting room and note individuals arriving and leaving,
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makmg additions or deletions to the attendance list as required. (in the case of additions, venfy that the individual is appropriately cleared.) .
- 12. Ensure that no unauthorized personnel enter the meetmg room.
- 13. Ifurgent messages must be passed to anyone in the meetmg, ensure that only an individual with an appropriate level of clearance delivers the message.
- 14. At the corrineian of the wing the person conducting the =aa'ia* should:
- a. Remind attendees of their responsibility to protect the classdied matter that was Am-ad during the meetmg i
- b. Be prepared to receive any classi6ed notes taken that may require review for ,
classdication, storage, or destruction.
- c. Recover all extra copies of classified or sensitive unclassified information handed out during the meeting, as well as, all copies not intended for retention i by the attendees. l i
Ensure that no classified information has been left behind prior to leaving the I d.
toom. (Check tables, chairs, chalk boards, floors, etc.)
If a cleared court reporter has recorded the meeting, ensure that all materials used by the !
- 15. !
reporter are propedy secured in NRC space ard that subsequent transcription is performed !
under NRC control. !
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- 16. Ensure that all transcription and/or audio tapes are classi6ed, marked, and properly ,
protected.
Spedfic - In addition to the foregoing, the following speci6c guidance is applicable to classified aMds.jp that have to be held in,the Commission Hearing Room at OWFN (The DFS ,
recommends that whenever possible such meetings / hearings be hel,d in the 18th Boor conference room or the SCIF.)
- 1. Disconnect the building's TV system. (DAS)
- 2. Ensure that security guards check a sample of the TV monitors in each elevator lobby to ensure that the TVS are not broadcasting the classi6ed meeting. (DFS) l l
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- 3. Determine, in conjunction with the DFS, Facilities Branch, whether there is justification for contract security guards to be stationed immediately outside the room while the meeting is in session.
- 4. Once the meeting has started, turn on white noise generators. (This is also applicable to classi6ed meetings held in the 18th floor conference room.) (DFS) i
- 5. Ensure the Press Rocm is not being used and secure it.
- 6. Post an "Out of Order" sign on the female restroom in the south corridor. (DFS) 1
- 7. Post " Closed Meetmg" and prohibited item signs at both entrances to the Commtssion Hearing Room. (DFS)
- 8. Post "Out of Order" signs on the public pay telephones in the north and south corridor.
(DFS)
- 9. Prior to a classdied meeting being held in the Commission Heanng Room at OWFN, the OWFN Security Representative will meet with the Office of the Secretary, to determine which (if not all) of the above security procedures will be implemented for this meeting.
l (DFS)
('I ASSIFIFD MFFTINGS THAT IMMFDIATELY FOLLOW UNCLASSIFIFD MFFTING 1
In the event that a classi6ed meeting imu =tely follows an urWan=navi meeting, all m ans=wlane* who are not authorized to attend the classi6ed meeting must vacate the room. A list i of the ans=wlaan authorized to remain for the el===ned meeting will be displayed on the TV monitors in the room Anyone not appearing on the list must leave the room. It is the l responsibihty of the organization hosting / sponsoring the meeting to ensure that only authorized and appropriately cleared individuals are in attendance prior to commencement of the classified meeting a
O f
L STATEMENT FOR USE AT CLASSIFIED MEETINGS CONTAINING COLLATERAL (E.G., TOP SECRET, SECRET OR CONFIDENTIAL INFORMATION).
STATEMENT TO BE READ AT THE START OF THE MEETING:
The classification of this briefing is [(select one) TOP SECRET, SECRET OR CONFIDENTIAL].
This is a closed meeting under the provisions of the Sunshine Act. Please be advised of the following security considershons in effect for this bnefing.
' All participants in this mooting must have an appropnate access authorization.
(sECY is responssde for covelying that eN persaponts how the appropriato lowl of doorence)
Any notes taken on information discussed at this meeting may also be classified and must be appropriately marked and protected.
Any questions regarding classification or notes taken at this briefing may be referred to the information Security Branch of.the Division of Facilities and Secur:4 l STkTEMENT TO BE READ AT THE CONCLUSION OF THE MEETING:
You are reminded that the information discussed at this meeting was classified, [(select one) TOP SECRET, SECRET OR CONFIDENTIAL], and that the information must be marked and protected. ., .,
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APPENDIX 11 CORRESPONDENCE RESPONSE SHEETS 9
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4 I UNITED STATES
, 8 NUCLEAR REGULATORY COMMISSION
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wAsHiNcTow.D.c. rosss-oooi
% June 18, 1998 SECRETARY MEMORANDUM TO: L. Joseph Callan Exe ive irector or Operations FROM: Joh f. Hoy ' , cretary
SUBJECT:
STAFF REQUIREMENTS - SECY-98-077 - PROPOSED RULE:
' RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL EXPOSURES,10 CFR PART 20" The Commission has approved publication of the proposed rule for public comment subject to the comments and changes noted below.-
(EDO) (SECY Suspense: 7/10/98)
The Federal Register notice (FRN) should specifically ask for public comment on whether the technical aspects of the rule should be addressed through alternative approaches other than the proposed rule, such as a simple performance-based rule with a Regulatory Guide to permit a more rapid regulatory response by the NRC to technical developments and changes in industry consensus standards (subject to legal constraints).
The staff should re-review its conclusions with respect to compatibility categories for this rule, in particular for consistency.' The staff should exercise discretion and propose compatibility categories that assure intamal consistency and provide appropriate justification for departing from the policy and procedure in cases where implementation of the adequacy and compatibility policy statement results in inconsi,stencies within a proposed rule. The FRN should specifically solicit public comment on the resulting inconsistencies so that this issue can be resolved prior to issuance of the final rule, in addition, any comments previously received from the Agreement States as a result of the proposed amendments being made available on the NRC bulletin board should be briefly summarized in the FRN.
in paragraph 3 of the public announcement, lines 3 and 4, delete 'new.' At the end of paragraph 3, add a sentence: "The Commission's proposed rule is consistent with the general mandate of the Technology Transfer Act of 1996 (Public Law 104-113) to utilize consensus standards."
The Congressionalletters should be modified to add the following sentence at the end of the letter: "The Commission's proposed rule is consistent with the general mandate of the l
98 J
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f i-l l .
Technology Transfer Act of 1996 (Public Law 104-113) to utilize consensus standards."
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l cc: Chairman Jackson Commissioner Dicus
! Commissioner Diaz Commissioner McGaffigan OGC ClO CFO OCA OlG Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)
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. *# 4 UNITED STATES I
[ $ NUCLEAR REGULATORY COMMISSION g WASHINGTON, D.C. 20555-0001 j
June 18,1998 g, . . . . . ,/
$5can^* COMMISSION VOTING RECORD DECISION ITEM: SECY-98-077 TITLE: PROPOSED RULE: " RESPIRATORY t PROTECTION AND CONTROLS TO RESTRICT l INTERNAL EXPOSURES,10 CFR PART 20" l The Commission (with all Commissioners agreeing) approved the subject paper as recorded in the Staff Requirements Memorandum (SRM) of June 18,1998. I This Record contains a summary of voting on this matter together with the individual vote sheets, views and comments of the Commissioners, and the SRM of June 18, 1998.
) /
& ( &
fo'hn C. Hoyle '
Secretary of the Commission Attachments:
- 1. Voting Summary
- 2. Commissioner Vote Sheets
- 3. Final SRM cc: Chairman Jackson Commissioner Dieus Commissioner Diaz Commissioner McGaffigan OGC EDO l PDR l DCS WN$b!h h \
VOTING
SUMMARY
- SECY-98-077 RECORDED VOTES NOT 1 APRVD DISAPRVD ABSTAIN PARTICIP COMMENTS DATE CHRM. JACKSON X 5/5/98 COMR. DICUS X X 5/13/98 COMR. DIAZ X 5/17/98 COMR. McGAFFIGAN X X 5/28/98 COMMENT RESOLUTION in their vote sheets, all Commissioners approved the staffs recommendation and some provided additional comments. Subsequently, the comments of the Commission were incorporated into the guidance to staff as reflected in the SRM issued on June 18, 1998. l
(
1
[
l NOT ATIO N VOTE t
RESPONSE SHEET
- TO:
John C. Hoyle, Secretary FROM: CHAIRMAN JACKSON
SUBJECT:
SECY-98-077 - PROPOSED RULE: " RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL
! EXPOSURES,10 CFR PART 20" Approved XX _ Disapproved Abstain Not Participating Request Discussion COMMENTS:
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.O N Shirley Ann Jacksoh SIGNATURE May 5, 1998 l DATE Entered on "AS" Yes x No f*-
gw 4 n _
y y 1
FI-.
l NOT ATIO N VOTE I
RESPONSE SHEET l
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TO: John C. Hoyle, Secretary l
l FROM: COMMISSIONER DIAZ l
SUBJECT:
SECY-98-077 - PROPOSED RULE: " RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL EXPOSURES,10 CFR PART 20" ,
1 l
1 Approved X /) Disapproved Abstain 1
Not Participating Request Discussion COMMENTS:
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f rs _
4
- 4 l SIGNATURE.j '
g _i' ci DATE Entered on "AS" Yes x No
%gv00"h4
NOT ATION VOTE RESPONSE SHEET TO: John C. Hoyle, Secretary
'FROM: COMMISSIONER DICUS I
SUBJECT:
SECY-98-077 - PROPOSED RULE: " RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL EXPOSURES,10 CFR PART 20"
\
Approved xx Disapproved Abstain Not Participating Request Discussion i COMMENTS:
Approved w/ Comment l
cl1 ,d,, c. i , L u ,-
ATURE/d
~7 7 L /3
/99J' ,
DATE ,j Entered on "AS" Yes X No IAN
Commissioner Dieus' comments on SECY-98-077:
- 1. The Federal register Notice should specifically ask for public comment on whether the technical aspects of the rule should be addressed in a regulatory guide to permit a more rapid regulatory response by NRC to technical developments and changes in industry consensus standards (subject to legal constraints).
- 2. Staff should re-review its conclusions with respect to compatibility categories for this rule, in particular for consistency. First, it does not seem reasonable to require APFs to be category B but allow the definition of APF to be Category C. Secondly, given that the definition and values of APFs are required for compatibility (i.e., must be incorporated in Agreement State rules) it does not make sense to not require inclusion in Agreement State rules the definitions of Disposable respirator, Fit check, Fit factor and Fit test. Defining these terms in a consistent manner would seem essential to assure consistent application of the rule itself by Agreement States and their licensees. Notwithstanding staff's use of the recently approved adequacy and compatibility policy and implementing procedure to determine the compatibility categories for this proposed rule, if its use results in internal inconsistencies wit l ',.i a proposed rule as it has in this case, then staff should exercise its discretion and propose compatibility categories that assure internal consistency and provide appropriate justification for departing from the policy and procedure, I
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. NOT ATIO N VOTE RESPONSE SHEET TO: John C. Hoyle, Secretary FROM: COMMISSIONER MCGAFFIGAN
SUBJECT:
SECY-98-077 - PROPOSED RULE: " RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL EXPOSURES,10 CFR PART 20" Approved I Disapproved Abstain Not Participating Request Discussion COMMENTS:
See attached comments and edits.
. Il W%
SIGNAT. RE /!/ O U
) T . Oi DATE U Entered on "AS" Yes / No W
Commissioner McGaffigan's Comments on SECY-98-077 I support revising regulations, where appropriate, to endorse consenses standards; this position is one of the central concepts in DSI-13 and of the Technology Transfer Act of 1996 (Public Law 104-113). One concem I have with the current staff proposal involves timeliness, since the consensus standard in this instance (ANSI standard Z88.2-1992) was published in 1992. On a broader front, the current staff proposal highlights a policy issue associated with how the Commission defines " endorsing a consensus standard." The current staff proposalincludes incorporation of portions of the consensus standard into the rule reportedly, in part, to assure enforceability. There are other methads to endorse a standard. For example, the ASME Code is not restated in 10 CFR 50.55a, although this example involves inclusion in the license /TS. A simple rule that required licensees to maintain adequate respiratory protection and a Regulatory Guide that provided a method acceptable to the staff might have been sufficient. Licensee mistakes, procedure discrepancies, and program weaknesses could perhaps have been judged against the licensee program as a whole as to whether adequate respiratory protection was provided. Similarjudgments must sometimes be made when assessing a licensee's l compliance with fire protection rules and, in any case, should be the defining aspect of any performance-based rule. The Commission will need to face this issue, including in the area of fire protection and consensus standards that might be developed in conjunction with the NFPA (SECY-98-058).
In the current case, the proposed rule generally updates and clarifies existing requirements and represents some reduction in burden (e.g., reporting and record keeping) and has already been delayed longer than perhaps it should have been. For these reasons, i support publishing the proposed rule. However, the FRN should be revised to specifically solicit public comment on the use of approaches other than the proposed rule, such as the simple rule plus Regulatory Guide approach mentioned above.
With regard to Agreement State compatibility, I agree with the comments of Commissioner Dicus that the staff should exercise discretion and propose compatibility categories that assure ,
intemal consistency in cases where implementation of the adequacy and compatibility policy J statement results in inconsistencies within a proposed rule. For this reason, the FRN should be l revised to specifically solicit public comment on the resulting inconsistencies so that this issue can be resolved prior to issuance of the final rule. In addition, any comments previously received from the Agreement States as a result of the proposed amendments being made available on the NRC rulemaking bulletin board should be briefly summarized in the FRN.
I also recommend that changes be made in the public announcement and Congressional letters to reference the Technology Transfer Act of 1996. Edtts are attached for tne staff's consideration.
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NRC ISSUES PROPOSED REVISIONS TO REGULATIONS .
ON RESPIRATORY PROTECTION The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations goveming the use of respiratory protection equipment and other controls to restrict intemal exposure.
The revised rules would provide greater assurance that workers' radiation exposures will be maintain as low as is reasonably achievable and would approve for licensee use advances in respiratory protection equipment and procedures. The new rules would be more performance based, more flexible and easier to implement. The NRC believes the proposed rule would save licensees about 52 million per year, with no reduction in worker health and safety.
When the Commission's overall radiation protection regulations were significantly revised in 1992, the rules for respiratory protection were not similarly revised because the American National Standards institute (ANSI) was working on new consensus guidance in this area. The now ANSI guidance, "American National Standard Practice for Respiratory Protection," is now available and is essentially the technical basis for the proposed rule. % 0'"'"'
g r' t '"I The proposed changes emphasize the use of process or engineering controls, c 1*
a decontamination of work areas, access controls, and other procedures instead of the use of ,,L t respiratory protection devices, which tend to increase extemal radiation doses and worker M 41 e 9'" y ,\
stress.
.A4**
The proposed rule also recognizes the new respiratory protection devices that have W
y been proven effective, discourages the use of other devices that are now considered less ' '~ E "
ALf effective based on field tests, and revises requirements for respiratory protection procedures #49G such as testing to evaluate the fit of a respirator on a particular individual. ((.,W 6 3,,, _gi3) 4, d,1,+e w w -s
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% UNITED STATES .
- 5 NUCLEAR REGULATORY COMMIS81sN
,}.;
, ,m cannewom.c.c. sessaan .
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l The Honorable Dan Schaefer, Chairman Subcommittee on Energy and Power i
Committee on Commerce Uruled States House of Representatives j Washington, DC 20515 ~ l
Dear Mr. Chairman:
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Enclosed for the information of the Subcommittee are copies of a Public Announcement and a proposed amendment to 10 CFR Part 20 dealing with respiratory protechon and other controls i
to restnct intamal exposure of workers The proposed amendment will be published in the l Endstal Bassist for a 75 day pubhc comment period.
These amendments are based on guidance developed by the American National. Standards institute. These amendments will provide greater assurances that recent technological advances in respiratory protection equipment and procedures are reflected in NRC regulations, and that worker's exposures will be maintained as low as is reasonably achievable.
The proposed rules redefine the level of adequate protection, estabbsh a less prescriptive framework and are estimated to reduce licensee burden by about $2 million per year with no reduchon in worker health or safety. TL. C- m. s2 e . ' 2 g n,r.,o J u L a c..o.2 bd w k . 4 . ..J h . . .
Sincerely, A ,M 1
1 Dennis K. Rathbun, Director l
Office of Congressional Affairs j
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Enclosure:
Federal Register Notice cc: Representative Ralph Hall l
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[ 'o UNITED STATES NUCLEAR REGULATORY COMMISSION 7,
$ E WASHINGTON. D.C. 20555-0001 June 18, 1998 SECRETARY MEMORANDUM TO: L. Joseph Callan Executive irector for Operations
~
FROM: J .Hoy etary
SUBJECT:
STAFF REQUIREMENTS - SECY-98-077 - PROPOSED RULE:
- RESPIRATORY PROTECTION AND CONTROLS TO RESTRICT INTERNAL EXPOSURES,10 CFR PART 20" The Commission has approved publication of the proposed rule for public comment subject to the comments and changes noted below.
(EDO) (SECY Suspense: 7/10/98)
The Federal Reaister notice (FRN) should specifically ask for public comment on whether the technical aspects of the rule should be addressed through attemative approaches other than the proposed rule, such as a simple performance-based rule with a Regulatory Guide to permit a more rapid regulatory response by the NRC to technical developments and changes in industry consensus standards (subject to legal constraints).
The staff should re-review its conclusions with respect to compatibility categories for this rule, in particular for consistency l The staff should exercise discretion and propose compatibility categories that assure intemal consistency and provide appropriate justification for departing from the policy and procedure in cases where implementation of the adequacy and compatibility policy statement results in inconsistencies within a proposed rule. The FRN should specifically solicit public comment on the resulting inconsistencies so that this issue can be resolved prior ,
to issuance of the final rule. In addition, any comments previously received from the Agreement States as a result of the proposed amendments being made available on the NRC bulletin board should be briefly summarized in the FRN.
In paragraph 3 of the public announcement, lines 3 and 4, delete 'new ' At the end of paragraph 3, add a sentence: "The Commission's proposed rule is consistent with the general mandate of the Technology Transfer Act of 1996 (Public Law 104-113) to utilize consensus standards."
The Congressionalletters should be modified to add the following sentence at the end of the letter: "The Commission's proposed rule is consistent with the general mandate of the
'Y s
?
l 2-Technology Transfer Act of 1996 (Public Law 104-113) to utilize consensus standards."
\
- cc: Chairman Jackson Commissioner Dicus Commissioner Diaz Commissioner McGaffigan OGC CIO :
CFO OCA OlG Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail) .
.