ML20215C668
| ML20215C668 | |
| Person / Time | |
|---|---|
| Issue date: | 11/24/1986 |
| From: | Mark Flynn NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Jonathan Evans, Kenneth Kalman NRC, NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| References | |
| CON-NRC-02-87-003, CON-NRC-2-87-3 NUDOCS 8612150315 | |
| Download: ML20215C668 (14) | |
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e CONT::ACT NUM!En NRC 8 ORM 255 f 10-761 NRC-02-87-003 OlVISION OF CONTRACTS Mf sT CATsON NUMBER U.S. NUCLE AR REGULATORY COMMISSION WASHINGTON D.C. 20555 m
t]NEw 0 MOoirtCATION OT HE R ISpecety)
NOTIFICATION OF CONTRACT EXECUTION CONTRACT BASED ON:
John D. Evans, Director TO:
AUTHORIZATION NUMBER ITottel Planning and Program Analysis Staff Office of Nuclear Material Safety and Safeguards RFPA NMS-87-003 OATE torenaat.ons 10/8/86
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Mark Flynn, Contract Negotiator
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Contract Negotiation Branch No.1 DIVISION OF CONTRACTS. ADM CONTR ACTOR (Neme a Locat,on)
EXECUTION DATE Council on Environmental Quality 11/24/86 Washington, D.C.
20006 TYPE OF CONTR ACT Interagency Agreement PERIOD OF PERFORMANCE PROJECT TITLE 11/24/86 - 11/23/88
" Support for Negotiated Rulemaking" PRINCIPAL INVESTIG ATOR Lucy Shwartz NRC AUTHORIZED REPRESENTATIVE Ken Kalman B&R NUMBER FIN NUMBER AMOUNT 50-19-03-01 D 1056-7 NEW NRC FUNDS S
150,000 FUNDING 87 150*000 TOTAL FY _._ FUNDING S
e TOTAL NRC OBLIGATIONS S
150,000 GOVERNMENT PROPERTY ATTACHMENTISI:
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8612150315 861124 CONT R ACT DOCUMENT 4 PDR CONTR NRC FORM 255 (10L 7G
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1 INTERAGENCY AGREEMENT (IAG)
EXECUTIVE OFFICE OF THE PRESIDENT OFFICE OF ENVIRONMENTAL QUALITY (OEQ) 1 1.
IAG Number:
NRC-02-87-003 2.
Project
Title:
" Support for Negotiated Rulemaking" 3.
Parties:
Receiving Agency Contributing Agency Office of Environmental Quality Nuclear Regulatory Commission 722 Jackson Place, N.W.
Division of Contracts Washington, D.C.
20006 Washington, D.C.
20555 4.
Effective Date:
5.
Completion Date:
November 24, 1986 November 2 3, 1988 6.
Authority: This agreement is entered into under the authority of j
Section 601 of the Economy Act of June 30, 1932, as amended, 31 USC i
1535, The Environmental Quality Improvement Act of 1970, as amended, 42 USC 4371, and the respective provisions of the authorizing legislation of the parties.
7.
Purpose /
Background:
To determine the feasibility of negotiating an NRC rulemaking, and, if a negotiated rulemaking is attempted, to evaluate the process of negotiation to develop the efficient process and model for any rulemakings to be negotiated in the future.
8.
Scope of Work: (Seeattached)
Support services for negotiating a draft proposed rulemaking that would amend the NRC's rules of practice (10 CFR Part 2) related to the adjudicaiory proceeding for licensing a high-level radioactive waste repository under 10 CFR Part 60. This support would require services of a convenor, facilitator, and instructor to provide instruction on negotiating and technical and direct support.
Either party to this Agreement may propose tasks.
Task orders shall be negotiated and issued in accordance with established OEQ i
guidelines. No payment of funds shall occur until deliverables under tasks are received and deemed adequate by the Project Officers.
The funds provided hereunder may be obligated during fiscal years 1987, 1988 and 1989 unless otherwise notified by the Nuclear Regulatory Commission.
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I' Both parties to this agreement shall approve publication of any L
manuscript derived from the results of this project.
9.
Staff / Project Officers:
Dr. William Mills 394-3742 Mr. Kenneth L. Kalman OEQ NRC Office of Nuclear Material Safety and Safeguards Washington, D.C.
20555
- 10. Payment and Billing Instructions: The contributing agency shall provide OEQ FY 87 funds in the amount of $150,000.00.
Charges for services shall be assigned to appropriations account B&R No.
50-19-03-01, FIN No. D1056-7, of the contributing agency. OEQ shall submit one billing for the entire amount prior to initiation of such activities (advance payment) on SF-1081 addressed to:
U.S. Nuclear Regulatory Commission Office of Resource Management Division of Accounting and Finance Attention:
GOV /COM Accounts Section Washington, D.C.
20555
- 11. Aaprovals:
FEJR OEQ FOR NRC Name:
A. Alan Hill Name:
Timothy F. Hagan
Title:
Director
Title:
Contracting Officer Office of Environmental Division of Contracts Qual ty Date:
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a SUPPORT FOR NEGOTIATED RULEMAKING FIN: D1056-7 B&R: '50-19-03-01 1.0BhCKGROUND The Nuclear Waste Policy Act (NWPA) provides three years for the NRC to reach a decision on construction authorization for a high-level waste repository.
In order for the NRC to be able to make its decisicn within the allotted time, ready access to all pertinent records must be assured to all parties in the licensing proceeding. The NRC will therefore issue a rule establishing the use of an electronic information management system to be used in support of the licensing of the first high-level waste repository. Any application of this rule to the licensing of a second repository will have to be considered when the prospects for the second repository ere more concrete. This rule would require the DOE license application and all supporting records to be provided in a standardized electronic format. All parties to the licensing proceeding
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would be required to submit all relevant data to this system.
In turn, all parties would have access to the data base.
The DOE has committed to develop an electronic information management system to be used for the licensing proceeding.
NRC Staff intends to use the process of negotiated rulemaking to develop a proposed rule that would revise the Commission's discovery procedures and motion practice in 10 CFR Part 2 for the high-level waste licensing proceeding.
In an interagency agreement, the DOE has agreed to support NRC's efforts in considering a negotiated rulemaking for licensing records management to facilitate the hearing process.
2.0 WORK REQUIRED Certain contractual support will be required for the NRC to revise 10 CFR Part 2 through the use of negotiated rulemaking. This contractual support includes the role of the convenor, facilitator, an instructor for training the negotiating group on the principles of negotiation, and provision of information to the negotiating committee on the legal and technical constraints of this rulemaking. Contractual support will also be needed for a i
variety of administrative and logistical tasks throughout this rulemaking effort. This work is detailed in the following subtasks.
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2 4-2.1 Convenor Tasks The convenor assists the agency prior to beginning negotiations.
The Administrative Conference of the United States (ACUS) recommer.ds using a convenor who is rigorously neutral in respect to the subject matter. The role l
of the convenor should be distinguished from the role of the facilitator (described in Subtask 2) however, one person or organization can function to fulfill both roles.
Although the NRC staff have already completed some of the work traditionally assigned to the convenor, such as preliminary identification of negotiating
. parties, identification of several issues for negotiation and the feasibility of proceeding with negotiated rulemaking, the performance of selected convening tasks is required.
The convenor should have significant experience in multi party negotiations, including experience in evaluating the feasibility of conducting negotiated rulemakings. The convenor should have experience in interactions with the affected States or Indian Tribes, and 00E on sensitive policy issues, and have established credibility with these parties. The convenor should also be knowledgeable of the National High-Level Waste Repository Program, the Nuclear Waste Policy Act, State and Tribal responsibilities and authorities, the Administrative Procedures Act, the NRC/ DOE Licensing Support System (LSS), and a general knowledge of electronic information management systems.
The convenor will be required to perform the following subtasks.
Subtask 2.1.1 In consultation with the project staff, identify parties and interests that may be affected by the rulemaking.
Subtask 2.1.2 Make preliminary contact with potential participants to provide background information on the negotiated rulemaking, assess their willingness to enter into negotiations, and identify any issues that the participants believe should be addressed in the negotiations.
Subtask 2.1.3 Provide NRC Project Officer with report on parties contacted, parties interest in negotiating, issues raised, and convenors recom. endations as to what parties and issues should be included in the negotiations.
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i Subtask 2.1.4 Develop preliminary ground rules to guide the negotiations in the following areas:
Participants Inclusion of additional parties after negotiations have begun, attendence by senior representative of each party at the negotiating sessions, responsibility of participants to ensure any agreement developed by the negotiating committee will be acceptable to organization from which the participant comes.
Decisionmaking Definition of consensus, the use of working groups and caucuses,-
development of agendas for negotiating sessions.
Agreement Commitment of the agency to use any consensus reached, form that consensus will take, provisions for termirating negotiations if they are not proceeding successfully.
Safeguards Assurance that all participants act in good faith, right to withdraw, contact with the press, protection of confidences revealed during negotiating sessions.
Subtask 2.1.5 Support facilitator in running the organizational meeting for this negotiated rulemaking.
2.2 Facilitator Tasks The facilitator assists the negotiating group in arriving at consensus.
It is the facilitators responsibility to move the discussion toward consensus and act as the custodian of the negotiating process so the participants in the negotiation can devote their attention to the substance of the negotiation.
The facilitator must have demonstrated skills and competence in facilitatino
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1 negettation as well as the ability to get along with different types of people, an instinctive awareness of grcup dynamics, and the ability to move a group toward closure.
Previous experience in facilitating multi party negotiations is required. The facilitator must have the ability to establish credibility with the affected parties and remain neutral on the substantive negotiating issues. The facilitator should also be knowledgeable of the National High-Level Waste Repository Program, the Nuclear Waste Polic, Act, State and Tribal responsibilities and authorities, the Administrative Procedures Act, the NRC/ DOE Licensing Support System (LSS), and have a general knowledge of electronic information management systems. The facilitator will be required to perform the following subtasks.
Subtask 2.2.1 Preside over organizational meeting and assist negotiating group in reaching consensus on the ground rules for the negotiation, and refining and distributing written protocols reflecting this consensus.
Subtask 2.2.2 Chair all meetings of the full negotiating group (under the Federal Advisory Committee Act (FACA)) and assist parties in articulating their positions, identifying areas of agreement, and developing consensus solutions to the problems that divide them.
Subtask 2.2.3 Communicate with negotiating parties between negotiating sessions to ensure issues have been accurately addressed and that the parties are prepared for the next meeting.
Subtask 2.2.4 Report and evaluate progress of each negotiating sessions Subtask 2.2.4.1 Prepare minutes of each meeting and distribute to the parties for their signed approval.
Subtask 2.2.4.2 Assess the progress of each negotiating session and recommend whether to continue or abort negotiations.
Subtask 2.2.5 Upon successful completion of negotiations, provide Consensus Document and evaluation of negotiations to the NRC Project Officer.
Subtask 2.2.5(alternate) If negotiations were unsuccessful (consensus not achieved), provide detailed evaluation of negotiations to NRC Project Officer.
Evaluation should include detailed identification of issues that could not be resolved, reasons why
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these issues' could not be resolved, and an assessment of any possible actions that could overcome these obstacles to consensus.
Subtask 2.2.6 Assist with any follow-up work needed to secure Commission's approval of Proposed Rule.
2.3 Instructor on the Negotiating Process Task Inasmuch as negotiated rulemaking is a relatively new concept, instruction will be needed for the negotiating committee.
Instruction should cover the theory, objectives, procedures, processes, and tactics of regulatory negotiation as it applies to Federal rulemaking.
The Staff believe the group dynamics of the negotiating sessions would be enhanced if the instructor was not the same person as the facilitator.
Howeve~r, this factor is secondary to the instructors knowledge of the pertinent information and the instructors ability to teach students with diverse backgrounds. Staff anticipates the duration of the training session to be aproximately one or two (1 or 2) days.
2.4 Instructor on the Technical and Legal Aspects of this Rulemaking Task The proposed rulemaking addresses the use of an electronic information management system in the Commission's high-level waste licensing proceeding.
This effort will therefore require an understanding of the technical aspects of electronic information management systems as well as the legal aspects of the discovery process. The instructor for this task will therefore be required to be well versed in both of these areas and have the ability to present this complex information to a diverse audience.
Staff anticipates the duration of this training session to be approximately two or three (2 or 3) days.
Additional support from this instructor may be required on an ad hoc basis.
2.5 Support Task Support will be needed for administration of the negotiated rulemaking. The nature of this support is described in the following subtasks.
Subtask 2.5.1 Logistics Logistical support may include procuring meeting facilities and equipment, arranging travel and accomodations for the
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s participants in the negotiating sessions, scheduling, and notifying parties.
Subtask 2.5.2 Documentation Documentation may include taking transcripts or minutes of negotiating sessions or subgroup meetings, typing, copying and distributing background dccuments for the negotiating committee, and other similar tasks.
3.0 REPORTING REQUIREMENTS The following reports will be required.
3.1 Bimonthly Progress Reports Beginning within 40 days start of this project, and following on a bimonthly basis, the performing organization shall submit a progress report in letter i
format which summarizes the following for each major task and subtask:
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Work performed during the previous period.
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Key milestones achieved B.
Meetings attended with reference to letter trip reports submitted.
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Significant Accomplishments.
For the purpose of this discussion, DWM considers the resolution of any programmatic or staffing problems to be an accomplishment.
For example, the fact that the negotiating team reached a consensus on an issue could be an accom>11shment, since it could represent several weeks of research and discussion culminating the best possible approach for the implementation of the activity / task.
3.
Cost expenditures for the period, including cumulative cost expenditures to date.
4.
Personnel assigned and their time expenditures including cost expenditures, listed separately for each person during the previous period l
and cumulative time expenditures to date, i
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Projection of costs by month to completion of work effort for the current fiscal year (October 1 through September 30).
The report shall also state the amount of cumulative cost expenditures to date and the percent that amount bears to the total funds which have been allotted to this contract.
l The first bimonthly letter progress report shall provide the cost projection and detailed schedule of work.
Subsequent reports shall either indicate revised projections or indicate no change in cost and project schedules.
6.
Identification of all significant problems and resulting actions associated with any aspect of the project. " Problem" refers to any programmatic or staffing issue, either anticipated or unanticipated, which has or may affect the process and end results of the project. The impact of the problems will affect at least one of the following categories: (1)
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performance, (2) cost, and (3) timing.
This report should (a) describe the problem, (b) suggest causes of the problem, (c) if resolved during the reporting period, how and by whom, (d) if unresolved, proposed remedies and their schedules; (e) actions to be taken by NRC and/or the contractor to resolve the problem, and (f) assessment of the actual and/or potential l
impact of the problem on the project.
3.2 Updated Timetable / Milestone Chart If any major changes or slippages are proposed affecting the overall task schedule, a revised timetable / milestone chart, clearly identifying changes, must be submitted to NRC Contracting Officer at least 7 working days prior to the slippage. The NRC Contracting Officer will provide NRC approval of any slippaces to the contractor within 14 working days.
If no major changes or slippages have occurred during the report period, the performing organization should so state.
3.3 Deliverable Products The following summarizes the required report distribution under this contract.
The NRC Project Officer shall provide the performing organization with the current NRC mailing addresses for this distribution:
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Convenors' Bimonthly Report on Convenors' Progress Parties and Preliminary Reports Issues Grot.1d Rules Distribution NRC Project Officer 1
1 1
Office of the Director, NMS5 1
0 0
(ATTN: PPAS)
WM Div. Director 1
1 1
WM Branch Chief 1
1 1
WM Docket Control Center 5
5 5
Office of the General Counsel, OGC 1
1 1
(ATTN: C. Cameron)
Rules and Procedures 1
1 1
Branch, ADM (ATTN: J. Philips)
Contracting Officer 1
1 1
Information & Records Management Branch, TIDC 0
0 0
Policy & Publications Management Branch, TIDC 0
0 0
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Facilitators' Draf t/Fina.1 Facilitator's Consensus Formal Minutes and Document or Report or Evaluation of Alternate Letter Sessions Report Report Distribution NRC Project Officer 1
1 1
Office of the Director, NMSS 0
0 0
-(ATTN:
PPAS)
WM Div. Director 1-1 1
WM Branch Chief 1
1 1
WM Docket Control Center 5
5 5
Office of the General Counsel, OGC 1
1 1
(ATTN: C. Cameron)
Rules and Procedures Branch, ADM (ATTN: J. Philips) 1 1
Contracting Officer 1
1 1
Information & Records Management Branch, TIDC 0 0
0 Policy & Publications Management Branch, TIDC 0 0
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t NOTES:
1.
All NMSS technical high-level waste contractor documents are transmitted to the NRC Public Document Room (PDR) and appropriate Local Public Document Rooms (LPDR's) by the Division of Waste Management.
All administrative documents, e.g.,
financial reports, should be submitted separately from technical reports.
2.
Proprietary information must be properly identified by the performing organization in accordance with 10 CFR 2.790, Availability of Official Records, and will not be submitted to the PDR's.
3.
The performing organization shall clearly identify, by FIN number, all documents transmitted to the NRC.
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11 4.0 MEETINGS AND TRAVEL The anticipated schedule for this negotiated rulemaking provides for nine (9) 2-day meetings of the negotiating committee. The convenor will be present at the first and second meeting, and the facilitator will be present at all nine meetings. The instructor on the negotiating process will most likely be needed at the first meeting and the instructor on the legal and technical aspects will most likely be needed at the second and third meetings. The second, third, fourth and fifth meetngs will be held in different locations (most likely in the states of Texas, Washington, and Nevada), the remaining meetings should be scheduled for Washington, D.C., unless the negotiating committee believes there are good reasons for holding these meetings elsewhere Travel associated with this statement of work need not be approved by the NRC Project Officer in advance, provided it will not result in charges in excess of those negotiated.
The contractor shall provide a travel summary in the bimonthly progress letter to show number of trips, travel cost actual, and travel cost budgeted for this project.
5.0 NRC FURNISHED MATERIAL The NRC will provide all available documentation needed to support the tasks cited in this 50W.
6.0 KEY PERSONNEL The contractor shall submit a list of key personnel who are considered to be essential to ti.e successful performance of the work proposed and shall not be replaced without the prior approval of the NRC Project Officer.
In such event, the contractor agrees to substitute persons possessing substantially equal abilities and qualifications satisfactory to the NRC Project Officer.
J 7.0 PERIOD OF PERFORMANCE This contract shall become effective on the date of award and shall continue for a period of two years.
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