ML20236H024
| ML20236H024 | |
| Person / Time | |
|---|---|
| Issue date: | 04/08/1987 |
| From: | Little M NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Jonathan Evans, Kenneth Kalman NRC, NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| Shared Package | |
| ML20236G989 | List: |
| References | |
| CON-FIN-D-1056-7, CON-NRC-02-87-003, CON-NRC-2-87-3, FOIA-87-660 NUDOCS 8711030395 | |
| Download: ML20236H024 (12) | |
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NRC-02-87-003 -
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O Nt n D VooitiCalsoN l-NOTIFIC ATION OF t'bNT RACT EXECUTION John D. Evans, Director AUTMOR12 AfiON NUVBL R E
Planning and Program Analysis Staff RFPA NMS-87-003 Office of Nuclear Material Safety & Safeguards
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Recognize administrative
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reorganiza' tion.
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E *ICUTaON D ATE Council on Environmental Quality APR 8 1987 Washington, DC 20006 Interagency Agreement 4DJICT TITLE PE RIOD OF PL R8 0RV ANCE l
Support for Negotiated Rulemaking:
11/24/86 - 11/23/88
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PRINCIPAL INvt1TIG ATOR j
8711030395 871030 PDR FOIA Lucy Schwartz BAUMAN87-660 PDR g
NRC AU1MORi2tD REPRISE NT ATIVE i
Ken Kalman l
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FUNDING l
TOTAL FY _ FUNDING g
N/A TOTAL NRC OBLIGATIONS s
N/A OVIGNU51 PROPE RTY ATT ACHMI N TISI.
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1 SUPPORT FOR NEGOTIATED RULEMAKING FIN: D1056-7 B&R: '50-19-03-01'
1.0 BACKGROUND
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 decision 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 are more concrete..This rule would require the DOE license application and all suppo'rting' records to be provided in a standardized electronic format. All parties to the. licensing proceeding 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.
l 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, facilitatory, 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 variety of administrative and logistical' tasks throughout this rulemaking effort.
This work is detailed in the following subtasks.
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2 2.1 Convenor Tasks The convenor assists the agency prior to beginning negotiations.
The Administrative Conference of the United States (ACUS) recommends using a convenor who is rigorously neutral in respect to the subject matter. The role of the convenor should be distinguished from the role of the facilitatory (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 DOE 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, isTues raised, and convenors recommendations as to what parties end issues should be included in the negotiations.
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Subtask 2.1.4 Develop preliminary. ground rules to guide the negotiations ~in the following areas:
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participants Inclusion of additional parties af ter negotiations have begun, j
attendence by ' senior representative of each party at the 1
negotiating sessions, responsibility of participants to ensure l
any agreement developed by the' negotiating committee will be acceptable to organization from which the participant comes, i
1 Decisionmaking l
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 terminating negotiations.if they are not proceeding successfully.
I Safeguards l
Assurance that all participants act in good faith, right to j
withdraw, contact with the press, protection of confidences 1
revealed during negotiating sessions.
1 Subtask 2.1.5 Support facilitatory in running the organizational meeting for this negotiated rulemaking.
2.2 Facilitatory Tasks The facilitatory assists the negotiating group in arriving at consensus.
It is the facilitatory 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 facilitatory must have demonstrated skills and competence in facilitating l
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4 negotiation as well as the ability to get along with different types of people, an instinctive awareness of group dynamics, and the ability to move a group toward closure.
Previous experience in facilitating multi party negotiations is required.
The facilitatory must have the ability to establish credibility with the affected parties and remain neutral on the substantive negotiating issues. The facilitatory 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 have a general knowledge of electronic information management systems. The facilitatory 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 nejotia' ting 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.
I Subtask 2.2.3 Communicate with negotiating parties between negotiating l
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 j
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.
Evaluatien should include detailed l
identification of issues that could not be resolved, reasons why 1
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1 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 w'ill i
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.
s The Staff believe the group dynamics of the negotiating sessions would be enhanced if the instructor was not the same person.as the facilitatory.
Howeve'r, this factor is secondary to the instruct' ors k'nowledge of the pertinent information and the instructors ability to teach student's with diverse backgrounds. Staff anticipates the duration of the training session _to be approximately one o,r 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 i
Support will be needed for administration of the negotiated rulemakf. g.
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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 accommodations for the
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6 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 documents for the negotiating committee, j
and other similar tasks.
j 3.0 REPORTING REQUIREMENTS q
i The following reports will be required.
1 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 format which summarizes the following for each major task and subtask:
1.
Work performed during the previous period.
1 A.
Key milestones achieved l
B.
Meetings attended with reference to letter trip reports submitted.
2.
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 accomplishment, since it could represent i
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 and cumulative time expenditures to date.
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Projection of costs by month to completion of work effort for the current fiscal year (October I through September 30).
The report shall also state the amount of cumulative cost -
expenditures to date and the percent that amount bears:to.the totali funds which have been allotted to this contract.
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.
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Identification of all significant problems and resulting actions associoted with any aspect of the project.
" Problem" refers to any.
programmatic or staffing issue, either anticipated or unanticipated, which l
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:
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I 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 inpact 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,
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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 slippages to the contractor within 14 working days.
If no major changes or slippages have occurred during the report period, the performing. organization should 50 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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l Convenors'
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Bimonthly Report on Convenors'
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Progress Parties and Preliminary 1
Reports Issues Ground Rules 1
Distribution NRC Project Officer 1
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Office of the Director, NMSS 1
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1 (ATTN: PPAS)
I 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
J 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 l
Management Branch, TIOC 0
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Facilitatory' Dra f t/ Final Facil-f tator's Consensus Formal Minutes and Document or Report or Evaluation of Alternate
-Letter Sessions Report Report Distribution NRC Project Officer 1
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Office of the Director, NMSS 0
0 0
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PPAS)
WM Div. Director 1
1 1
WM Branch Chief 1
1 1
l WM Docket Control I
Center 5
5 5
I Office of the General l
Counsel, OGC 1
1 1
(ATTN: C. Cameron)
Rules and Procedures Branch, ADM l
(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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s 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 (LPOR'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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4.0 MEETINGS AND TRAVEL i
4 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 facilitatory 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
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most likely te needed at the second and third meetings.
The second, third, 1
fourth and fifth meetngs will be held in different locations (most likely in l
the states of Texas, Washington, and Nevad.4), the remaining meetings should be scheduled for Washington, D.C., unless the negotiating committee believes there are good reasons for holding these ineetings elsewhere 1
Travel associated with this statement of work need not be approved by the NRC j
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.
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5.~0 NRC FURNISHED MATERIAL The NRC will provide all available documentation needed to support the tasks cited in this 50W.
l 6.0 KEY PERSONNEL The contractor shall submit a list of key personnel who are considered to be l
essential to the successful performance of the work proposed and shall not be replaced without the prior approval of the NRC Prcject Officer.
In such event, i
the contractor agrees to substitute persons possessing substantially equal abilities and qualifications satisfactory to the NRC Project Officer.
l 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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