ML20238E724
| ML20238E724 | |
| Person / Time | |
|---|---|
| Issue date: | 04/07/1987 |
| From: | Grimsley D NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Joe Lawson SMALL BUSINESS ADMINISTRATION |
| Shared Package | |
| ML20238E687 | List: |
| References | |
| FOIA-87-570 NUDOCS 8709150160 | |
| Download: ML20238E724 (12) | |
Text
._ _ . _ _ _ _ _ _ _ _ _ -
AP9 7 1997 I'
Mr. Jerry T. Lswson I
Advocate .for Training Policy Small Business Administration 1441 L Street, NW., Room 501 Washington, DC .20416
Dear Mr..Lawson:
In accordance with section 605(b) of the Regulatory Flexibility Act, (5 U.S.C.
605(b)), I am enclosing a copy of the following proposed rule:
10-CFR Parts 30, 40 50, 55, 60, 61, 70, 71, 72, 110, and 150,
" Completeness and Accuracy of Information."
This rule was published in the' Federal Register on March 11, 1987, 52 FR 7432.
Sincerely, Donnie H. Grimsley, Director Division of Rules and Records Office of Administration
Enclosure:
As stated RDG SUBJ ABChief JBeeson - i.
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'7432 Fedzral R: gist r / . 52 No. 47 / Wednesday, March 11, th / Proposed Rules .
except pursuant to paragraphs (e), (f)(1), handling complies with the procedures counties in Idaho and Malheur County.
or (f)(3)(ll) of this section, unless an and safeguards specified by the Oregon, are regulated under Marketing inspection certificate has been issued by committee. Order No. 958, imported onions shall
'the Texas. Federal Inspection Service (ii) Following approval,if the handler comply with the grade, size, quality, and covering them and the certificate is grades, packages, and ships onions for maturity requirements imposed under .
valid at the time of shipment. City export on any Sunday, such handler that order, destinations shall be hated on inspection shall on the first weekday following (2) During the period March 10 certificates and release forms, shipment, cease all grading, packaging, through May 31 of each marketing year, ,,
. . . . . and shipping operations for the same whenever onions grown in designated $v (ry . . . length of time as the handler operated on Senday. Upon completion of such counties in South Texas are regulated under Marketing Order No. 959, p3. . .
(2) Cift pocAages. The handling to any s%ments, the handler shall report person of gift packages of onions not thereon as prescribed by the committee.
imported onions shall comply with the grade, size, quality and maturity Q
(iii) Export shipments shall also be requirements imposed under that order, exceeding 25 pounds per package, exempt from all container requirements . . . . . .
individually addressed to such person and not for resale,is exempt from the o th s sec Dated: March 5.1987.
container requirements of paragraph (c)
SO; 'hg e M Eric M. Fonnan, of this section, but shall conform to all mquimments. Onions failing to meet the Acting Dimct r. Truit and Vegetable an Division. Agnaltum adering Service.
assessment requiremen's of I 959.42ofand grade, and this secti size'on,d container not exempt under requirements (FR Doc. 87-5184 Filed 3-9-87:12:07 pm) inspection require.nents of paragraph (d) paragraphs (e) or (f) of this section, may of this section,if such onions were not 8" CODE **"#M be handled only pursuant to 9 9% 326, previously handled by a first handler, All such onions shall meet the grade and Such onions not handled in accordance with paragraph (g) of this section shall size requirements of paragraphs (a) and NbCLEAR REGULATORY be mechanically mutilated at the (b)of this section packing shed rendering them unsuitable COMMISSION (3) Experimental shipments. (1) Upon g)S f gu Each handler making 10 CFR Parts 30,40,50,55,60,61,70, shi pe in ulbfn ith a de shipments of onions for relief, charity, 71,72,110, and 150 dimensions of 47 inches x 37% inches x canning, freezing, or experimental h d d I f mplet ness and Accuracy of
, Sb cu'bic c$es,h or o taine ftposes ,
shall:
deemed similar by the committee. Each container shall have a new perforated (i) APPlicob//ity to imports. During the AotNcy: Nuclear Regulatory polyethylene liner at least 2 mils in pe,riod beginning on the effective date of Commission.
thickness. Also, onions may be shipped this rule and ending on June 15 for the 1987 season and during the period Acm: Propose g e.
in 25- and 20-pound cartons, upon approvalof the committee.Such beginning March to and ending May 31 suuuAny:The NRC is amending its experimental shipments shall be exempt of* each
- year.* * *
- regulations to codify the obligations of from paragraph (c) of this section but licensees and applicants for licenses to shall be handled in accordance with the provide the Commission with complete PART 980-VEGETABLES; IMPORT and accurate information, to maintain safeguard provisions of 5 959.54 and REGULATIONS; ONIONS accurate records and to provide for paragraph (g) of this section.The committee shall be notified of carton 9 980.116 [ Removed) disclosure ofinformation identified by size and furnished a container manifest, liunsees as significant for licensed
- 3. Section 980.116 is removed.
arid shippers must furmsh the committee 4. Section 980.117 Import Regulations; activities.
with outturn reports on such shipments. Onions (43 FR 5499, February 9,1978) is DATE: Comment period expires April to, (ii) Upon approval by the committee, amended by revising paragraphs (a) (2) 1987. Comments received after this date onions may be shipped for other will be considered if it is practical to do and (b)(1) and (2) to read as follows:
experimental purposes exempt from so, but assurance of consideration is regulations issued pursuant to il 959.42, f 960.117 Import regulations; onions. iven only for comments received on or 959.52, and 959.00 provided they are (s) * *
- hefore this date' handled in accordance with the (2) Therefore, it is hereby determined ADDRESSES:laterested persons are safeguard provisions of 6 959.54 and that: Imports of onions during the June 1 through March 9 period are in most invited to send written comments or paragraph (g) of this section.
(iii) Upon approval of the committee,- direct competition with the marketing of sugges,tions to the Secretary of the onios may be shipped for testing in onions produced in designated countries Commission, U.S. Nuclear Regulatory ofIdaho and Malheur County, Oregon. Commission. WasNngton, DC 20555,
! types and sizes of containers other than Attention: Docketing and Service those specified in paragraphs (c) and covered by Marketing Order No. 958, as Branch. Comments may also be (f)(2) of this section, provided that the amended (7 CFR Part 958), and during delivered to Room 1121,1717 H Street.
handling of onions in such experimental the March io through May 31 period the NW., Washington, DC between 8:15 a.m containers shall be under the marketing of imported onions is in most supervision of the committee. direct competition with onions produced and 5:00 p.m. Copies of any comments received may be examined at the NRC (4) Export shipments. (i) Upon in designated counties in South Texas Public Document Room.1717 H Street, approval of the committee, the covered by Market Order No. 959, as NW Ws , hington, DC 20555.
pyhibition assinst packaging or loading amended (7 CFR Part 959).
onyns on any Sunday may be modified (b) * * * (1) During the period June 1 FoM FW.HER INFORssAT10N CONTACT:
or sospended to permit the handling of through March 9 of each marketing year, James IAerman, Assistant General onlandor export provided that such whenever onions grcwn in designated CounselfuEnforcement Office of the
- \ s
g Q<
Feder:1 Register / Vol. 52, No. 47 / Wednesday. March 11, 1987 / Pr@osed Rules
& 7433 4
g
- e capability of influencing a reasonable p Genrral Counsel, U.S. Nuclear phrase in the Atomic Energy Act may -
agency reviewer?
j Regul: tory Commission, Washington, appropriately be read to require full a disclosure of material data". Vityinio (5) What would the expected effect of DC 20555, Telephone: (301) 492-7496. such changes be? (49 FR 8584, March 6, i Electric & Power Company (North Anna supputasprrAny seePonenAft0N: Power Station, Unita 1 and 2), C1.I 1984).
Accuracy and forthrightness in }'
22,4 NRC 480 (1976), affd, 571 F.2d 1289 The Commission received comments communications to the NRC by from twenty-nine organizations and (4th Cir.1979). The Commission decidedindividuals, including utilities, law firms. A licensees and applicants for licenses are materiality is to be judged by whether essentialif the NRCis to fulfillits information has se natural tendency or utility associations, an architect i responsibilities to ensure that utilization capability to influence an agency engineer, an intervenor, an employee at of radioactive materialis consistent decisionmaker; that knowledge of the a nuclear facility, and members of the with the health and safety of the public, public.The comments are summarized the common defense and security and falsity of a material statement is not below categorized into five principal j
necessary for a material false statement the protection of the environment. under section 186 and that material concerns. J3 Sev:ral provfsions of the Atomic Energy omissions are actionable to the same q 1 Act highlight the importance of accurate extent as affirmative material false Threshold for Material False Statements A
information. Section 186 provides that Most of the commenters suggested statements.
"Any license may be revoked for any Under this standard, both the written that the definition of material false ,
material false statement in the statements and omissions, made by statement which the Commission had application or any statement of fact VEPCO were subject to civil penalties. been using since the VEPCO decision in i required under section 182 . , ," In subsequent years, the Commission 1976is too broad. VEPCO case does not Section 182 provides that: took a number of enforcement actions en aduaI definitio W Commission may at any time after the for material false statements. These ,pamayal fa e stamnent,n of the ta MHh
- f. ling of the original apphcation. and before enforcement actions included the desenbe the elements of the phrase, the expiration of the license, require further following factual sit ations: Omission of Under that decision, a material false written statements in order to enable the information about receipt of draft .
statement may be an affirmative Commission to determine whether the reports during oral statements made in statement or an omission. By application should be granted or denied or an informal meeting between the staff implication, therefore, a material false whether a license should be modified or and a licensee; statements in a statement need not be in writing or revoked. All op lications and statements shall be signed y the appbcant or licensee. . telephone call, letter and oral briefing under oath. It need not be made with Applications for and statements made in that mobile sirens forming part of a knowledge of its falsity;it can be connection with, licenses under sections 103 licensee's prompt public notification unmtentionally made.
and 104 shallbe made under oath or system were installed and operational, Some commentera sought to limit the affirmation.1he Commission may require when in Iact they were not; ora 1 definition by changing the materiality any other applications or statements to be s,tatements to an NRC inspector that standard. Some suggested that it should mide under oath or affirmation. ' ' " take into greater account the safety This need for accuracy in .
storage h f t a been u ed. significance of the information. Others communications has been emphasized and erroneous atstements in response to suggested that instead of merely having l through the adoption in licensing an IE Bulletin concerning the use of the capability of influencing a provisions, although not on a unifonn certain lubricants and fasterners, reasonable agency reviewer, the basis, of requ!rements regarding the The Commission's General Policy and statement should be required to actually submission of applications. See, e.g.,10 procedure for NRC Enforcement influence a reasonable agency reviewer.
CFR 50.30(b),55.10(d),61.20(u),70.22(e) Actions,10 CFR Part 2, App. C, and 72.11[b). originally published on March 9,1962. Omissions The Commission's expectation of H7 FR 9987) specifically dealt with Comments criticized the application of accuracy in communications has not enforcement for material false material false statement on an omission, been limited to written information statements. In March 1964, after several arguing that if the NRC wanted to l
submitted in applications.The years of handling enforcement cases require full disclosure of material Commission's decision is an under the VEPCO holding and this information it should clarify its reporting enforcement action taken against enforcement policy, the Commission requirements to indicate just what Virginia Electric and Power Co. specifically solicited comments on the information is required to be disclosed, established a comprehensive issue of materf al false statements.
requirement for applicants and licensees Responses to the following questions legallasues to provide complete and accurate were requested: A number of commenters expressed information to the Commission. In the (1) Has the Commission's emphasis on the view that, as matter of law, a FEPCO case, of false statement were material false statements had a positive effect on the quality of communications material false statement must be alleged to have been mude in VEPCO's submitted in writing and under oath for with the NRC or has it had a chilling submissions to the Commission on the a power reactor.This conclusion was geology of the North Anna site- effect on such communicat'ons? based on their reading of sections 180 Omissions ofinformation by VEPCO (2) Should the definition of material and182 of the Atomic Energy Act that a false statement be changed to apply material f alse statement can exist only were also evaluated:Two were failures to present evidence at the Licensing only to written statements, submitted when when the statement in question is Board construction permit bearings under oathi contained in an application or sought by about suspected faulting and the third (3) Should materiality be contingent upon the safety significance of the the NRC under section 182 of the Act.
omission was VEPCO's f allnre to Section 182 prt.vides that " applications provide the Board or staff with reports underlying information? f ar, and statements made in connection
- 9) Should materichty be dependent prepared by its geology consultant. In its with. licenees under sections 103 and decision, the Commission concluded upon actually influencing an agency reviewer as opposed to having the 104 [of the Act] shall be made under
' that the material false statement
7434 Fed'eral Register /
- 52, No. 47 / Wednesday, hfarch 11,18/ Proposed Rules oath or affirmation." Not all commenters in its Report submitted to the favored restricting application of the making oral material false statements Commission on November 23,1985 the and provide some description of the term to only those statements under Committee made the following circumstances in which they have to be oath a yme argued that such a limitation recommendation:
wi only create a greater administrative aware that they carry that liability, burden on the licensee, because the The material false statement pohcy should With respect to the citation of be changed to linnt citauons for material Commission will demand that all false statements to written statements or omissions as material false statements.
correspondence be notarized. sworn tutimony made knowing the several Committee members indicated Negalise Connotations statement was incorrect or made with that it is such a wide open potential careless disregard for correctness. If incorrect source of liability, that even though the Many of the comrnenters focused on O'," $*be u d
'" r number of such citations is small. the h r [abe[ to be cited, perception of vulnerability in the the adverse impact on the integrity of Individuals and licensees which they The Committee concluded that the regulated community is pervasive.
application of the label material false Although an egregious omission case beheve results from a citation for a material false statement. in their view, a statement to unintended and can be posed where the strongest inadvertent statements and omissions, sanction including the label material material false statement is understood as well as to intentional ones, will by the public as a lie with all of the false statement is warranted, the day-to-connotations of dishonesty which that ultimately, if it has not already, impede day cases will be more ambiguous and entails. Largely because of these the flow of information to the difficult situations. From the standpoint connotations, rnany commenters urged Commission. The evidence of growing of an effective enforcement program, that the definition of material falso pressure toward limiting oral deterrence does not suffer if an statement be narrowed and its use communications was found to be occasional egregious omission or oral especially apparent. In addition, the statement is cited as inaccurate limited to those situations where labeling of honest errors as material integrity or honesty is actually at issue. information with a civil penalty for a Accordingly, some suggested that it be false statements was found to have a severity level one or two violation.
" depressing effect on utility staff rather than as a material false statement reserved for intentional false statements. morale" and to some extent limited an with a civil penalty of similar severity organization's ability to " recruit and level.
Oral Statements retain capable staff." Committee Report in view of the concerns which have Many commenters also focused their at 24. The indistinctness in defining been developing within the Commission what is required to avoid a material criticism on the application of sanctions and which are evident from the public for material false statements involving false statement citation for an omission comments and the efforts of the oral communications since many of the creates an " uncontrollable and Advisory Committee, principally with day to-day contacts with the NRC are openended liability" for licensees, the application of the " material false by telephone or throui, oral which, considering the high cost to the statement" label to unintentionally utility of such a citation,is an inaccurate information, the Commission conversations with inspctors on site.
" unreasonable and unfair burden," has determined that changes are The commenters indicated that the Committee Report at 26.
inc.lusion of these statements in the necessary to:(1) The manner in which definition of material false statements in its meeting with the Commission on its standards for accuracy in December 10,1985, several of the information provided to or maintained had a chilling effect on day to-day communications to the detriment of the Committee members elaborated on their for Commission inspection are regulatory process. recommendation. Briefly, they indica ted articulated forlicensees and applicants; that oral communications can be made and (2)its current material false At the time the Commission solicited by anyone within the licensee's these comments, it also stated its statement policy articulated in the organization and, unlike written intention to have an in. depth study of Commission's VEPCO decision and in communications, the licensee generally the Enforcement Policy in Appendix C to the enforcement program performed by has no way of controlling the exchange a small committee of individuals part 2 of the Commission's regulations.
or of assuring that the statement in fact selected from outside the agency. The The Commission has concluded that a represents the licensee's position. It is new requirernent abould be placed in Advisory Committee for Review of the very difficult as a matter of proof to each of the licensmg sections of the l Enforcement policy was formally reconstruct what exactly was said for established by the NRC on August 31, Commission's regulations which sets an oral statement. There will likely be forth an applicant's and a licensee's 1984.
addition(49 FR 35273.
to considering September 6.1984). In disputes about what is said and whether cbligatiens concerning the comments accuracy and the misstatement,if there was one,was completeness in their communications already submitted to the Commission, intentional, accidental, negligent or the Conunittee solicited further with the NRC and in the records comments from interested persons on reckless. It is reasonable to reserve the required to be maintained by the category of " material false statements" the extent to whk.h th NRC's Commission. The Commission believes to written or sworn statements where this approach will continue to provide enforcement policy has been serving the there is another mechansim for purposes announced by the incentives for applicants and licensees penalizing oral statements, eg, as to scrutinize their internal operations to Commission, including the policy on inaccurate information, and where the material false statenw nta. (50 PR 1142, determine that information provided to penalty can be as severe as for those the NRC is complete and accurate and January 9,1985). Public meetmgs were held by the Committee during which 40 statements labeled material false that records maintained in accordance statements. If the Commission persists with Comm:ssion requirements are witnesses drawn from NRC staff. In labeling oral statements as material licensees industry groups and law / complete and accurate and give the false statements. Committee members Commissiot greater flexibility to consulting groups gave testimony to the Committee, many commenting on the recommended that the Commission limit enforce these obligations without and define the people in licensee invoking ths negative connotations material false statement policy, organizations who are capable of about a licensee's character by a
l O O 1 l
Federal Register / Vol. 52, No. 47 / Wednesday, March 11, 1987 / Proposed Rules 7435 d citztion for a material false statement in rather,it describes in a regulation rather requirements for inspection by the NRC, czses involving an unintentionally than in an adjudicatory decision, the as well as information submitted to the insecurate or incomplete submittal, standard for accuracy to be adhered to NRC, since the standard for accuracy l The new regulations include identical when supplying information to the and completeness is the same for all !
l provisions in Parts 30,40,50,55,60,61, agency or when generating and information in whatever form it is made 70,71,72, and 110 which contain two maintaining records required to be kept available to the Commission.This elements:(1) A general provision which by the Commission.The standard explicit statement of the standard of l requires that allit formation provided to describedin paragraph (a)of the accuracy rt' quired for records does not the Commission by an applicant or proposed rule, " complete and accurate in any way change existing licensee or required by the Commission }
in all material respects," continues the recordkeeping requirements or add to )
to be maintained by the applicant or degree of accuracy prescribed in the the kind or nature of records expected to i licenses shall be complete and accurate VEPCO decision: that is, any be maintained. i !
in c!! material respects; and (2) a information provided to the Commission Paragraph (b) of the proposed rule reporting requirement to replace the full or maintained in records required by the codifies in a modified form, and
]
disclosure aspects of the current Commission which has the ability to material false statement policy and influence the agency in the conduct of replaces, the " full disclosure" aspects of )
licensees' and applicants' obligations !
would require applicants and licensees its regulatory responsibilities must be established by the VEPCO decision. In to report to the NRC information complete and accurate. that decision the Commission identified by the applicant or licensee as Under this proposed rule, not only recognized its obligation "to promulgate ,
having a significant implication for the material incorrect information, written regulations which provide clear, public health and safety or common or oral, but omitted information which comprehensive guidance to applicants defense and security. Section 150.20 is causes an affirmative statement to be and licensees," VEPCO at 489, but went being emended to provide that when an materially incomplete or inaccurate, will on to conclude that, ,
Agreement State licensee is operating be subject to sanctions The proposed (T}he fact remains that no specific set of within NRC's jurisdiction under the rule uses the phrase "provided to the regulations, however carefully drawn, can be generallicense granted by i150.20 the NRC" rather than " submitted to the expected to cover all possible circumstances.
licensee is subject to the above NRC" to indicate that all Information may come from unexpected i requirements. communications, oral or written, sources or take an unexpected form, but if it These regulations are being issued throughout the term of the license, not is material to the licensing decision and under the Commission's authority in just at the application stage, are therefore to the public health and safety, it r sections 02,63,65,81,82,103,104,161(o), expected to be complete and accurate. must be paned on to the Commission if we 182, and 274 as well as 186 of the Atomic The Commission intends to apply a rule are perf rm ur task.
Energy Act of1954, as amended. While of reason in assessing completeness of a Since the initial description of the section 180 can be read as addressing communica tion. For example, in the " full disclosure" requirement in VEPCO, only material false statements made in L text of reviewing an initial however, reporting obligations for certain contexts, the scope of the application or a renewal application for substantial additional categories of Commission's responsibilities under the a license,it is not uncommon for an significant safety information have been Atomic Energy Act of1954, as amended, NRC reviewer to seek additional affirmatively established, e g.,10 CFR and the Energy Reorganization Act of information to clarify his or her 21.21, and to CFR 50.72 and 50.73. Both 1974, as well as the Commission's understanding of the information material and reactor licenses contain decision in the VEPCO case and already provided. Such an inquiry by the numerous reporting requirements. Most i subsequent enforcement actions under NRC does not necessarily mean that safety information which a licensee may that statement of the law, rnake it clear incomplete information which would develop willlikely be required to be that the Commission has +.he inherent violate this rule has been submitted. reported by some specific requirements.
authority to require communications This new provision also makes Nevertheless, there may be some with the agency on regu',atory matters to explicit the requirement that records circumstances where a licensee be complete and accurate regardless of required to be maintained by the possesses some residual safety {
their context. Under section 180 of the Commission must be complete and information which could affect licensed i Atomic Energy Act failure to observe accurate in all material respects. It is activities but which is not otherwise any of the terms or provisions of any clear that when the Commission required to be reported.
regulation of the Commission is an establishes e requirement that a licensee Therefore, the proposed rule provides explicit basis for revocation of a license. generate records to document a that if a licensee or an applicant Thus, with the adoption of these new particular licensed activity, inherent in identifies information which has regulations regarding accuracy in that requirement is the expectation that significant implications for public health communications and records, a violation those records will accurately reflect the and safety or the common defense and of paragraph (a) or (b) of the proposed activities accomplished. in the past, security,it must be reported to the rule may be grounds for revocation of a when the Commission has discovered Commission. The rule makes clear that license as well as imposition of civil that inaccurate or mcomplete records reporting under this section is not penalties under section 234 of the have been developed or maintained, required if such reporting would !
. Atomic Energy Act. citations have been issued for violation duplicate information already submitted l paragraph (a) of the proposed rule of the underlying recordkeeping in accordance with other requirements ,
would codify in a uniform manner en requirement. Now that the Commission such as 10 CFR 20 402 through 20 408, applicant's and a licensee's obligation. is adopting a regulation which states a 21.21, 50.34, Soft, 5032, 5033, and 73J1.
j as articulated in the VEPCO decision, to generic requirement for accuracy in Cont ideration was given to proposing ensure the accuracy of its information made available to the a morn broadly worded requirement communications with the Commission. agency,it was deemed desirable to such u "sach applicant or licensee shall The provision does not create any new explicitly refer to information kept in notify the Commission of information obligations for licensees and applicants; records pursuant to Commission material to the regulatory process." The
I 7436 Feder 1 Register / Y 52, No. 47 / Wednesday, March 11,19 Proposed Rules Commission concluded, however, that ability to evaluate information, or its Department of justice supports this with such a formulation of the rule, with trustworthiness,i.e., its failure to approach in view of the potential for essentially no guidance on how to consider potentially significant confusion from the Commission's use of determine what must be reported,it information for evaluation. the term material false statement in its would be difficult for licensees or Finally, the Commission has decided civil context and prosecutions for applicants to predict with any certainty to exercise its discretion in the material false statements under 18 .
what the Commission will deem to be . application of the term material false U.S.C.1001, However, should a violation material. Such a rule would likely statement to miscommunications and of the proposed requirement for provide little incentive for licensees or limit use of the term to situations where complete and accurate information be applicants to scrutinize or police their there is an element ofintent. A Charge lableled as a material false statement,it information gathering process for of material false statement is equated by is expected that the communication reportable information. The purpose of the public and most people in the failure will be flagrant and involving, for the reporting requirement which is being industry with lying and intention to example, instances (1) where an proposed is to provide clear notice that mislead. Yet under the current policy, a inaccurate or incomplete written or if any applicant or licensee recognizes it material false statement under the sworn oral statement is made knowing has information with significant health Atomic Energy Act can be either an the statement is inaccurate or or safety or common defense or security affirmative statement, oral as well as incomplete, or with careless disregard implications, the information must be written, or an omission, and can be for its accuracy or completeness: or (2) reported to the NRC notwithstanding the unintended and inadvertent as well as where an inaccurate or incomplete absence of a specific reporting international,The Advisory Committee unsworn oral statement is made with a requirement Submission of a report concluded that enforcement of accuracy clearly demonstrable knowledge of its depends upon the licensee's recognition in communications by citations for a inaccuracy or incompleteness.
of the significance of the information; material false statement is "too blunt. The Commission's existing material and heavy an instrument to be effective false statement policy is currently The codification of a full disclosure m achieving improved accuracy and requirement in this manner should not reflected in the General Statement of result in additional burdens on completeness of in, formation given to the Policy and Procedure for NRC NRC by licensees. The Commission Enforcement Actions.10 CFR Part 2, applicants and licensees. Licensees and agrees. The free flow of information applicants will not be required to -Appendix C. Modifications to this policy imm applicants and licensees is to reflect the new rules and the changes develop formal programs similar to essential to the effectiveness of the to Commission policy announced here those prescribed under 10 CFR Part 21 to NRC a regulatory program. A policy of identify, evaluate, and report w 11 be made at the time a final rule on information. What is expected is a sanctions for inaccurate mformation this subject is adopted by the 3 which has the likehhood to impede ggg, professional attitude toward safety inf nnatmn now, or which causes ;
i throughout a licensee's or applicant's licensees t concentrate on limiting and EnvironmentalImpact: Categorical l
!. organization such that if a person Exclusion identifies some potential safety [ualifying e quality what of the they say rather information than on provided information, the information will be With respect to the proposed rder o avoid bein c ed wi amendments to lo CFR Parts 30,40,50, freely provided to the appropriate hin, he company officials to deterraine its safety NRC 60,61,70,71, and 72, the NRC has significance and deportability to the - This change recognizes the negative determined that the proposed rule is the Commission. connotations which are associated by type of action described in categorical While proposed paragraph (b) defers the public and the industry with the exclusion 10 CFR 51.22(c)(3). The NRC i to the licensee's iudgment of the has also determined that the proposed term material false statement but retams amendments to 10 CFR Parts 55,110.
sigmficance of information, the the use of this label as an additional licensee's " identification" of the and 150 meet the eligibility critena for j enforcement toolin egregious situations, significance of the information need not which will be determined on a case by, the categoncal exclusion described in 10 1 be in the form of a specific documented case basis.The Commission expects to CFR 51.22(c)(1). Accordingly, neither an decision before a violation of the rule use the term rarely because with the environmentalimpact statement not an exists for failure to report. An adoption of this proposed rule, the environmental assessment has been applicant's or licensee's recognition of Commission will have the mechanism to prepared in connection with the information as significant could be apply the full range of enforcement issuance of the proposed rule, established by the fact that specific sanctions to inaccurate communications Paperwork Reduction Act Statement meetings were held to discuss the or records without reliance on the term matter, analyses performed or other material false statement. Consequently. This proposed rule would add a internal actions taken to evaluate the the Commission sees no need to develop specific information collection matter, in addition, abuse of a licenace's a specific definition of the term requirement that is subject to the responsibility under paragraph (b) if not " material false statement." 8 The Paperwork Reduction Act of1980 (44
}'
. punishable as a violation of paragraph U.S C. 3501 er seq.). This proposed rule
! (b), could be addressed by the
- Any cher cteru. tion or use which the is being submitted to the Office of ;
Commission under its authority to issue comnunion sw . to the term m ten.i t.i.. Management and Budget for review and {
orders to modify, suspend or revoke a .t 'ernent a. used in the Aionuc Enersy Act oflaM. approval of the paperwork requirement. i
- u lleense. For example, an order would be [',', mended,n
, olee?nr rce eY.c n and h..no Regulatory Analysia !
appropriate where the action of a legahmpact on the meonms swen to mmaar terms i' IiCCnsee in not recognizing the end phr . used in other et iutes, e.s., la u.s.c. The Commission's current significance of the information and im1, or on the authonty of the Department of requiremalt for accuracy and
' ch c mpleteness ofinformation provided to Iailing to report it, together with other ,,,',',',['dc'"E.y relevant facts, raises serious questions f*/,',','*,P""['gd"f,.do,..
,.5,to .co nmm<,,mn is, ,.,io,, n,., he the Commission is specified in the ;
adjudicatory decision rendered with about either its competence,i.e., its .uta ct to enmm.1 unctum.. j
- 6. _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _~
I o
~
O ,
7437 Federal Register / Volf 52, No. 47 / Wednesday, March 11, 1967 / Proposed Rul:s Regulatory Flexibility Certification 10 CFR Port 55 ;4 respect to an enforcement action taken 1 As required by the Regulatory Manpower training programs, Nuclear agilnet Virginia Electric Power Company in 1976,The proposed rule Flexibility Act of 1980,5 U.S.C. 605(b). power plants and reactors, Penalty, Reporting and recordkeeping l would articulate this requirement, which and naistent with NRC's Size Standards published December 9,1985 requirements. l governs the day-to-day interactions betw:en NRC personnel and licensees (50 FR 50241), the Commission certifies 10 CFR Port 60 -; l and applicants, in a regulation haued that this rule,if adopted, will not have a i under the Commission's general significant economic impact upon a High-level waste, Nuclear power
.uthority to establish instmctions for substantial number of small entities, The plants and reactors, Nuclear materials' the provision of information and reports proposed rule, which will affect large Penalty, Reporting and recordieeping and smalllicensees alike, merely. d tothe Commission rather than by ' " "
interpretation of the material false codifies an existing requirement. d sposa stztement provision of section 186 of the established through an adjudicatory to CFR Port 61 Atomic Energy Act in an adjudicatory decision, thet allinformation provided }i to the Commission relating to licensed I' w-level waste, Nuclear maten.als, g decision. Codifying this requirement is ,<
activities or mainteined pursuant to penalty, Reporting and recordkeepmg preferable to the only alternative, which Commission requirements be complete ;
requirements, Waste treatment and ,
is continued reliance on the and accurate in all material respects. In ; ;
adjudicatory decision, as the only disposal.
addition, the proposed rule,if adopted, '
statzment of the requirement, would reduce the existing burden on 10 CFR Port 70 Codification of the requirement will ,
licensees because the full disclosure Hazardous matenals-transportation, given the regulated community more aspect of the current judicially imposed Nuclear materials, Packaging and explicit and accessible notice of the standards of accurancy expected ofit requirement has been modified to limit it containers, Penalty, Radiation and will given the Commission greater to that information which the licensee itself has determined has a significant protection, Reporting and recordkeep,mg flexibility to enforce these standards requirements, Scientific equipment, implication forlicensed activities, Security measures Special nuclear ,
without unnecessarily applying the label Any small entity subject to this material false statement to material.
regulation which detarmines that, communications from licensees and because of its size,it is likely to bear a 10 CFR Port 71 applicants. In view of the extensive disproportionate adverse economic }Iazardous materials-transportation, public comments and the impact should notify the Commission of recommendations of the Advisory Nuclear materials, Packaging and this in a comment that indicates the containers Penalty Reporting and Committee for Review of the i 11 wing:
Enforcem9nt Policy received in response recordkeeping requirements.
to the Coumission's request for (a) The licensee's size in terms of annualincome or revenue, and number 10 CFR Port 72 evaluation of the existing practice and of empl yees; proposed changes to it,it is apparent Manpower training programs, Nuclear (b)llow the proposed regulation materials. Occupational safety and )
that this proposed rule is the preferrrJ would result in a significant economic alternative and the cost entailed in;ts burden upon the licensee as compared health, Reporting and recordkeeping promulgation and application is to that on a larger licensee; requirements, Security measures, Spent necessary and appropriate. The (c)llow the proposed regulations fuel.
foregoing discussion constitutes the regulatory analysis for this proposed could be modified to take into account 10 UR PW10 the licensee e differing needs or rule, Administrative practice and capabilities.
pr cedure, Classified information, Backfit Statement ust of Subbets Export, import, Intergovernmental The proposed rule codifies the relations, Nuclear mater als, Nuclear 10 CFR Part 30 power plants and reactors, Penalty, existing obligations of applicants and licensees to provide information relatina Byproduct material, Government Reporting and recordkeeping to licensed activities which could have contracts, intergovernmental relations, requirements, Scientific equipment, significant implications for those isotopes. Nuclear materials, Penalty, Radiation protection, Reporting and 10 CFR Part 150 activities and to ensure that all information provided to the Commission recordkeeping requirements. Hazardous materials-transportation, or maintained pursuant to Commission Intergovernmental reistions, Nuclear 10 CFR Part 40 requirements is complete and accurate materials, penalty, Reporting and in all material respects, The Commission Government contracts,llazardous recordkeeping requirements, Security has determined, therefore, that the materials-transportation, Nuclear measures, Source material Special backfit rule,10 CFR 50.109, does not materials, penalty, Reporting nuclear matenal.
apply to the proposed rule. The rule is requirements, Source ma terial Uranium.
For the reasons set outin the purr!y admimstrative in nature, and 10 UR Part 50 preamble and under the authority of the thersfore does not result in the Atomic Energy Act of 1954, as amended,
" modification of or addition to systems, Antitrust, Classified information Fire the Energy Reorganization Act of1974. as structures, components, or design of a prevention, incorporation by reference, amended, and 5 U.S C. 553, the NRC is intergovernmental rela tions, Nucle ar facility , , , or the procedures or proposing to adopt the following organization required to design, power plants and reactors, Penalty, amendments to 10 CFR parts 30. 40,50, construct,or operate a facility. ." See Radiation protection, Reactor siting 55. t,0. 61, 70, 71, 72,110 and 150.
criteria, Reporting requirements.
> O I'ederal R: gist:r / Vol. 52, No. 47 / Wednesday, March II,1987 / Proposed Rules O
7438L PART-30-RULES OF GENERAL Authority: Secs.62,63.64.85.81.161,182. PART S0-DOMESTIC LICENSING OF APPLICABILITY TO DOMESTIC 183.100,68 Stat. 932,933. 935,948. 953,955, as PRODUCTION AND UTILIZATION amended, secs.11(c)(2),83. 84. Pub. L 95404. FACILITIES
' LICENSING OF BYPRODUCT 92 Stat. 3033 as amended. 3039, sec. 234,83 MATERIAL Stat. 444, as amended (42 U.S C. 2014(e)(2), 5.The authority citation for Part 50 is
- 1. The authority citation for Part 30 is 2092.2093,2094,2095,2111.2113,2114,2201. revised to read as follows:
revised to read as follows: 2232,2236,2262); sec. 274. Pub. L 64-373,73 Authority: Secs.103.104.161.182.183 186.
Authority; Secs. 81, 82.161,182,183.186, 68 Stat. 688 (42 U.S C. 2021); seca. 201. a e 189. 68 Stat. 936, 937. 948. 953. 954,955. 956, as Sta t. 935. 948, 953. 954. 955. tas amended. sec. amended,202,206,88 Stat.1242, as amended, amended, sec. 234. 83 Stat.1244, as amended 234,83 Stat. 444. as amended (42 U.S.C. 211 t, 1244.1248 (42 U.S.C. 5641,5842,5846); sec. (42 U.S.C. 2133. 2134. 2201, 2232, 2233. 2236, 2112,2201. 2232,2233,2236,2082); seca. 201, 275. 92 Stat. 3021, ea amended by Pub. L 97- 2239, 2282); seca. 201,202,206,88 Stat.1242, as amended,202. 206,88 Stat.1242,1244,1246 415,96 Stat. 2067 (42 U.S C. 2022). 1244.1246, as amended (42 U.S C. 5841. 5842.
(42 U.S.C. 5841. 5842, 5846). Section 40.7 also issued under Pub. L 95- 5846). unless otherwise noted.
Section 30.7 also issued under Pub. L 95- 601, sec.10,92 Stat. 2951 (42 U.S.C. 5851). Section 50.7 also issued under Pub. L 95-Section 40.31(g) is also issued under sec.122, 601. sec.10,92 Stat. 2951 (42 U.S.C. 5851).
Section 30 34(b also asued und se 184,68 Stat. 954, as amended (442 U.S.C. 2234). 68 Stat. 939 (42 U.S.C. 2152). Section 40.46 also Sections 50.58. 50.91 and 50.92 also issued lasued under sec.184. 68 Stat. 954 as under Pub. L 97-.415,90 Stat. 2073 (42 U.S.C.
Section 30.01 also issued under Sec.187,68 amended (42 U.S.C. 2234). Section 40.71 also 2239). Section 50.78 also losued under sec.
Stat. 955 (42 U.S.C. 2:37). -
For the purposes of sec. 223. 68 Stat. 958. as issued under sec.187,68 Stat. 955 (42 U.S.C. 102. 68 Stat. 939 (42 U.S.C. 2152). Sections 50.80 through 50.81 also issued under sec.184.
2237).
stuended i42 U.S.C.
and (c). 30.41(a) and (c), 2273'); il 30.3 and 30.53 30.34 (b) are issue d the purposes of sec. 223. 68 Stat. 958, as 68 Stat. 954, as amended (42 U.S.C. 2234).
For
' under sec.161b.,68 Stat. 948 as amended (42 amended (42 U.S.C. 2273), il 40.3,40.25(d) (1) Sections 50.100 through 50.102 also issued U.S C. 2201(b)); and (130.6,30.9. 30.36, 30.51, under sec.186,68 Stat. 955 (42 U.S.C. 2236).
through (3),40.35(a) through (d). 40.4 t (b) and 30.52,30.55 and 30.56 (b) and (c) are issued For the purposes of sec. 223,60 Stat. 958, as (c). 40.46,40.51 (a) and (c), and 40.63 are onder sec.1610. 6a Stat. 950, as amended (42 issued under sec.161b,68 Stat. 948 as amended (42 U.S.C 2273): ll 50.10 (a). (b),
and (c),50.44. 50.48. 50.48. 50.54, and 50.80(a) amended, (42 U.S.C. 2201(b)); and { l 40.5 40.9 are issued under sec.161b 68 Stat.948 as
- 2. Immediately following i 30.8, a new 40.25 (c),(d)(3), and (4) 40.26(c)(2) 40.35(e),
amended (42 U.S.C. 2001(b)); il 50.10 (b) and i 30.9 is added under the undesignated 40 42,40.61,40.62,40.64 and 40.65 are issued center heading " General Provisions" to under sec.1610. 68 Stat. 950, as amended (42 Ic un r a "
g g, d U C 1 d read as follows: U.S.C. 2201(c)). l l 50.9, 50.55(e). 50.59(b), 50.70, 50.71, 50.72.
50.73 and 50.78 are issued under sec.1610,68
$ 30.9 Completeness and accuracy of 4. Immediately following Q40.8, a new Stat. 950, as amended (42 U.S.C 2201(o)).
information. I 40.9 is added under the undesignated 1 (a)Information provided to the center heading " General Provisions" to 6. Immediately following I 50.8. a new
! Commission by an applicant for a read as follows: 6 50.9 is added under the undesignated license or by a licensee or information center heading " General Provisions" to required by statute or by the { 40.9 Completeness and accuracy of g ,, gggig, Commission's regulations, orders, c't informaton.
license conditions to be maintained by (a)Information provided to the 5 50.9 Completeness and accurscy of j information.
l the applicant or the licensee shall be Commission by an applicant for a I complete and accurate in all material license or by a licensee or information (a)Information provided to the respects. required by statute or by the Commission by an applicant for a (b) Each applicant or licensee shall Commission's regulations, orders, or license or by a licensee or information notify the Commission of information license conditions to be maintained by required by statute or by the identified by the applicant or licensee as the applicant or the licensee shall be Commission's regulations, orders, or having for the regulated activity a complete and accurate in all material license condition to be maintained by significant implication for public health respects. the applicant er the licensee shall be and safety or common defense and (b) Each spplicant or licensee shall complete and accurate in all material security. An applicant or licensee notify the Commission of information respects.
violates this paragraph only if the identified by the applicant or licensee as (b) Each applicant or licensee shall applicant or licensee fails to notify the having for the regulated activity a notify the Commission of information Commission ofinformation that the significant implication for public health identified by the applicant or licensee as applicant or licensee has identified as and safety or common defense and having for the regulated activity a having a significant implication for security An applicant orlicensee significant implication for public health public health and safety or common violates this paragraph only if the and safety or common defense and defense and security Notification shall e pplicant or licensee fails to notify the security. An applicant orlicensee be provided to the Administrator of the f.:ommission of information that the violates this paragraph only if the appropriate Regional Office within two applicant or licensee has identified as applicant or licensee falls to notify the working days ef identifying the having a significant implication for Commission of information that the
> information.This requirement is not public health and safety or common applicant or licensee has identified as I applicable to information which is defense and security. Notification shall having a significant implication for already required to be provided to the be provided to the Administrator of the public health and safety or common i Commission by other reporting or appropriate Regional Office within two defense and security. Notification shall updating requirements. working days of identifying the be provided to the Administrator of the I' inf rmation.This requirement is not appropriate Regional Office within two PART 40--DOMESTIC LICENSING OF applicable to information which is working days of identifying the SOURCE MATERIAL already required to be provided to the information. This requirement is not 3, The authority citation for Part 40 is Commission by other reporting or applicable to information which is revised to read as follows: updating requirements. already required to be provided to the
7439 j 47 / Wednesday. March it 1987 / Prohd Rules 9 Fed:rtl Register / Vol. 52, h 4 I 8f.8s Completeness and accuracy of 2951 (42 US C 2021s and 585th sec.102. Information. Pub.
Commissionby other reporting or L 91-190. 83 Stat 853 (42 U.S C 4332h sec. onnan n pr ed to b 121, Pub. L 97-425,96 StsL 2228 (42 U.S.C (a updating requirements. Com@missionby an applicant for a l 101411-For the purposes of sec. 223,88 Stat.958 as license or by a licensee or information PART 55-OPERATORS' LICENSES required by statute or by the amended (42 U.S.C. 2273). II co 8a. 80.71 to 7, The authority citation for part 55 is 60.75 are issued under sec.161o 08 Stat. Commission's 950. regulations, orders, or revised to read as follows: as amended (42 U.S.C. 2201(o)). license conditions to be maintained by Authority: Secs.107,101. 68 Stat. 939,948, 10. Immediately following 100.8. a the applicant or the licensee shall be as amended (42 U.S.C. 3137. 22o1); eecs. 201,new I 00.Ba is added to Subpart A to complete and accurate in all material as amended. zo2. 88 Stat.1241 ss amended. read as follows: respects.
1244 (42 U.S.C. 5841. 5842).
Completeness and accursey of (b) Esch aEP li cant or licensee shall Section 55.40 also issued under seca.106, 187. 08 Stat. 955 (42 U.S.C 2236,2237).
l 60.8a notify the Commission of information ,
informattork identified by the applicant or licensee as For the purposes of sec. 223. se Stat. 958, as (a)Inf rmation provided to the having for the regulated activity a f4 amended (42 U.S.C 22nb ll 55.3 and 55.31 Commission by an applicant for a .
(a) through (d) are Issued under sec. toti, as license or by a licensee or information significant implication for public health Stat 949, u smended (42 U.S.C 220t(111: and and safety or conunon defense and li 55 6b,55.9 and 55.41 are issued under sec. required by statute or by the security. An applicant or licensee 1610,08 Stat 950, se amended (42 U.S C Commission's regulations, orders, or violates this paragraph only if the license c nditions to be rnaintained by 2201(o)). applicant or licensee fails to notify the
- a. Imtnediately following i 55.0a, a the applicant or the licensee shall be C mplete and accurate in all matenal Commission of information that the new 155.6b is udded under the applicant or licensee has identified as undesignated center heading " General re8pect8- having a significant implication for
) Provisions" to read as follows:
(b) Each applicant or licensee shall public health and safety or common notify the Commission of information defense and security. Not.fication shall
$ 55.sb completeness and occuracy of identified by the applicant or licensee as be provided to the Administrator of the informst6on. having for the regulated activity a appropriate Regional Office within two (a) information provided to the significant implication for public health working days of identifying the Commission by an applicant for a and safety or common defense and information. This requirement is not license or by a licensee or information security, An applicant or licensee violates this paragraph only if the applicable to information which is required by statute or by the already required to be provided to the Commission's regulations, orders, or apphcant or licensee fails to notify the Commission by other reporting or license conditions to be maintained by Cornmission ofinformation that the the applicant or the licensee shall be updating requirements.
applicant orlicensee has identified as complete and accurate in all material having a sigmficant implication for PART 70-DOMESTIC LICENSING OR respects. public health and safety or ccmmon SPECIAL NUCLEAR MATERIAL (td Each applicant or licensee shall defense and security. Notification shall notify the Commissioe of information be provided to the Administrator of the 113.The authority citation for Part 70 identifkd by the apyicant or licensee as appropriate Regional Office within two is revised to read as follows:
having for the regulated activity a working days of identifying the Authority: Secs. 51, 53161,182.183. 6s Stat significant implication for public health information. This requirement is not 929,930,948.953,954, as amended sec. 234. 83 and safety or common defense and applicable to information which 18 Stat 444. as amended (42 U.S.C. 2071. 2073, security. An applicant orlicensee already required to be provided to the 2201, n32, ns2h secs. 201, as amended. 202.
violates this paragraph only if the Commission by other reporting or 204. 206, sa Stat.1242, as amended.1244.
rpplicant or licensee fails to notify the updating requirements. 1245.1248. (42 U.S.C 5841. 5842. 5845,5846).
Comrnission of information that the Section 70.7 also issued under Pub. L 95-PART 61-LICENSING 601, sec.10. 92 Stat. 2951 (42 U.S.C 5851).
appbcant or licensee has identified as d having a significant implication for der,s" o3 i a h C[io ig8[80g5 i88d*S REQUIREMENTS FOR LAND public health and safety or common DISPOSAL OF RADIOACTIVE WASTE defense and security. Notification shall issued under sec. 57d Pub. L 93-377. 88 Stat.
- 11. The authority citation for Part 611s 475 (42 U.S C 2077). Section 70.30 and 70.44 be provided to the Admimstrator of the also issued under sec.184. 68 Stat. 954 as revised to read as follows:
appropriate Regional Office within two amended (42 U.S.C 22341 Section 70.61 also Authodty: Secs 53, 57. e2. 63. 65. 81.161' working days of identifying the issued under seco.106.187. 68 "8"'d Stat. 955 (42 information.This requirement is not 6' " 70*2 'I8 N $"
$"".,21n. not n32,2233t seco.
applicable toinformation which is U'S C
""d*'8ec.1 8.68 202.n,' dig"'g*'t'N$72Si "38'"373'Stal 939 as amended (42 2093.2095 t1a already required to be provided to the 20a as Stat.1244.1248. g2 U.S.C 5642. s846).
co1.92 Stat.2951 ,ht p rposes of sec. c3.68 Stat.958 as Commission by other reporting or updating requirements.
gn IbL amended. (42 U.S.C 073h il 70.3.70.19(c).
For the purposes of sec. 223. 68 Stat. 958 as , a21(ch 422 tat (b). (d) through (k). 70.24 PART 60-DlSPOSAL OF H'GH LEVELamended. (42 U.S.C 2273): Tables 1 and and 2. (b). 70.32ta)(31. (51. (el. (dl and (i). 70.3s.
{ { et.3. e1.24. c1.25. et.27(a), c1.41 through 70.39(b) and ic) 70411a). 70 42(a) and {c).
RADIOACTIVE WASTES IN GEOLOGIC 01.43 et.52. 61.53. 61.55. 81.56, and 61.61 M58. 70.57tb). (c). and (dl. 70.58(a) through REPOSITORIES through 0153 are issued under sec.161b. 68 (gil3) and th) through (i) are issued under sec.
9.The authority citation for part 60 is 161b Be Stat. 948, as amended (42 U.S C Stat. i.4a. as amended (42 U.S.C. 2201(b)):
revised to read as follows:
Ii 0t.Ba e1.10 tbrough 61.16. e1.24. and 6180 2201(bL i 70 7. 70.20a (al andid). 70.20b (c) are tenued under sec.161o. 68 StaL 950. as and (e). 702:(c). 70.24(b). 70.32(a){6). (c). (d).
Authority: Secs 51. 53. 02. 63. 65. 81.16t. (el, and (gl. 70 36. 70 5t(c) through (gJ. 7036.
amended (42 U.S C 2201(01).
182. la3. no St st 929. 930. 932. 503. 935. 12. 948.Immediately following I 61.8. a 70 57(b) and (dl. and 70.58M) through (g)(3) 953, H54. as amended 142 U.S C 2o71. 20'3, and (h) through (j) are issued under sec.1611.
2092. 2043. 2o95. 2111. 22o1. new I 61.Ba is added to Subpart A to 68 Stat 949 as amended (42 U.S C Molli)):
1244,1246(42 U.S C C3t.
5a42. 22:t3). eecs.
f 202,206. Ba Stat read as follows:
5MB): sees 10 and 14. Puh. L 9wn. 92 Stat
. 7'40 rederal Registor ol, 52 No. 47 / Wedner: day, March 11, 7 / Proposed bleh l j
1 avj ll 70.5. 70A 7o 2cb(d) and le).7038, 171.6a Completeness and accuracy of 18. Immediately following I 72.9, a j 70.51(bl and h),70 52.70 51.70.54.70 55, information. new $ 72.9 is added to SubE art A to read 70.5 %)[4), (s 1. and til. 70 59 and 70 00(b) and (a)Information provided to the as follaws:
[c) are issued under sec.1610. 68 Stat. 950. as amended (42 U S C. 2201(oil. Commission by an applicant for a 9 72.9a completeness and accuracy of
- 14. Immediately following i 70.8, a "*
r quIr d b sta t or d
new I 709 Is added under 11." Commission's regulations, orders, or (a)Information provided to the u idesignated center heading " General license conditions to be maintained by Commission by an applicant for a p ovisions ' to read as follows: the applicant or the licensee shall be license or by a licensee or information complete and accurate in all material required by statute or by the i 70.9 Completeness and accuracy of Commission s regulations, orders, or information, re8peCl8-(b) Each applicant or licensee shall Ucense conditions to be maintained by (a)Information prov:ded to the the applicant or the licensee shall be Commission by an applicant for a notify the Commission of information license or by a licensee or information identified by the applicant or licensee as c mplete and accurate in all matenal respects.
r" quired by statute or by the having for the regulated activity a Commission's regulations, orden,, or significant implication for public health (b) Each applic, ant or licensee shall and safety or common defense and notify the Commission of information brense conditions to be maintained by identified by the applicant or licensee as the applicant or the licensee shall be security. An applicant or licensee violates this paragraph only if the having for the regulated activity a emplete and accurate in all material significant implication for public health re spects. applicant or licensee fails to notify the Commission ofir: formation that the and safety or common defense and (b) Each applicant or licensee shalj security. An applicant or licensee notify the Commissien of information applicant or licensee has identified as violates this paragraph only if the identified by the applicant or licensee as having a significant implication for applicant or hcensee fails to notify the hving for the regulated activity a public health and safety or common defense and security. Notification shall Commission of information that the signihcant implication for public health applicant or licensee has identified as a,d safety or common defense and be provided to the Administrator of the appropriate Regional Office within two having a significant implication for tucurity. An applicant or licensee Public health and safety or common Wlates this paragraph onlyif the working days ofidentifying the information. This requirement is not defense and security. Notification shall applicant or licensee fails to notify the be provided to the Administrator of the Commission ofinformation that the applicable to information which is already required to be provided to the appropriate Regional Office within two applicant or licensee has identified as working days of identifying the hwing a significant implication for Commission by other reporting or i upda ting requirements. Information. This requirement is not pi,blic health and safety or common applicable to mformation which is ch fense and security. Notification shall already required to be provided to the t<e provided to the Administrator of the PART 72-LICENSING REQUIREMENTS FOR THE STORAGE Commission by other reportmg or appropriate Regional Office within two updating requirements, working days of identifying the OF SPENT FUEL IN AN INDEPENDENT
'. in7ormation. This requirement is not SPENT FUEL STORAGE l
) PART 110--EXPORT AND IMPORT OF j a pplicable to mformation which is INSTALLATION (ISFSI) NUCLEAR EOUIPMENT AND already required to be pravided to the 17.The authority citation for Part 721s MATERIAL AUTHORITY I
l Commission by other trportmg or revised to read as follows:
updating requirements. 19. The authority citation for Part ito Authority: Secs. St. 53. 57. 62,63. 65, 69. 81* is revised to read as follows:
FART 71-PACKAGING AND 161,182.183.184.186,187, 68 Siat. 929, 930, 931 933,934.935.948,953,954,955,as Authority: Secs.51,53,54,57,83.64,65.81.
1 TRANSPORTATION OF RADIOACTIVE 81 103,104.109,111,126,127,128,129,161, amended. sec. 234,83 Stat. 444, as amended MATERIAL 181.182,183.187.189,68 Stat. 929,930. 931, (42 U.S.C 2071. 2073. 2077,2002,2003,2095, 2099.2111,2201.2232.2233,2234.2:36,2237, 931933, saa 937,94a 953. 954. m,9m as
- 15. The authority citation for Part 71 is 28H2h sec. 274. Pub. L 88-273,73 Stat. 688 as amended (42 U.S.C. 207L 2073. 2074. 2077 revised to read as follows.' 2002-2005,2111,2112,2133,21R 21R 2139a, amended (42 U.S.C 2021h secs. 201,202 206, Authority: Secs. 53,57,62. 63,81.161,181 1 4-2158,2201.223h2233,2237,223%
86 Stat.1242,1244.1248, as amended (4j .
6a Stat. 930,932,933. 935,948. 953,954, as sec. 20188 Stat.1242, as amendod (42 U.S.C.
U.S.C. 5841, 5842. b848); Pub. L 95-e01, sec.
amended (42 U.S C 2073. 2077,20912003, 5841).
, a. H 5854 sec.102, 2111,2201,2232,2233); seca. 201, as amended. Section 110.1(b)(2) also issued under Pub. L
, 202. 200. 68 Stat.1242. ae amended,1244, Pub. L 91-190. 83 Stat. 853 (42 U.S.C. 4332). 9e,-533. 94 Stat. 3138 (42 U.S.C 2403). Section 1 1.'46, (42 U.S.C 5841. 5842. and 5846). Section 72.34 also issued under sec.189. 68 110.11 also issued under sec.122. 68 Stat. 939 Section 71.97 also issued under sec. 301. Stat. 955 (42 U.S.C 2239h sec.134. Pub. L 97- (42 U.S C. 2152) and seca. 54c and 57d.,88 425,96 Stat. 2330 (42 U.S.C 10154).
Pub L 96-295. 94 Stat. 789-790. Stat. 473. 475 (42 U.S.C 2074). Section 110.21 For the purposes of sec. 223,68 Stat. 958. as For the purposea of sec. 223. 68 Stat. 958, as also issued under sec. sob (a), Pub, L 99.-440.
amended (42 U.S.C. 2273); il 71.3. 71.43, amended (42 U.S C. 2273h Sections 72.6, ?2.14.
Section 110.50(b)(3J also issued under sec. 7145. 71.55, 71.63 (a) and (b),71.83. 71.65. 72.15, 72.17(d). 72.19, 72.33(b) (1), (4 ), [5), (c), 123,92 Stat.142 (42 U.S.C. 2153). Section 7187,71.89, and 71.97 are issued under ecc. (D,72.36(a) are issued under sec.161b. 68 110.51 also issued under sec.184,68 Stat. 954, 16th,6a stat. 948. as amended l42 U.S.C. Stat. 948, as amended (42 U.S.C 2201(b)h as amended (42 U.S.C. 2234). Section 110.52 Il 72.10, 72.15. 72.17(dJ. 72.33 (c). (d) (1), (2). also issued under sec.186,68 Stat. 955 (42
, 220lth)b and () 71.5(b) 71.Ba. 71.91. 71.93.
7195, and 71.101(a) are issued under sec. (eh 72.81. 72 83. 72.84(a],72.91 are issued U.S.C. 2236). Sechons 110.80 through 110.113 161o. 68 Stat. 950. as amended (42 U.S C. under sec.1811,68 Stat. 949, as amended (42 also issued under 5 U.S.C 552,554. Sections 22gigo. U.S C 2201(ilh and 1172.9a. 72.33 (b)l3). 110.30 through 110.35 also issued under 5 (d)(3), (f), 72.35(bl. 72.50-72.52, 72.53(a b U.S.C, 553.
- 16. Immediately following $ 71.6, a 72.54(a). 72.55,72.56. 72.80(c). 72.841b) are For the purposes of sec. 223,68 Stat.958, as new l 71.6a is added to subpart A to issued under sec. telo. 68 Stat. 950. as amended (42 U.S.C 2273): li 110.20 through read as follows: amended (42 U.S.C 2201(o)). 110 29.110.50, and 110.120 through 110.129 1
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~ 7441 Federal Register / Vcl. 52, No. 47 / Wednesday. March it.1987 / PiWosed Rules II 150.16 through 150.19 and 150.20(b) are Information is that which has the cleo issued under secs. tetb snd I, Be Stat. capability of influencing a reasonable 948. 949, as amended (42 U.S.C. 2201(b) and issued under sec. teto, se Stat. 9% as agency expert in the conduct of his (t]); cnd li t to.7(a) and 110.53 are also issued amended (42 U.S.C. 220t[o)).
duties. unders te (o) 68 Stat. 950, as amended (42 22.The introductory paragraph of l That standard is rather broad, but the
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i 150.20(b)is revised to read as follows: Commission has justified such a full
- 20. Immediately following i 110.7, a disclosure requirement on the ground i 9 150.20 Recognition of agreement state n:w $ 110.7a is added to Subpart A to
#s*a***. that it is essential to ensure that the rerd ta follows: , , ,
Commission could fulfillits duty to z i 110.7a Completeness and occuracy of (b), Notwithstanding any provision to protect the public health and safety, ! information. the contrary in any specific license CL1-76-22,4 NRC 400,488. A full i (a) information provided to the iss,ed bY an Agreement State to a disclosure requirement is essential given
, Commiasion by an applicant for a person engaging in activities in a non- the aud. it nature of the NRC's re8ulatory lic:nse or by a licensee or information Agreement State or in offshore waters activities. Because the agncy actuagly rsquired by statute or by the under the generallicenses provided in se m s nyech m y a smal Commission's regulations, orders, or this section, the genera!Ifcenses portion of a heensee,s activities, we i
license conditions to be maintained by provided in this section are subject to must depend heavily o the1 ensee to the applicant or the licensee shall be the provisions of Il 30.7(a) through (e), I 5 complete and eccurate in all material 30.9,30.14(d) and il 30.34,30.41, and proble hc ey affec the safety of res ects. 30.51 to 30.63, inclusive, of Part 30 of this the public.The full discIosure ( ) Each applicant or licensee shall chapter, I 40.7(a) through (e), l 40.9, and ii 40.41,40.51,40.61,40.03, inclusive provides assurance that licensees will notify the Commission of information identified by the applicant orlicensee as 40.71 and 40.81 of Part 40 of this chapter, E ""E*" "" " " . having for the regulated activity a and i 70.7(a) through (e)' l 70 9 and material safety inf rmati n. Only with significant implication for public health i5 70.32,70 42,70.51 to 70.56, inclusive, " "# "" '" and safety or common defense and 70.00 to 70.62, inclusive, and 70.71 of Part make a thorough appraisal efore, security. An applicant or licensee 70 of this chapter; and to the provisions a ng a ga ry @sbn. M violates this paragraph only if the of Parts 19,20, and 71 and Subpart B of specific reporting reqmrements in opplicant or hcensee falls to notify the Part 34 of this chapter. In addition, any Ngulad ns are imp rtant t provide Commission of information that the person engaging in activities in non. guidance to the licensees, they are not applicant or licensee has identified as Agreement States or in offshore waters sufficient to ensure full disclosure. having a significant implication for under the generallicenses provided in . . no set of 8pecMc regulations, pubhc health and safety or common this section: however carefully drawn, can be expected to defense and security, Notification shall , , , . . cover all possible circumstances. Information be provided to the Administrator of the Separate views of Commissioner may come from unexpected sources or take appropriate Regional Office within two an unexpected form. but if it ie, material to the ' Asse stine follow. licensing decision and therefore to the pubhc working days of identifying the Dated at Washington, DC, this oth day of health and safety it must be passed on to the informatiori. This requirement is not March,1967, Commission tf we are to perform our task.4 APPli cable to information whichis for the Nuclear Regulatory Commission. NRC 489. I 1 already required to be provided to the Commission by other reporting or John C. licyle. Thus, the Commiss. ion properly felt , Acting Secretary of the Commission. that a full disclosure provision which is updating requirements. Separate Views of Commissioner broad enough to cover all circumstances l PART 150-EXEMPTIONS AND Asselstme is necessary.The Ccmmission said that CONTINUED REGULATORY a healthy dose of common sense and a The Commission's proposal to AliTHORITY IN AGREEMENT STATES substitute this regulation for its present look at the context in which the issue AND IN OFFSHORE WATERS UNDER arose would be sufficient to resolve standards governing material false SECTION 274 most problems which might arise statements suffers from two major
,).The authority citation for Part 150 flaws. First,it requires less than the full because of the breadth of the requirement. That has, in fact, been the continues to read as follows d selosure required by the Commission case in the past ten years since the Authority: Sec.181. 68 Stat. 943, a s in the VEPCO case. Second,it fails to VEPCO decision was issued. The '1 amended. sec. 274. 73 Stat. osa (42 U.S C- provide clear guidance to the licensees 2201,20:11. sec. 2m aa Stat.1242. as on what their responsibilities are in Commission has used the material false np rting information to the NRC. statement violation in a limited number of cases and only after careful review.
Sc s1 3 bso.tsa.1so.31' The Commission has for ten years The Commission s judicious use of these 150.32 also issued secs.11e(21.81.e8 Stat 923. Used the standards set out in the 935, as amended, secs.83. 84. 92 Stat. 3033. citations has effectively corrected ! PEPCO case when taking enforcement l 3o39 (42 U.S.C. 2014e(21. 2111. 2113. 2114). deficient performance on the part of a action for misstatements or failures to l Section 150.14 also issued under sec. 53. 08 report information. Licensees and few licensees and has served as a Stat. 030. as amended (42 U.S C. 2073). j Section 150.17a also boued under sec.122. 6a applicants are required to assure that all reminder to the rest of the industry of the need for full disclosure of material Stat. 939 l42 U.S C. 21521. Section 150.30 also submissions of materialinformation are issued under sec. 234,83 Stat. 444142 U.S C. cornplete and accurate, whether made informatico. The Commission is no loriger willing orally r in writing. In addition. I r tbc purpmes of sec. 223, M Stat. 958. as licensees and appl cents have an to rely on common sense, however. amended (42 tf S C. 2ral. I 150 20ibl(21 affirmative du'y to report all material Largely because of concerns raised throus 141 and 15m are mued under sec. information to the Commission, even in about the difficulty of controllmg the lath.08 St t N& as awnded (42 U S C. the absence of a specific reporting oral statements of alllicensee 22m(t)); 15014 is W.wed under sac. toli. ca employees and about the pejorative requirement in the regulations. Material Stat 941 as mended t 42 t! s C. 2201N): and l
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4 .- 7442 Federal R gister / k. 52, No. 47 / Wednesday, March 11, ib.// Proposed Rdes connotailons of the label" material false to report it. together with the relevant facts. change, or how tht change will help the statement" the Commission has decided raises serins questins about either its Commission to ensure that it is aware of to engage in rulemaking to articulate a c mpetencMe., Ha abihty to evaluate all relevant information when it carries modified policy on da. closure og a on o s a wor n se e, ' e , , , , n out its duty to protect the public health information. Unfortunately the proposed information for evaluation. and safety. rule fails to accomplish cne of the The Commission's rule thus fails not primary purposes of rulemaking-to Thus, the rule provides that a h.eensee only to require full disclosuu of material establish clear guidance to the regulated can be penalized under the rule only for safety information, but it fails to provide entities. Rather, the rule discards well- failure to report information it has clear guidance.The law on material thought-out and well. established identified as sigmficant. Yet, accordm.g false statements was well settled and to the Commission, tl'e licensee can be principles and substitutes something worked effectively for ten years. The that esen the lawyers will have penalized under the Commission's Commission has substituted for that difficulty understanding. gueral wgulatory authority for failure long-settled law a rule which makes Subsection b, of the proposed rule is to identify m, formation as being requirements less clear, which the Commission's substitute for the full significant. llowever, the Commission establishes new standards that make disclosure requirement. It falls far short fails to e,xplain what standards will be little sense, which will only make it of the VEPCO standard.First The rule used in determining whether to take more difficult to take enforcement limits the ability of the Commission to enfacement action for a failure t action, and which will surely lead to take enforcement action if a licensee identify, There certainly are n much litigation.The benefits of this rule fulls to report significant information. standards in the rule.This seems to be a are, on the other hand, difficult to The rule only requires disclosure of "8 ting discern.The rule certainly will not information, which is not otherwise {a"i er P" 8 f i bcuti f 8 , ' encourage full disclosure, and it does required by regulation, order, statute, or I 8i ppr d *I n thing to clarify Commission license condition,in those cases where ("" ear st d d go at information the Commission thinks "9"I'***".tedn us effon to ensure that the licensee has identificdit as 'having Nponmg mlations will no longer be for the regulated activity a significant 8hould. be up rted and to, clearly labelled material false statements, the explam when licensees wdl be subject implication" for the public health and Commission has diminished the NRC's safety. This standard in effect allows the $p*g"f ,"*[g*nfo n]ould y ability M obtain the information it needs licensee to determine what information t discharge its safety mission and to easier for the licensees to understand is relevant to the conduct of agency deal effecitvely with licensees who fail and would not require them to go business. It is unusunt, to say the least, beyond the rule to understand when i provide the agency with needed for an agency to leave up to the they might be penalized for failure to ini rmation.
. regulated entity the determination of identify information. [FR Doc. 87-5167 Filed ?-10-87; a:45 am) what information is material for A third problem with the proposed s ussocaosressebas purposes of deciding whether to take rule is that the Commission has raised enforcement action.The Commisamn the threshhold for what information has does not explain what benefit this to be reported. Under VEPCO the full FEDERAL DEPOSIT INSURANCE l' i disclosure standard requires that a CORPORATION I to the i i u7tY n ak n8 licensee report any information which enforcement action because it requires has the capability to influence a 12 CFR Part 332 proof of a new element, the fact of reasonable agency expert.The identification by the licensee.8 Commission has substituted for that Powers inconsistent With Purposes of Moreover, the rule includes no standard a requirement that licensees Federal Deposit insurance Law provismn for enforcement action if the report information "having for the .
hcensee should have identified regulated activity signif; cant AotNcy: Federal Deposit insurance information as being significant and did implications for the public health and Ceporation (FDIC). not. A licensee only violates subsection safety and the common defense and ACTION: Extension of deadline for
- b. if it actually identifies information security." What that phrase means is consideration, adoption, and publication and falls to report it. !! the licensee fails anybody's guess.The Commission of final rule.
to identify significant information, the lain what it
.makes noit attempt sUMMAMY:This notice serves to extend Commission can take no enforcement means, and certainly to exhas no accepted action based on the rule.The legal definition as does the term the period of time which the FDIC may Commission states that it intends to fall use under its internal pobey statement
" material" which is used in the back on its general authority to revoke, i r the consideration, adoptions aad Commission's present standard. Once suspend or modify licenses in those again the Commission fails to add publication of the FDIC's final rule on cases where there is a question about participation by insured banks in real clarity. Rather, this phrase will only the reasonableness of the hcensee's estate development and insurance provide fertile ground for litigation.
failure to identify information as being The only thing that is clear about this underwriting activities. significant: phrase is that it sets a higher threshhold DATE:The deadline for final agency
. . . en order might be appropriate where for reporting than that required under action on the proposed rule is extended the acunn of the licensee m not recognizing the present full disclosure requirement. to September 15.1987, the significance of the information and failms Obviously by inserting the term FOR FURTHER INFOResATION CONTACT:
"significant"into the rule the Pamela E.P. LeCren, Senior Attorney, i m commmmon mms a reco ntu that the Commission meant to require something Legal Division, (202) 898-3743, or Robert may to mne dimcuiry in act.auy .s.i. tai.hms that less than that all materialinformation E. Feldman. Senior Attorney. Isgal
* " ' Division. (202) 808-3743. Federal Deposit
- Yu7.5he cIm"Non ."etNItn tN tc r7t or be reported.The Commission iails to consideranons a few examples of act6ans whx.h explain why such a change is necessary, insurance Corporation. 55017th Street may tw ind cauve of idenunce:xa what benefit will sccrne from the NW., Washington, DC 20429.
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