ML23150A083

Adj Application User Guide 2023-05-30

ML23150A083
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Issue date:	05/30/2023
From:	NRC/OCIO
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Download: ML23150A083 (34)

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Electronic Information Exchange System Adjudicatory Users Guide May 30, 2023 Revision 3.0

Revision 2 December 2020 Table of Contents Table of Contents

1.

Introduction.......................................................................................................................... 3

2.

First Time User Required Actions........................................................................................ 3 2.1 Requesting, Obtaining and Installing Your Digital ID Certificate.................................................................. 3

3.

Preparing Documents for Submission.................................................................................. 4

4.

Submitting Adjudicatory Documents to the NRC.................................................................. 6 4.1 Terms of Service......................................................................................................................................... 8 4.1.1 First Time Users........................................................................................................................................ 10 4.2 Home........................................................................................................................................................ 12 4.2.1 Navigation................................................................................................................................................. 12 4.3 Request Access to Proceeding................................................................................................................. 13 4.3.1 Select Proceeding Name........................................................................................................................... 14 4.3.2 Populate Profile......................................................................................................................................... 14 4.3.3 Populate Reason for Accessing Proceeding............................................................................................. 15 4.3.4 Submit Request......................................................................................................................................... 15 4.3.5 E-mail Acknowledgement.......................................................................................................................... 16 4.4 New Submission....................................................................................................................................... 16 4.4.1 Select Submission Type............................................................................................................................ 17 4.4.2 Select Proceeding..................................................................................................................................... 17 4.4.3 Complete Submission Form...................................................................................................................... 18 4.4.3.1 Submitters Information............................................................................................................................. 20 4.4.3.2 Proceeding Information............................................................................................................................. 20 4.4.3.3 Submission Information............................................................................................................................. 20 4.4.3.4 Attach File(s)............................................................................................................................................. 21 4.4.3.5 Public Service List..................................................................................................................................... 24 4.4.3.6 Non-Public Service List............................................................................................................................. 24 4.4.3.7 Legal In-Camera Service List.................................................................................................................... 25 4.4.3.8 Submitter Signature - Sign........................................................................................................................ 25 4.4.3.9 Submitter Signature - Submit.................................................................................................................... 26 4.4.4 Submittal Received................................................................................................................................... 26 4.4.5 E-mail Acknowledgement.......................................................................................................................... 27 4.5 Other User Functions................................................................................................................................ 28 4.5.1 Update Profile........................................................................................................................................... 29 4.5.2 View Submission History........................................................................................................................... 30 4.5.3 Access Electronic Hearing Docket............................................................................................................ 31 4.6 Help........................................................................................................................................................... 33

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 3 of 32

1. Introduction This document outlines step-by-step instructions for successfully submitting adjudicatory documents electronically to the NRC via the Electronic Information Exchange (EIE) process, which is available on the NRC's Web page (www.nrc.gov), by means of the Adjudicatory Submissions link found under the Popular Documents section (http://www.nrc.gov/site-help/e-submittals/adjudicatory-sub.html).

2. First Time User Required Actions To submit documents to the NRC, first-time users must successfully complete the steps described in Section 2.1. These are one-time, nonrecurring steps.

2.1 Requesting, Obtaining and Installing Your Digital ID Certificate In undertaking the multi-step process of requesting, obtaining, and installing a digital certificate, it is important to be aware that you must pick up (and later renew) your digital ID certificate from the same PC where you initially enroll for the certificate. This is a security precaution imposed by Verisign, the digital certificate issuer. Therefore, it is important that you enroll for the certificate from a PC where you receive e-mail for the e-mail address that will be associated with your digital ID certificate.

Follow the instructions provided in the Enrollment and Activation User Guides found at https://pki.nrc.gov/ecs/guides.html.

Have you performed the first time user required actions?

Yes See Section 3 (for preparing the document for submission).

No Complete Sections 2.1, prior to proceeding to Section 3.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 4 of 32

3. Preparing Documents for Submission As stated in the NRCs guidance document for electronic submissions, electronic documents should be submitted in Portable Document Format (PDF). The document Guidance for Electronic Submissions to the NRC along with additional instructions on PDF settings, as well as PDF generation, can be found on the NRCs Reference Materials for Electronic Submissions Web page (http://www.nrc.gov/site-help/electronic-sub-ref-mat.html).

The instructional information provided on this website is available in PDF documents and on video clips to assist users in preparing PDFs that comply with NRC guidelines.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 5 of 32 Additionally, there are pre-configured PDF-Distiller profiles for Adobe 5/6/7/8/9/10/11 available that can be used to ensure PDF-rendered documents comply with NRC guidelines.

Simply right mouse click on the applicable Adobe version joboptions (e.g.,

) and select Save Target As.

Save to the following file path location:

C:\\Program Files\\Adobe\\Acrobat

<x.0>\\Distillr\\Settings Ensure the file extension is:

.joboptions.

Note: A useful guide for PDF generation can be found by selecting the Desk Reference Guide for PDF Document Generation link, as well as Desk Reference Guide for PDF Document Generation - Acrobat v.9.0.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 6 of 32

4. Submitting Adjudicatory Documents to the NRC After successfully converting the document(s) to PDF, using the NRC-approved settings, navigate to the NRCs website (www.nrc.gov) to begin the submittal process.

Scroll to the bottom of the website and click on the Adjudicatory Submissions link.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 7 of 32 The Adjudicatory Submissions Web page will be displayed (http://www.nrc.gov/site-help/e-submittals/adjudicatory-sub.html).

To submit Adjudicatory documents, click on the Submit Adjudicatory Documents link.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 8 of 32 If a Request for Permission to Use a Key dialogue box appears, click on the radio button for Grant permission.

Enter the certificate password in the Key protection password.

Click the OK button.

4.1 Terms of Service Note: If you have problems with the steps outlined below, try deleting your Internet cookies and files. Each time you visit a website, a cookie is created on your computer in the form of a benign text file. To delete your cookies, from your Internet Explorer window, click on the Tools tab, then scroll down and select Internet Options. Click on the General tab.

Within the Browsing history section, click the checkbox for Delete browsing history on exit, then select the Delete button. Ensure the following checkboxes are selected:

Temporary Internet files and website files, Cookies and website data, and History. Click the Delete button. Click the OK button.

Close your Internet Explorer window. Continue with Section 4 instructions.

Click on the I consent to monitoring radio button, then click on the Continue button.

The Terms of Service page will appear:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 9 of 32

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 10 of 32 4.1.1 First Time Users First Time Users will immediately be taken to the Rules of Behavior page:

Review the Rules of Behavior, and then click the Accept radio button, followed by clicking on the Continue button.

Note: If not a First Time User, continue with Section 4.2.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 11 of 32 Upon accepting the Rules of Behavior, First Time Users will immediately be taken to Request Access to Proceeding (see Section 4.3.1.) Enter the required fields with a red asterisk, and then click the Submit Request button to submit your proceeding access request. Your request will be approved or rejected by the Adjudicatory Administrator.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 12 of 32 4.2 Home The Home page will provide system announcements about the EIE Adjudicatory system.

To easily navigate back to the Home page from any area of the adjudicatory submission application, simply select Home from the menu bar.

4.2.1 Navigation Navigate through the EIE Adjudicatory options by select a link from the menu bar at the top of the form:

Home, see Section 4.2 Request Access to Proceeding, see Section 4.3 New Submission, see Section 4.4 Other User Functions, see Section 4.5 Help, see Section 4.6 Logout, see Section 4.7

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 13 of 32 4.3 Request Access to Proceeding Select Request Access to Proceeding from the menu bar.

The Request Access to a Proceeding page will display:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 14 of 32 4.3.1 Select Proceeding Name Click on the desired Proceeding Name from the list presented from the drop-down menu.

To select more than one proceeding, hold down the Ctrl key, then click on all desired proceedings.

4.3.2 Populate Profile The following fields are un-editable, (the information if obtained from the certificate): First Name, Last Name, Email, and Expiration.

Populate the following fields, ensuring that all required fields, annotated with a red asterisk

( ):are completed: Business Affiliation (required), Title (title of certificate holder is not required),

Phone (required), Fax (not required), Address 1 (required), Address 2 (not required), City (required), State (required), and Zip (required).

Note: The information contained in the profile can be set for all future submissions by following the steps outlined in Section 4.5.1. Completing the actions within the Update Profile section will relieve the user of completing these actions outlined below in all future submissions.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 15 of 32 4.3.3 Populate Reason for Accessing Proceeding Populate the Reason field (required), indicating the reason for needing access to the selected proceeding(s).

4.3.4 Submit Request Before completing the request for access to a proceeding, complete the required action of clicking the checkbox ( ) acknowledging that the Terms for Use, which states that providing false information to a Federal Agency may result in Prosecution, have been read.

Click on the Submit Request button. The screen will update with a message that states: Your request for accessing proceeding(s) has been submitted successfully.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 16 of 32 4.3.5 E-mail Acknowledgement The user will receive an email acknowledging the request has been received from Hearingdocket@nrc.gov.

4.4 New Submission Select New Submission from the menu bar:

Jane Doe

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 17 of 32 4.4.1 Select Submission Type A drop-down menu will appear. Select the applicable action:

Public Submission - all parties to a public proceeding will receive an e-mail notice that contains a link permitting the recipient to retrieve a copy of the submission.

Subsequently (within no more than 3 business days) it will be posted in the public docket and will be available for review by the general public.

Non-Public Submission - The individuals shown on the service list are entitled to view the contents of this submission unless deselected by you.

Legal In-Camera Submission - The contents of In-Camera Submissions are delivered only to the presiding officer(s) of the proceeding selected. Please understand that when selecting Legal In-Camera Submission, the only document type allowed when attaching documents is Legal In-Camera Filing.

4.4.2 Select Proceeding Using the drop-down menu, select the Proceeding Name (required), then click on the Continue button.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 18 of 32 4.4.3 Complete Submission Form The submission form will display:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 19 of 32 Note: For any text field such as Submission Title, Submission Comment and Document Title, in this Submission form, type in your input. Do not cut-and-paste from a PDF file which may contain some special characters that the EIE database does not accept.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 20 of 32 4.4.3.1 Submitters Information The Submitters information section is un-editable and is obtained from the certificate.

4.4.3.2 Proceeding Information The Proceeding information section is un-editable. This section displays the Proceeding Name (selected in Section 4.4.2) and the Presiding Officer(s) names.

4.4.3.3 Submission Information Populate the following fields within the Submission Information section:

Field Name Description Submission Title (Required)

Enter a title for the submission.

The Submission Title may not contain more than 300 characters or include any of the following characters: & " / \\ < > l ? *.

Submission Comments (if desired)

Enter any comments pertaining to the submission, if desired.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 21 of 32 4.4.3.4 Attach File(s)

Each submission must have at least one file attached. You may attach multiple files to a single submission so long as no single file is larger than 1,000 MB and the aggregate size of the attached files does not exceed 1,000 MB.

Populate the following fields within the Submission Information section:

Field Name Description File Name (Required)

Use the Browse button to attach a document. A Choose File to Upload dialogue box will appear. Navigate to the document to be attached. Select the document, and then select the Open button. The File Name field will auto-populate.

Note: There is a limit of 85 characters.

Document Type (Required)

Use the drop-down menu to select the submission type:

Note: Please understand that when selecting Legal In-Camera Submission, the only document type allowed when attaching documents is Legal In-Camera Filing.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 22 of 32 Field Name Description Document Title (Required)

Enter the title of the document being attached to the submittal form.

Note: The document title may not contain the following characters:

& / \\ < > : l ?

• CCM (only required is document contains copyright material)

Click on the checkbox ( ) only if the document contains copyright material.

A dialogue box will appear, as follows:

After reading the confirmation statement, click on the OK button.

TRS All submissions should be text recognized/searchable and 300dpi. Please acknowledge in the appropriate checkbox.

Action If an incorrectly attached file was selected, click on the Remove button to the right of the file attached in error Total File Size As documents are attached, the file size will automatically calculate. Ensure the file size of all documents attached does not exceed 500 MB.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 23 of 32 To attach additional files, click the Add Another File button and then repeat the steps beginning of this section.

Unlike the previous system, users may attach only one file at a time so the Browse>Select>Open sequence must be completed for each file.

The following example is after attaching a second file:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 24 of 32 4.4.3.5 Public Service List The following is an example of a Public Service List:

The checkboxes ( ) within the Notify column are not editable. All parties to a public proceeding will receive an e-mail notice that contains a link permitting the recipient to retrieve a copy of the submission. Subsequently (within no more than 3 business days) it will be posted in the public docket and will be available for review by the general public.

4.4.3.6 Non-Public Service List The following is an example of a Non-Public Service List:

The names listed are either NRC entities/personnel or have executed a required nondisclosure agreement. Each will receive notice of this non-public submission and be able to view its contents. As the document(s) submitter, if you have reason to believe anyone on this list should not receive access to this non-public filing, you should remove the check mark next to that individual's name. Further, if you uncheck an individual's name, you must provide a reason for "deselecting" each individual. Each "deselected" individual will receive notice of this filing but will not receive a link to the submission's contents. The deselection notice also will include the reason you have provided for "deselection." Note: NRC entities/employees, including "Hearing Docket" and OCAA, cannot be "deselected."

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 25 of 32 4.4.3.7 Legal In-Camera Service List The Service List will not be presented for Legal In-Camera submissions. The contents are delivered only to the presiding officer(s) of the proceeding selected.

4.4.3.8 Submitter Signature - Sign Click on the Sign button. The certificate owners name will appear as the signature, with todays date displayed:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 26 of 32 4.4.3.9 Submitter Signature - Submit To complete the submission process, click on the Submit button.

Note: To enable the data fields to allow the user to update the submission, click on the Unsign button.

4.4.4 Submittal Received The screen will refresh and display a message that the Nuclear Regulatory Commission -

Electronic Information Exchange adjudicatory submission was received.

To create another submittal, click on the New Submission button (see Section 4.4.1).

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 27 of 32 4.4.5 E-mail Acknowledgement The user will receive an email acknowledging the submission from Hearingdocket@nrc.gov.

The following is an example of an email acknowledgement:

Subject:

Re: NRC Proceeding "New Form Test" MESSAGE FROM THE OFFICE OF THE SECRETARY, NUCLEAR REGULATORY COMMISSION Re: NRC Proceeding "New Form Test" The Office of the Secretary has received a Submission entitled "for user guide" submitted by name of submitter (affiliate) who is affiliated with NRC. It contains 1 attachment(s).

It is intended for inclusion in the referenced proceeding. It was submitted through the NRC Electronic Information Exchange (EIE) system and arrived on 10/26/2016 at 12.13 PM.

As a hearing participant, you are entitled to view and/or retrieve this Submission by visiting the following web link.

Title of the submission - https://eie-ps.nrc.gov/eie/adj/downloadAttachment.eie?submissionId=53402&docId=23454 (26 KB)

If the submission contains 2 or more attachments, they will be delivered to you as a single zip file from which you may open the attachments.

The link will remain active for 14 day(s) after which its contents will be removed from the EIE system.

Not later than 3 days from the date of this message the attachment(s) will also be available through NRC Electronic Hearing Docket (EHD) web site. The web link for this site is: http://adams.nrc.gov/ehd and the documents can be located by browsing in the appropriate hearing folder.

Receipt of this message constitutes completion of service of this filing.

PARTIES SERVED WITH THIS SUBMISSION: all party names will be listed here To view and/or retrieve the submission, select the link displayed in the email.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 28 of 32 4.5 Other User Functions Select Other User Functions from the menu bar:

Note: For submissions containing more than 1 (one) document, after selecting the link and entering the certificate password, the following screen will appear, as the multi-document submission will be contained within a zip file:

Select the Open button to open the zip file and extract the documents or select the Save button to save the zip file.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 29 of 32 A drop-down menu will appear:

Select the applicable action:

Update Profile (see Section 4.5.1)

View Submission History (see Section 4.5.2)

Access Electronic Hearing Docket (see Section 4.5.3) 4.5.1 Update Profile The Modify User Profile page will display:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 30 of 32 Update any editable field within the Contact Information or Address section of the form. Ensure all required fields, annotated with a red asterisk (*), are populated.

The Certificate Information section is auto-populated with the certificate information of the person logging into the EIE system. These fields are un-editable.

Update the Contact Information section with the certificate owners Business Affiliation (required), Title (not required), Phone (required), and Fax (not required).

Update the Address section with the certificate owners Address 1 (required), Address 2 (not required), City (required), State (required), and Zip (required).

Click on the Update User Profile button to save the updated information.

4.5.2 View Submission History Select the ID button to view the submission.

Note: In the example above, even though the top submission has two (2) attachments, only a single accession number is shown. That is because the two attachments were added as a package and the number displayed is the package id.

In the second entry, in the example above, there are two (2) accession numbers. That is because one or both of the attachments is of document type Pre-filed xxx Submissions with those docs types added individually and are not packaged.

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 31 of 32 Select the Down Arrow to expand and view all documents attached to a submission:

Select the Up Arrow to collapse and view as a single line item.

4.5.3 Access Electronic Hearing Docket After selecting Access Electronic Hearing Docket from the Other User Functions option in the menu bar, the Electronic Hearing Docket (EHD) will display:

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 32 of 32

Revision 2 December 2020 Users Guide for Adjudicatory Submissions Page 33 of 32 4.6 Help Select Help from the menu bar.

This Adjudicatory Submission User Guide will open.

Bookmarks (on the left side of the screen) and links are embedded (such as within the Table of Contents) to allow for easy navigation through document.

Revision 2 December 2020 4.7 Log Out Select Log Out from the menu bar.

Users Guide for Adjudicatory Submissions Page 34 of 33 The Terms of Service page will display.

You may close the window or re-enter the EIE Adjudicatory system by following Section 4.1.