ML18073A094

Management Directive 3.5, Attendance at NRC Staff-Sponsored Meetings.

ML18073A094
Person / Time
Issue date:	12/23/2011
From:	NRC/EDO
To:
References
DT-17-105 MD 3.5
Download: ML18073A094 (29)

Text

U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 3.5 ATTENDANCE AT DT-17-105 NRC STAFF-SPONSORED MEETINGS Volume 3, Information Management Part 1: Publications, Mail, and Information Disclosure Approved by: R. W. Borchardt Executive Director for Operations Date Approved: December 23, 2011 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of the Executive Director for Operations Contact Name: Lance Rakovan 301-415-2589 EXECUTIVE

SUMMARY

Directive and Handbook 3.5 are being revised to clarify NRCs policies with respect to closed meetings, specifically, to more clearly define what constitutes a meeting and to ensure certain closed staff meeting notices and summaries are both accessible by the public and issued in a timely manner. Revisions also address improvements in participation technologies and clarify sign-in sheet usage.

TABLE OF CONTENTS I. POLICY..............................................................................................................................2 II. OBJECTIVES ....................................................................................................................2 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY ........... 2 A. Commission..................................................................................................................2 B. Executive Director for Operations (EDO) ......................................................................2 C. Director, Office of Information Services (OIS) ...............................................................2 D. Director, Office of Public Affairs (OPA) .........................................................................2 E. Director, Office of Small Business and Civil Rights .......................................................3 F. Office Directors and Regional Administrators ...............................................................3 IV. APPLICABILITY ................................................................................................................3 V. DIRECTIVE HANDBOOK ..................................................................................................3 VI. REFERENCES ...................................................................................................................4 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS I. POLICY In furtherance of the Commissions intent to keep the public informed of agency activities and provide opportunities for public involvement, it is the policy of the U.S. Nuclear Regulatory Commission that certain meetings between the staff of the NRC and external stakeholders be open to attendance by all members of the general public in accordance with Section I of Handbook 3.5. It is also the policy of the NRC that notices and summaries of certain meetings that are not open to attendance by members of the general public be publicly available.

II. OBJECTIVES Ensure that members of the public have the opportunity to enhance their understanding of the agencys regulatory process through attendance at, participation in, and/or knowledge of the agencys meetings with applicants, licensees, and others.

Ensure that all public meetings are noticed in a timely manner and to inform interested stakeholders about NRC meetings.

Balance the NRCs objective of openness and the publics interest in attending or participating in NRC meetings against the need for NRC staff to exercise its regulatory and safety responsibilities without undue administrative burden, as well as the need to protect classified, safeguards, and sensitive information.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Commission Establishes policy regarding public participation at meetings conducted by NRC staff.

B. Executive Director for Operations (EDO)

Ensures that policy is implemented regarding public participation at meetings sponsored and conducted by NRC staff.

C. Director, Office of Information Services (OIS)

Develops and administers a program for the receipt and dissemination of information on public meetings through the Public Meeting Notice System.

D. Director, Office of Public Affairs (OPA)

1. Ensures that OPA staff consults with the regional administrator or the office director in certain significant cases of high public interest to determine whether it is appropriate to allow public attendance or to hold a separate public meeting to discuss the results of an inspection or a review.

2. Issues a press release for meetings of high public interest.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

MD 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS E. Director, Office of Small Business and Civil Rights

1. Provides an effective process for the receipt, and prompt, fair, and impartial processing and disposition of discrimination complaints regarding access to NRC staff-sponsored meetings, as protected by applicable Federal civil rights statutes, Executive Orders, and NRC regulations.

2. Ensures advice and guidance are provided to staff on accommodating individuals with disabilities and individuals with limited English proficiency to permit participation in NRC staff-sponsored meetings.

3. Ensures SBCR staff assists offices in their efforts to provide accessibility to facilities, equipment, activities; appropriate auxiliary aids; effective communications; and reasonable accommodations involving NRC staff-sponsored meetings.

F. Office Directors and Regional Administrators

1. Ensure the staff implements the procedures and guidance in Handbook 3.5 for public and non-public meetings.

2. Implement the policy in this directive for the receipt and dissemination of public meeting notices.

3. Inform or make recommendations on the need for public meetings, as appropriate, to the EDO or Deputy Executive Directors when significant NRC activities are at the planning stage.

4. Ensure that notices of staff meetings open to the public are posted on the Public Meeting Schedule on the NRCs external Web site no less than 10 calendar days in advance of the meeting date.

IV. APPLICABILITY A. The policy and guidance in this directive and handbook apply to all NRC employees except the Commission or offices that report directly to the Commission.

B. This directive does not apply to or supersede any existing law, rule, or regulation that addresses public attendance at a specific type of meeting.

V. DIRECTIVE HANDBOOK Handbook 3.5 A. Defines types of agency meetings that should be open to the public for participation with examples of both open and closed meetings.

B. Describes the means by which the public may learn when agency open meetings are being held.

C. Provides procedures and guidance for planning, scheduling, noticing, announcing, and documenting public and non-public meetings.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

MD 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS VI. REFERENCES Code of Federal Regulations 10 CFR Part 2, Rules of Practice for Domestic Licensing Proceedings and Issuance of Orders.

10 CFR 2.390, Public Inspections, Exemptions, Requests for Withholding.

10 CFR Part 7, Advisory Committees.

10 CFR Part 9, Public Records.

10 CFR 73.21, Protection of Safeguards Information: Performance Requirements.

Federal Register Notice Enhancing Public Participation in NRC Meetings; Policy Statement (May 28, 2002, 67 FR 36920).

Nuclear Regulatory Commission Documents Guidance for Determining the Public Availability of NRC Records http://www.internal.nrc.gov/2008_MD-Companion-Doc.pdf.

NRC Public Meeting Policy Web Site (How Do I Conduct a Public Meeting):

http://www.internal.nrc.gov/communications/policy.html.

NRC Communications Checklist:

http://www.internal.nrc.gov/communications/checklist.html.

NRC Management Directives 3.4, Release of Information to the Public.

8.11, Review Process for 10 CFR 2.206 Petitions.

12.2, NRC Classified Information Security Program.

12.6, NRC Sensitive Unclassified Information Security Program.

12.7, NRC Safeguards Information Security Program.

NRC Management Directives Web Site:

http://www.internal.nrc.gov/ADM/DAS/cag/mandirs/index.html.

NRC Public Meeting Feedback System, available at http://cio9.nrc.gov/pmfs/index.cfm.

NRC Public Meeting Schedule Web site:

http://www.nrc.gov/public-involve/public-meetings/index.cfm.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

MD 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS NUREG/BR-0273, ADAMS Desk Reference Guide, available at http://www.internal.nrc.gov/NRC/NUREGS/BR0273/br0273R4.pdf.

Sensitive Unclassified Non-Safeguards Information (SUNSI) Handling Requirements, available at http://www.internal.nrc.gov/sunsi/.

United States Code Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), Section 147.

Federal Advisory Committee Act, as amended (5 U.S.C., Appendix II).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

DH 3.5 ATTENDANCE AT DT-17-105 NRC STAFF-SPONSORED MEETINGS Volume 3, Information Management, Part 1: Publications, Mail, and Information Disclosure Approved by: R. W. Borchardt Executive Director for Operations Date Approved: December 23, 2011 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of the Executive Director for Operations Contact Name: Lance Rakovan 301-415-2589 EXECUTIVE

SUMMARY

Directive and Handbook 3.5 are being revised to clarify the NRCs policies with respect to closed meetings, specifically, to more clearly define what constitutes a meeting and to ensure certain closed staff meeting notices and summaries are both accessible by the public and issued in a timely manner. Revisions also address improvements in participation technologies and clarify sign-in sheet usage.

TABLE OF CONTENTS I. CHARACTERISTICS OF STAFF-SPONSORED MEETINGS ............................................2 A. Definition of an NRC Staff-Sponsored Meeting .............................................................2 B. Scope of this Directive ..................................................................................................3 C. Public (Open) Meetings ................................................................................................4 D. Public Participation in NRC Meetings ...........................................................................4 E. Non-Public (Closed) Meetings ......................................................................................7 II. EXAMPLES AND SCENARIOS OF STAFF-SPONSORED MEETINGS............................8 A. Initiating Meetings Between NRC Staff and the Public ..................................................8 B. Meetings Typically Open to the Public ..........................................................................9 C. Meetings Typically Closed to the Public ......................................................................11 III. SCHEDULING AND ANNOUNCING MEETINGS ............................................................14 A. Scheduling a Meeting .................................................................................................14 B. Formal Notice of Meetings ..........................................................................................15 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS C. Procedures for Noticing Public (Open) Meetings ........................................................15 D. Procedures for Noticing Non-public (Closed) Meetings ...............................................18 E. Closed Meetings that are Exempt from Issuance of a Meeting Notice and Summary...............................................................19 F. Identifying the Need for a Press Release or an Advertisement in the Newspaper ...............................................21 G. Meetings Not Properly Noticed ...................................................................................21 H. Canceling or Rescheduling a Meeting ........................................................................21 IV. ADDITIONAL MEETING PROCEDURES ........................................................................22 A. Pre-meeting Procedures .............................................................................................22 B. Day of the Meeting Procedures ..................................................................................23 C. Post-meeting Procedures ...........................................................................................23 I. CHARACTERISTICS OF STAFF-SPONSORED MEETINGS A. Definition of an NRC Staff-Sponsored Meeting

1. An NRC staff-sponsored meeting is a planned, formal interaction 1 between one or more NRC staff members and one or more external stakeholders with the expressed intent of discussing substantive issues that are directly associated with the NRC's regulatory and safety responsibilities. For the purposes of this handbook, staff should consider the term staff-sponsored and staff-conducted meetings to be interchangeable.

2. There are many occasions when NRC staff may come into contact with a licensee, vendor, or applicant in an informal setting. These may include, but are not limited to, discussions by telephone or e-mail during meals or breaks at meetings, conferences or workshops, chance meetings during site or headquarters visits or while traveling, etc. During such contacts, conversations should be limited to generic issues, publicly available NRC policies and decisions, or topics related to the situation. With respect to licensing activities under review, discussion about solely administrative details (e.g., regulatory processes, scheduler information) is acceptable and need not be considered a formal interaction within the meaning of this handbook. In general, discussing technical details of any items under review that may influence regulatory decision making is not appropriate; during such interactions, licensees, vendors and/or applicants should be informed, in this instance, that a planned, formal interaction via public meeting or conference call should be scheduled to continue discussions in these areas. Examples of common exceptions to this general rule are described in Section II.C of this handbook.

1 An interaction for the purpose of this MD may include, but is not limited to, face-to-face; telephone, including teleconference; videoconference; webinar; and webcast.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

3. An external stakeholder for the purposes of this management directive is any individual who is not (a) An NRC employee (b) Under contract to the NRC (c) Acting as an official consultant to the NRC (d) Acting as an official representative of an agency of the executive, legislative, or judicial branch of the U.S. Government 2 (except when the agency is subject to NRC regulatory oversight)

(e) Acting as an official representative of a foreign government or representing an international organization such as the International Atomic Energy Agency (f) Acting as an official representative of a State or local government or tribal official (except when specific NRC licensing or regulatory matters are discussed).

B. Scope of this Directive

1. This directive applies solely to NRC staff-sponsored and -conducted meetings and not to meetings conducted by outside entities in which NRC staff members might participate or attend as observers. However, staff should consider whether it is appropriate to participate in a non-public meeting that includes discussion of substantive issues that are directly associated with the NRC's regulatory and safety responsibilities.

2. This directive does not apply to Commission meetings, advisory committee meetings, or to meetings sponsored by offices that report directly to the Commission. It does not apply to meetings between NRC staff and representatives of State government relating to NRC Agreement State activities or to other State regulatory actions of general interest; that is, matters other than specific NRC licensing or regulatory actions involving specific licensees. Also, it is not intended to apply to or to supersede any existing law, rule, or regulation that addresses public attendance at a specific type of meeting. For example, 10 CFR Part 7, Advisory Committees, and 10 CFR Part 9, Public Records, will continue to be applicable to advisory committee meetings and Commission meetings respectively.

3. This directive does not cover the hearings associated with adjudicatory proceedings under the Commissions Rules of Practice specified in 10 CFR Part 2.

The term hearings relates primarily to Commission adjudicatory proceedings on various types of licenses and licensing actions (e.g., initial issuance of a license, amendment of an existing license, renewal of a license) or to enforcement actions involving the imposition of civil penalties or orders to modify, suspend, or revoke a license or take other appropriate action. This directive also does not cover meetings concerning the settlement of adjudicatory proceedings or enforcement matters.

Specific requirements regarding participation in and the conduct of such hearings are provided in the Commissions Rules of Practice set out in 10 CFR Part 2.

2 For instance, public access is provided to meetings between NRC staff and Department of Energy (DOE) staff during the prelicensing period with respect to DOEs submission of an application to construct and operate a geologic repository.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS C. Public (Open) Meetings The term public (open) meeting is traditionally associated with the Commissions efforts to provide information to the public and to seek public views on various generic and site-specific issues. These staff-sponsored meetings should be open to people with an interest in the subject matter and a willingness to follow the ground rules established for the conduct of the meeting. The NRCs public meeting policy (Enhancing Public Participation in NRC Meetings; Policy Statement: May 28, 2002, 67 FR 36920) applies solely to NRC staff-sponsored meetings and not to meetings conducted by outside entities in which NRC staff members might participate or attend as observers. This policy statement sets forth different categories of NRC public meetings. Under the policy, the public is notified of the category of the meeting, and thereby the level of participation to be anticipated, on the NRCs Public Meeting Schedule which is accessible from http://www.nrc.gov. Descriptions of the meeting categories will appear later in this handbook.

D. Public Participation in NRC Meetings

1. The NRC has a long history of providing the public with information on its activities and of conducting business in an open manner. NRC staff has held meetings with interested members of the public on a variety of issues, often in response to expressions of high public interest. Such meetings can enhance the public's confidence in the NRC and help clarify concerns before any decisions are made.

Both the NRC and the public will benefit if the need for meetings with the public is considered early in the process.

2. To strengthen the NRCs communication with the public, the agency has specified three categories of public meetings the agency may convene and has developed criteria for the level of public participation, information availability, and followup effort associated with each meeting category. The extent of known public interest in the meeting or activity and the objective of the meeting insofar as public involvement is concerned will be considered by the staff when assigning a meeting to an appropriate category. The description, purpose, and levels of public participation for each category of meeting are described below. Note that portions of Category 1 or Category 2 public meetings may be closed to the public.

3. Category 1 (a) Description. Meetings in this category are typically held with one licensee, vendor, applicant, or potential applicant to discuss particular regulatory issues regarding its specific facility (or facilities), certificate of compliance, license, or license application.

(b) Meeting Purpose. The purpose of this type of meeting is to discuss one particular facility or site, or certified system or device, with an applicant or a licensee regarding, for example, technical issues in an application, licensee actions, or inspection results. At this type of meeting, the NRC anticipates that the public would obtain factual information to assist in understanding applicable regulatory issues and NRC actions.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (c) Examples. Examples of this type of meeting could include meetings to discuss inspection results or licensee performance, regulatory conferences, meetings held before restarting of a facility, as well as meetings held on licensing actions (or applications), renewals and amendments, new facilities, away-from-reactor storage sites, large or complex fuel cycle facilities, or waste disposal sites. Certain inspection exit meetings, such as those for Incident Investigation Teams, Augmented Inspection Teams, or others as appropriate, would also be included in this category.

(d) Level of Public Participation. The public is invited to observe the meeting and will have the opportunity to communicate with NRC staff participating in the meeting after the business portion of the meeting but before the meeting is adjourned.

This plan does not preclude the licensee, vendor, or applicant from responding to questions if it chooses to do so.

(i) For meetings longer than 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />, one or more opportunities may be provided for the public to ask questions before the end of the meeting, if practicable. In advance of the meeting, members of the public may request, by e-mail or telephone, that the meeting coordinator consider changing the meeting to a Category 2 meeting (discussed below), depending on the level of public interest in the activity being discussed.

(ii) Meetings that the staff believes will generate high public interest should also provide more than one opportunity for public comments and questions. The decision on whether to change the category of any particular meeting is a matter left to the discretion of the staff on a case-by-case basis.

(e) Types of Information. At a minimum, an agenda or a list of items to be discussed will be entered into the Agencywide Documents Access and Management System (ADAMS) following the instructions in ADAMS Template Number NRC-001, Meeting Related Documents for NRC Staff Level Offices. Any background or primary documents needed to support the meeting should be referenced in the meeting notice via an ADAMS accession number or Web link.

(f) Followup. No formal followup will be provided beyond the normal period for questions. Informal followup (telephone or e-mail) may be appropriate for certain questions that cannot be answered at the meeting. Members of the public also have the option of writing or e-mailing the staff about particular concerns. These concerns will be considered by the staff if so permitted by the appropriate regulatory framework. Feedback forms would also be provided at this type of meeting so that comments can be reviewed and offices can track any planned improvements or resulting actions in their operating plans, as appropriate. Meeting summaries and participant lists will be entered into ADAMS and made publicly available following the instructions in ADAMS Template Number NRC-001. Additional information on meeting follow-up can be found in Section IV.C of this handbook.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

4. Category 2 (a) Description. Meetings in this category are typically held with a group of industry representatives, licensees, vendors, or non-Government organizations.

(b) Meeting Purpose. The purpose of this type of meeting is for the NRC to obtain feedback from the regulated community and other external stakeholders on issues that could potentially affect more than one licensee. At this type of meeting, the NRC anticipates that the public would obtain factual information and provide the agency with feedback on the analysis of the issues, alternatives, and/or decisions.

(c) Examples. This type of meeting includes task force groups, industry groups (such as the Nuclear Energy Institute or owners groups), or public interest and citizen groups that focus on issues that could apply to several facilities, such as plant system aging, license renewal, decommissioning, or spent fuel storage.

(d) Level of Public Participation. The public is invited to discuss regulatory issues with the agency at designated points identified on the agenda. Generally, there will be more opportunities provided for the public to ask questions and provide comments at a meeting of this type than at a Category 1 meeting.

(e) Types of Information. An agenda, names of participants, and when available, background documents will be entered into ADAMS following the instructions in ADAMS Template Number NRC-001. A Web page with links to other appropriate background information will be made available at the NRCs discretion. Any link to a Web page will be posted on the public Web site.

(f) Followup. Staff will provide answers to questions, as appropriate, during the meeting. Questions that cannot be answered at the meeting will be assigned to a designated staff person as an action item. Meeting summaries or any transcripts and participant lists will be entered into ADAMS following the instructions in ADAMS Template Number NRC-001 and on the Web, if a Web site is established. Feedback forms will be provided as they are in Category 1 meetings so that comments can be reviewed and offices can track any planned improvements or resulting actions in their operating plans, as appropriate.

5. Category 3 (a) Description. This type of meeting would be held with representatives of non-Government organizations, private citizens or interested parties, or various businesses or industries (other than those covered under Category 2) to fully engage them in a discussion of regulatory issues.

(b) Meeting Purpose. The purpose of this type of meeting is to maximize discussions with the public to ensure that their issues and concerns are presented, understood, and considered by the NRC. The NRC anticipates that the public would work with the agency to facilitate the widest exchange of information, views, concerns, and suggestions with regard to license-specific or generic regulatory issues.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (c) Examples. Examples of this type of meeting might include town hall or roundtable discussions, Environmental Impact Statement scoping meetings, workshops, the Regulatory Information Conference, the Nuclear Safety Research Conference, or proposed rulemaking meetings. A stand alone open house may be considered a Category 3 meeting; however an open house that takes place in conjunction with another public meeting should be considered part of that meeting.

(d) Level of Public Participation. Public participation is actively sought at this type of meeting, which has the widest participation opportunities and is specifically tailored for the public to comment and ask questions throughout the meeting.

(e) Types of Information. An agenda, names of participants, and background documents will be entered into ADAMS following the instructions in ADAMS Template Number NRC-001. In addition, a Web page will be created on which all relevant documents for the meeting will be posted. The ADAMS accession number and a link to the required Web page will be posted to the NRC external public Web site.

(f) Followup. Staff followup is similar to that of Category 2, but meeting summaries or transcripts and participant lists will be entered into ADAMS following the instructions in ADAMS Template Number NRC-001. Feedback forms will also be provided at this level of meeting.

E. Non-Public (Closed) Meetings

1. The term non-public (closed) meeting is traditionally associated with the discussion of safeguards, proprietary, or other sensitive information. These staff-sponsored meetings are closed to the public due to the nature of the meeting.

2. In general, meetings between NRC staff and outside persons will be public meetings unless the staff determines that the subject matter to be discussed (a) Is specifically authorized by an Executive Order to be kept secret in the interests of national defense or foreign policy (classified information) or specifically exempted from public disclosure by statute; (b) Contains trade secrets and commercial or financial information (proprietary information);

(c) Contains safeguards information; (d) Is of a personal nature where such disclosure would constitute a clearly unwarranted invasion of personal privacy; (e) Is related to a planned, ongoing, or completed investigation or contains information for law enforcement purposes; (f) Could result in the inappropriate disclosure and dissemination of preliminary, unverified information; For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (g) Is a general information exchange having no direct, substantive connection to a specific NRC regulatory decision or action; (h) Indicates that the administrative burden associated with public attendance at the meeting could interfere with NRC staff's execution of its safety and regulatory responsibilities, such as when the meeting is an integral part of the execution of the NRC inspection program.

II. EXAMPLES AND SCENARIOS OF STAFF-SPONSORED MEETINGS The following examples and scenarios of staff-sponsored meetings that are typically open or typically closed to public attendance are not intended to be all-inclusive but rather to establish a thought process that can be used to make decisions on any meeting scenario. Staff should refer to Public Participation in NRC Meetings (see Section I.D of this handbook) when categorizing any of the following examples or scenarios of open meetings. Guidance also is given on when the staff should initiate meetings with the public. Whether these meetings are open or closed depends upon the subject matter and the nature of the information to be discussed at the meeting.

A. Initiating Meetings Between NRC Staff and the Public

1. Each office director and regional administrator should be cognizant of the fact that under appropriate circumstances, meetings with the public should be initiated. Recommendations regarding meetings with the public should be made, as appropriate, to the Executive Director for Operations (EDO) or a Deputy Executive Director when significant NRC activities are at the planning stage.

2. Meetings with the public should be considered under the following circumstances:

(a) Strong Public or Media Interest Through correspondence, news stories, or other means of communication, including the number or nature of comments in response to a notice on a proposed action, members of the public have expressed significant interest in a particular action being reviewed by NRC staff.

(b) Local Community Group Interest Local community groups have expressed interest in current or past NRC actions involving a facility. Indications of such interest include letters to the agency, comments made at past hearings on a facility, and comments related to 10 CFR 2.206 petitions. (Guidance related to conduct of informal public hearings regarding a 2.206 petition currently being reviewed by NRC staff can be found in Handbook 8.11, Review Process for 10 CFR 2.206 Petitions, Part II.)

(c) Government Official Interest Members of Congress or officials of State or local government have expressed interest on behalf of their constituents and have requested a meeting or other public outreach effort.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (d) Previous Public Interest Earlier public interest was expressed at the subject facility or at other facilities on similar issues involved in making a licensing determination, such as license renewal or a decommissioning decision.

(e) Safety Significance Significant public interest may be anticipated for issues involving safety, such as the aftermath of a significant plant event.

(f) Anticipated Interest in Significant NRC Activity The NRC expects a significant NRC activity or a pending decision, such as the entrance or exit meeting of a major team inspection, approval of the restart of a facility, or issuance of an order, to generate significant public interest and response.

B. Meetings Typically Open to the Public The following examples of meetings between the staff and licensees, applicants, industry representatives, interveners, or petitioners are typically open to the public for participation.

1. Staff Meetings With Licensees or Applicants Relating to Licensing Issues A meeting conducted by the NRC technical staff with applicants or licensees as part of its review of a particular domestic license or permit application (including an application for an amendment to a license or permit) will be open to the public.

2. Staff Meetings With Parties or Petitioners With Leave To Intervene in a Case A meeting conducted between the NRC technical staff and parties or petitioners with leave to intervene in a case regarding the staff's review of the licensing action will be open to all other parties involved with the hearing. The staff should consult with the Office of the General Counsel before planning such a meeting.

3. Headquarters and Regional Staff Working-Level Meetings With Applicants and Licensees Representatives of a licensee or applicant may request the opportunity to hold a working-level meeting with NRC headquarters or regional staff to provide the staff with additional technical information related to a proposal the staff is reviewing. Because the discussions that would take place at this meeting could directly affect an NRC regulatory decision or action, this meeting should be a public meeting.

4. Staff Meetings With Licensees or Other Entities Relating to Potential Enforcement Actions The NRC conducts planned, formal enforcement-related meetings, such as Regulatory Conferences and Pre-Decisional Enforcement Conferences, with a licensee, contractor, applicant, or individual, for the purposes of obtaining additional information to allow the NRC to make subsequent significance determination and enforcement decisions. These meetings are typically open to public observation unless the subject matter to be discussed (e.g., safeguards, classified, related to the Office of Investigation) precludes such designation.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

5. Facility Shutdown and Restart Meetings NRC staff has issued an order shutting down a nuclear power plant because of potential safety concerns. Representatives of the licensee request a meeting with NRC staff to discuss the actions that have been taken to address the staff's concerns, as well as to discuss possible restart of the facility. Because the discussions that would take place at this meeting could directly affect an NRC regulatory decision or action (proposed restart of the facility), this meeting should be a public meeting. In this case, it also may be necessary to obtain alternate meeting space away from the site to support public attendance.

6. Incident Investigation, Augmented, and High-Interest Special Inspection Team Exit Meetings In reaction to an event at a nuclear power plant, the NRC establishes an Incident Investigation Team (IIT) or an Augmented Inspection Team (AIT) to thoroughly evaluate the situation at the site. Upon completion of the evaluation, an exit meeting is held with the licensee to discuss the team's findings. The exit meetings for IITs and AITs normally will be open to the public unless the EDO (in the case of an IIT) or the appropriate regional administrator (in the case of an AIT), in consultation with the Director of the Office of Public Affairs, decides the criteria contained in this guidance indicate it is appropriate to have a closed meeting. Alternatively, in connection with AIT public meetings or IIT public meetings, the EDO or the regional administrator may decide it is more appropriate to hold a separate public meeting and/or a press conference in lieu of the public exit meeting with the licensee. For those special inspection team exit meetings that have high public interest, it may be appropriate to have an open exit meeting.

7. Technical Exchanges Between the NRC and Industry Working Groups The NRC holds meetings with representatives of vendors (e.g., nuclear steam supply system) for design certification under 10 CFR Part 52, as well as meetings with industry working groups or representatives for the purposes of soliciting industry perspectives on initiatives for plant safety. These meetings may include topics such as fire protection, operating licensing, new reactor design, and technical discussions with industry Owners Groups. Other examples may include meetings with Nuclear Energy Institute (NEI) to discuss the proposed staff position delineated in a draft generic letter. Because the discussions that would take place at this meeting could directly affect an NRC regulatory decision or action (development and adoption of a proposed staff position), this meeting should be a public meeting.

8. Meetings Regarding Review of Licensee Performance NRC staff holds periodic meetings with licensees for the purposes of reviewing and discussing recent licensee performance, as well as licensee initiatives and safety enhancements. Because the discussions that would take place at this meeting could directly affect an NRC regulatory decision or action, or could be of particular interest to members of the public, this meeting should be a public meeting.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 10

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS C. Meetings Typically Closed to the Public Meetings or portions of meetings where classified information, safeguards information, preliminary information, or other sensitive information (such as Sensitive Unclassified Non-Safeguards Information (SUNSI)) is discussed are closed to the public. The following meetings are examples of meetings between NRC staff and licensees, contractors, or others, which may be closed to the public because of the subject matter or the nature of the information being discussed at the meeting. 3

1. Staff Meetings With Licensees or Applicants Relating to Potential Enforcement Actions Involving Safeguards or Sensitive Information The NRC conducts formal enforcement-related meetings such as Regulatory Conference and Pre-Decisional Enforcement Conferences with a licensee, contractor, applicant, or individual, for the purposes of obtaining additional information to allow the NRC to make a subsequent significance determination and enforcement decisions. These meetings are typically open to the public. However, Regulatory Conferences and Pre-Decisional Enforcement Conferences that discuss safeguards or classified information, information related to an investigation of potential wrongdoing, or are held with an individual, are closed to public attendance.

2. Drop-In Meetings or Similar Management Meetings Senior executives of a licensee, applicant, or a potential applicant request the opportunity to conduct a drop-in visit or similar management meeting with the EDO, with other senior managers at agency headquarters, or with senior managers of the region in which their facility is located. Because these visits or meetings are usually limited to a general exchange of information not directly related to any regulatory action or decision, they would not typically be public meetings.

3. Staff Meetings With a Vendor for a Nuclear Steam Supply System (NSSS) About a Schedule for Application Submissions Several NRC staff wishes to meet with an NSSS vendor at the vendor's office to discuss the vendor's application for design certification under 10 CFR Part 52. NRC staff wishes to discuss the time frame and schedule for submission of certain portions of the application, as well as the impact the vendors failure to meet these deadlines would have on NRC staff's review of the application. NRC staff does not wish to discuss any technical or safety issues associated with the application. Because these discussions are not an information exchange related to any substantive issues associated with the NRC's regulatory and safety responsibilities, this meeting would not be a public meeting.

3 NRC employees are allowed to attend closed meetings that are sponsored by vendors, applicants, or licensees. However, those meetings should be limited to a general exchange of releasable information that is or will be made publicly available, and no direct, substantive connection to a specific NRC regulatory decision, contract requirement, or action should be made, nor should any predecisional information on a pending NRC matter be revealed. NRC employees should not accept meals or other gifts from these sources, unless allowed under the standards of conduct, nor should they appear to endorse the views, services, or products of the vendors, applicants, or licensees. During these meetings, NRC employees should not make any commitments or promises, nor should they sign any agreements, including confidentiality agreements, with any of the vendors, applicants, or licensees.

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DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

4. Staff Meeting With an Alleger Any meeting by an NRC staff member with an alleger, whether requested by the alleger or by the NRC, is closed to the public, for the purpose of protecting the identity of the alleger. Protecting the identities of allegers is a fundamental tenet of MD 8.8, Management of Allegations.

5. Inspector Meetings, Exit Meetings, and NRC Management Visits to a Licensee Facility NRC inspection staff and management hold meetings with facility personnel as part of its routine inspection oversight responsibilities. In addition, NRC staff and management from regional and headquarters offices visit a facility for various purposes, including but not limited to tours to enhance familiarity with the facility or operational events, discussion of plant issues and informal assessments of licensee performance, and monitoring or assessing the performance of NRC subordinates. This meeting would not be public because doing so would create an unnecessary administrative burden and impede the efficient execution of the NRC's safety and regulatory responsibilities. 4

6. Fitness-for-Duty Meetings NRC staff wishes to meet with nuclear power plant licensee representatives to discuss preliminary information regarding the fitness for duty of a specific licensed reactor operator. This meeting would not be a public meeting because public discussion of the licensed individual could be an invasion of personal privacy.

7. Staff Review Visits to Licensee Corporate and Plant Facilities A reviewer from the Office of Nuclear Reactor Regulation (NRR) is visiting the licensees corporate office to examine design calculations before writing the safety evaluation report. As a followup, the reviewer visits the site the following week to review the in-plant design implementation. Because the timing of the exit meeting is fluid based on licensee activities and/or sufficient development by the NRC of any NRC findings, opening the meeting to the public would constitute an undue administrative burden.

8. Project Manager and Regional Staff Meeting With the Licensee Following System Modification Problems A licensee performed a modification on its unit's rod control system, which was not reviewed nor required to be reviewed by NRC staff. During post-modification testing, some problems were encountered. NRC inspection staff learns of problems with both the hardware and the test procedure and discusses the concerns with NRC management. The NRR project manager and regional management decide that they need to meet with licensee management to discuss the NRC's concerns regarding problems with the modification and testing. This meeting need not be open to the public because the NRCs concerns are based on preliminary, unverified information.

4 In certain significant cases of high public interest, the regional administrator or the office director, in consultation with the Director of the Office of Public Affairs, may decide it is appropriate to allow public attendance or to have a separate public meeting to discuss the results of the inspection or review.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 12

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

9. Regional Management Meeting With the Licensee Regarding Preliminary Calculations During a design basis reconstitution effort, a licensee determines through preliminary calculations that in the past its service water system (ultimate heat sink) may not have been able to provide design basis flow to all heat loads under accident conditions. The licensee verbally informs the NRC of the potential past problem.

Current test results demonstrate that the system is operable. The computer modeling required to determine if the system had, in the past, been inoperable is complex and will take 1 month to complete. Regional management and technical experts meet with the licensee to better understand the problem, its consequences, and the ongoing evaluation. This meeting is not open to the public because it could result in the release of preliminary, unverified information.

10. Discussions with the Licensee for Emergent Technical Issues An emergent technical issue at the site may necessitate an impromptu or urgent discussion with regional or headquarters management, for the purposes of determining the appropriate compensatory measures, the need for a Notice of Enforcement Discretion, or for the purposes of promoting a mutual understanding of the licensee response. This meeting is not open to the public because it could result in the release of preliminary, unverified information.

11. Post-Investigation Alternative Dispute Resolution (ADR) Meeting As part of the NRCs enforcement process, the NRC may hold an ADR meeting with a licensee, licensee contractor, or individual for the purposes of reaching resolution on an enforcement matter. Similar to the factors designating a meeting as closed under Section II.C.1 of this handbook and because the ADR process is confidential and the subject matter discussed is related to an investigation conducted by the NRCs Office of Investigations, these meetings are not open to the public.

12. Clarification of Requests for Additional Information (RAI)

Often there is a need to clarify the staffs RAI questions to ensure that the licensee or applicant understands what information the staff is requesting and how it ties to the regulatory requirements. Opening the discussion to the public would create an unnecessary administrative burden and impede the efficient execution of the NRC's safety and regulatory responsibilities. However, if discussions go beyond clarifying RAI (i.e., ensuring that the applicant/licensee understands the request) the staff should inform the applicant/licensee that a formal interaction should be scheduled to continue the discussion.

13. NRC Staff Inspections and Audits The NRC conducts inspections and audits of licensees, applicants, vendors, contractors, and other entities as part of its regulatory oversight responsibilities.

These meetings are not open to the public because it could result in the release of preliminary, pre-decisional, or unverified information, and would also create an unnecessary administrative burden and impede the efficient execution of the NRC's safety and regulatory responsibilities.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 13

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS III. SCHEDULING AND ANNOUNCING MEETINGS A. Scheduling a Meeting

1. Define the purpose and subject of the meeting.

2. Identify whether any classified, proprietary, or protected information will be discussed.

(a) Whenever such information is scheduled to be discussed during a meeting, that portion of the meeting must be closed to the public. This requirement must be noted on the meeting notice and reiterated again at the beginning of the meeting. Staff should inform attendees that when proprietary information is being discussed, the owner of such information determines who may have access to it. Consequently, the agency has to comply with that owners determination regarding access, which may result in certain members of the public being precluded from attending the closed portion of the meeting.

(b) For guidance on classified, Sensitive Unclassified Non-Safeguards Information (SUNSI), or safeguards information, the staff should refer to the Reference section of this directive.

3. Determine whether a participation specialist, such as a facilitator from the NRC In-House Meeting Facilitator and Advisor Program, is needed to assist with planning and conducting the meeting. If so, make appropriate arrangements to receive such assistance. Information on contacting the Program Manager of the NRC In-House Meeting Facilitator and Advisor Program can be found on the Office of the Executive Director for Operations internal homepage. If you believe you may need the services of a facilitator, take steps to start working with one as early as you can in the scheduling process.

4. Identify meeting participants (internal and external).

(a) Identify NRC offices/regions whose staff will participate as speakers, facilitators, etc.

(b) Include stakeholders with an interest in the meeting subject.

(c) Include known local interest groups.

5. Select a meeting date and time.

6. Select a meeting location. Refer to the Checklist available through the NRCs internal Public Meeting Policy Web page for guidance on reserving a room, http://www.internal.nrc.gov/communications/checklist.html.

7. Identify the meeting category if the meeting is open to public attendance. Refer to Section I.D of this handbook for the description, purpose, and levels of public participation for each meeting category.

8. If the meeting is closed, provide the basis for the closure (i.e., This meeting will be CLOSED to members of the public because it involves discussion of apparent security-related violations.).

9. Prepare a meeting agenda.

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DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

10. Make special arrangements (if needed). Instructions for scheduling the following arrangements can be found at Checklist, available through the NRCs internal Public Meeting Policy Web page, http://www.internal.nrc.gov/communications/checklist.html:

(a) Participation technologies (e.g., audio teleconferencing, video teleconferencing, Web streaming)

(b) Court reporter (c) Arrangements for individuals with disabilities or limited English proficiency.

B. Formal Notice of Meetings

1. Meeting announcement information will be written in plain language and will be provided to the public as soon as NRC staff is reasonably confident that a meeting will be held and firm date, time, and facility arrangements have been made. Generally, this information will be available no fewer than 10 calendar days before the meeting. When a meeting must be scheduled but cannot be announced 10 calendar days in advance, the staff will provide as much advance notice as possible.

2. Public meetings will be announced to the public via the Internet from the NRC external Web site. Members of the public who cannot access the NRC Web site can contact the NRC Public Document Room staff via a toll-free number (1-800-397-4209) for information on scheduled NRC meetings.

3. A meeting notice prepared in plain language must be prepared for every public meeting and for every appropriate closed meeting (see Section II.C of this handbook).

For two identical meetings that take place on the same day, or a meeting that spans two or more consecutive days, it is appropriate to submit one meeting notice.

C. Procedures for Noticing Public (Open) Meetings

1. Notices of open meetings are posted on the Public Meeting Schedule on the NRC's external Web site by e-mailing the ADAMS document pointer or ADAMS accession number to the Office of Information Services (OIS) at PMNS.Resource@nrc.gov.

2. The OIS staff will enter information from a meeting notice into the Public Meeting Notice System (PMNS) and post the information on the Public Meeting Schedule within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> or no later than the next scheduled workday. A meeting notice emailed to PMNS Resource in the late afternoon may not be posted until the next scheduled workday.

(a) A meeting notice must be declared as an official agency record in ADAMS and replicated to the public server before it is emailed to the PMNS or it will not be accepted by the OIS staff for posting on the external Web.

(b) A meeting notice should be emailed to the PMNS far enough in advance to be posted on the Public Meeting Schedule no less than 10 calendar days in advance of the meeting date. When a meeting must be scheduled but cannot be announced 10 calendar days in advance, the staff will provide as much advanced notice as possible.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 15

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (c) A meeting notice will reflect a single meeting (i.e., not cover a series of meetings on different dates).

(d) Meetings scheduled with less than 10 calendar days of public notice must be approved by the appropriate management (i.e., Division Director or higher) before the notice is submitted to the PMNS.

3. A draft copy of the meeting notice should also be provided to the Office of Public Affairs (OPA) for their consideration in preparing a press release.

4. A meeting notice should contain the following information in plain language:

(a) Whether the notice involves a newly scheduled, revised, or canceled meeting.

(b) Meeting contact name, telephone number, and e-mail address. The meeting contact serves as an agency point of contact for meeting participants, both before and during a meeting. Generally, this individual is a member of the NRC office holding the meeting. The meeting contact is responsible for making all necessary arrangements for the meeting and for ensuring that meeting notices or press releases indicate the availability of any services offered (i.e., participation technologies such as teleconferencing and Web conferencing).

(c) Meeting Category. Select and include one of the following statements in the meeting notice:

(i) This is a Category 1 Meeting: The public is invited to observe this meeting and will have one or more opportunities to communicate with the NRC after the business portion of the meeting but before the meeting is adjourned.

(ii) This is a Category 2 Meeting: The public is invited to participate in this meeting by discussing regulatory issues with the NRC at designated points identified on the agenda.

(iii) This is a Category 3 Meeting: Public participation is actively sought for this meeting to fully engage the public in a discussion of regulatory issues.

(d) Whether any portion of the meeting will be closed to the public. Include the following statement in the meeting notice, completing it as appropriate:

Certain portions of this meeting will be closed to the public because the staff has determined that the information (is proprietary in nature, contains safeguards information, etc.).

(e) Purpose of the meeting (brief description)

(f) The date of the meeting and the beginning and, if known, ending time of the meeting.

(g) The location of the meeting, including organization or building name, street address, room number, city, and state.

(h) Docket number(s) and/or facility name(s), if applicable.

(i) NRC office(s) participating (e.g., NRR, Region III, OGC).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 16

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (j) Outside organization(s) participating (e.g., Commonwealth Edison Company, Nuclear Energy Institute).

(k) ADAMS accession numbers for the meeting agenda and meeting-related documents.

(l) Link to Web page with additional meeting-related information/supporting documentation.

(m) Availability of participation technologies (e.g., teleconference, Webcast, Webinar).

(i) If applicable, include the following statement:

Interested members of the public can participate in this meeting via (fill in the blank with the appropriate participation technology or technologies being used for the meeting; include the bridge number and passcode for an audio teleconference; include the URL for a Webcast or Webinar). For additional details, please call the NRC meeting contact listed on the NRC Public Meeting Schedule or call the NRCs toll-free number, 1-800-368-5642, and ask the operator to be connected to the meeting contact (state the name of that individual).

(ii) If video teleconferencing will be available, provide the location (building, street address, room number, city, and state) and the NRC video teleconference contact's full name and telephone number by including the following statement:

Remote public observation of this meeting will be allowed from (location of remote conference room); however, seating may be limited and will be assigned on a first-come basis. Contact (video teleconference coordinator) at (telephone number) indicating your intention to attend by (date). This step will ensure that sufficient copies of meeting materials are available.

Some portions of the meeting may involve only NRC personnel and will be closed to public observation. Because meetings are sometimes canceled as a result of unforeseen circumstances, contact the coordinator to confirm that this meeting will occur as scheduled.

(n) Include the following statement(s):

(i) The NRCs Policy Statement, Enhancing Public Participation in NRC Meetings, effective May 28, 2002, applies to this meeting. The policy statement may be found on the NRC Web site, www.nrc.gov, and contains information regarding visitors and security.

(ii) Seating may be limited and will be available on a first-come basis. Inform the NRCs meeting contact of your intention to attend by (date). This step will ensure that sufficient copies of meeting materials are available.

(iii) If you need a reasonable accommodation to participate in this meeting (e.g., a translator, handicapped accessibility) or need this meeting notice, the transcript, or other information from the meeting in another format (e.g., Braille, large print, a language other than English), please notify the NRC's meeting contact. Determinations on requests for reasonable accommodations will be made on a case-by-case basis.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 17

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS (iv) Because meetings are sometimes canceled or rescheduled as a result of unforeseen circumstances such as severe weather, confirm the meeting schedule with the meeting contact.

5. The originator of a meeting notice must (a) Ensure that all accession numbers, links, and/or Web addresses being referenced in the meeting notice are tested to ensure that they can be accessed by the public.

(b) Ensure that the meeting notice, including the agenda and supporting documentation, is declared in ADAMS as an official agency record following the guidelines provided in ADAMS Template NRC-001.

(c) Ensure that documents available for public comment are posted on the appropriate Documents for Comment page on the NRC's public Web site.

(d) Ensure that notices of meetings are posted and that the information is accurate by checking the Public Meeting Schedule page located on the NRC's public Web site.

D. Procedures for Noticing Non-public (Closed) Meetings

1. Notices for closed meetings must be prepared in plain language and entered into ADAMS as official agency records, following the instructions provided in ADAMS Template Number NRC-001, no less than 10 calendar days in advance of the meeting date. Where a meeting must be scheduled but cannot be announced 10 calendar days in advance, the staff will provide as much advanced notice as possible. When profiling your closed meeting notice in ADAMS, be sure to include the word closed in the document title.

2. Notices that contain non-public information should not be made publicly available in ADAMS. See ADAMS Guidance for Determining the Public Availability of NRC Records for assistance in determining what information should and should not be placed in public ADAMS.

3. There is no requirement for submitting closed meeting notices to PMNS Resource.

Only information from a public meeting notice is entered into the PMNS and posted on the Public Meeting Schedule.

4. A closed meeting notice will reflect a single meeting (i.e., not cover a series of meetings on different dates). For two identical meetings that take place on the same day or a meeting that spans two or more consecutive days, it is appropriate to submit one meeting notice.

5. Do not include bridge numbers and passcodes in notices of closed meetings being conducted by audio teleconference.

6. Certain closed meetings are exempt from the requirement to create a meeting notice.

See Section III.E of this handbook for exemptions for closed meetings.

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DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

7. A closed meeting notice should be written in plain language and (a) State clearly at the beginning of the notice that the meeting is closed to public attendance and the reason it is closed (e.g., safeguards information, proprietary information).

(b) Indicate whether the notice involves a newly scheduled, revised, or canceled meeting.

(c) Provide the NRCs meeting contact name, telephone number, and e-mail address.

(d) Indicate the date of the meeting and the beginning and, if known, ending time of the meeting.

(e) Indicate the general location of the meeting.

(f) Give the purpose of the meeting (brief description).

(g) Indicate the docket number(s) and/or facility name(s), if applicable.

(h) Indicate the NRC office(s) participating (e.g., NRR, Region III, OGC).

(i) Indicate the outside organization(s) participating (e.g., the Nuclear Energy Institute, Westinghouse).

(j) Give the accession numbers for any publicly available meeting-related information including meeting notice, agenda, and other meeting-related documents, as applicable.

E. Closed Meetings that are Exempt from Issuance of a Meeting Notice and Summary NRC staff and management hold various planned and unplanned, formal and informal meetings with stakeholders, as part of its routine regulatory, safety, and oversight responsibilities. The following examples and scenarios of closed meetings typically do not require a meeting notice and summary. The examples are not intended to be all-inclusive, but rather are provided to establish a thought process that can be used to make decisions regarding issuance of a meeting notice and summary.

1. Discussions with the Licensee for Emergent Technical Issues An emergent technical issue at the site may necessitate an impromptu or urgent discussion with regional or headquarters management, for the purposes of determining adequacy of appropriate compensatory measures, determining the need for a Notice of Enforcement Discretion or other Agency response, or promoting a mutual understanding of the licensee response. Because the time-sensitive nature of the NRCs interaction would create an unnecessary administrative burden and impede the effective implementation of the Agencys official regulatory responsibilities or responsiveness, a meeting notice and summary is not required.

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DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

2. Drop-In Meetings or Similar Management Meetings Senior executives of a licensee, an applicant, or a potential applicant request the opportunity to conduct a drop-in visit or similar management meeting with the EDO, with other senior managers at agency headquarters, or with senior managers of the region in which their facility is located. These visits should be limited to a general exchange of information not directly related to any regulatory action or decision, or may involve the discussion of personal privacy, financial, or potential sensitive business-related considerations. Issuance of a meeting notice or summary may limit the frank exchange of information and dissuade future communications.

3. Post-Investigation Alternative Dispute Resolution (ADR) Meeting As part of the NRCs enforcement process, the NRC may hold an ADR meeting with a licensee, licensee contractor, or individual for the purposes of reaching resolution on an enforcement matter. Because the ADR process is confidential, a meeting notice and summary will not be issued, except for those ADR meetings where the NRCs letter to the licensee, licensee contractor, or individual offering ADR is a public document at the time of the meeting notice. In those cases, a meeting summary after the ADR meeting will not be necessary because the NRCs follow up actions will publicly reveal the results of the ADR meeting (i.e., a confirmatory order will reveal the settlement, and enforcement action will reveal no settlement).

4. Staff Meeting With an Alleger As an integral part of the NRCs oversight responsibilities, NRC personnel meet and interview individuals who may have potential safety concerns regarding activities at NRC-regulated facilities. Because the discussions are related to potential or ongoing investigatory activities, a meeting notice and summary will not be issued.

5. Inspector Meetings, Exit Meetings, and NRC Management Visits to a Licensee Facility NRC inspection staff and management hold meetings with facility personnel as part of its routine inspection oversight responsibilities. In addition, NRC staff and management from regional and headquarters offices visit a facility for various purposes, including but not limited to tours to enhance familiarity with the facility or operational events, discussion of plant issues and informal assessments of licensee performance, and monitoring or assessing the performance of NRC subordinates.

Issuance of a meeting notice or summary is not required because it would create an unnecessary administrative burden and impede the efficient execution of the NRC's safety and regulatory responsibilities.

6. Discussion with Licensee of Request for Additional Information (RAI)

NRC staff conducts routine conference calls or meetings with a licensee to clarify RAI questions in support of the staffs review of an application or licensing action.

Issuance of a meeting notice or summary is not required because it would create an unnecessary administrative burden and impede the efficient execution of the NRC's safety and regulatory responsibilities.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 20

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS F. Identifying the Need for a Press Release or an Advertisement in the Newspaper

1. Press releases are normally prepared by the Office of Public Affairs (OPA) for public meetings that generate a large amount of interest or are particularly controversial. Offices should contact OPA as soon as the meeting is planned, preferably before the meeting notice is posted on the NRC Web site and not later than a week before the meeting.

2. If a public meeting merits a radio or a newspaper advertisement, the ad is paid for by the program offices supporting the meeting. Normally, ads are developed when there is a particular need to inform local citizens. Contact the NRCs OPA for guidance, as needed.

G. Meetings Not Properly Noticed

1. If it is discovered before a meeting that the meeting was not properly noticed due to a minor error or change (e.g., incorrect public meeting category; incorrect teleconferencing number), staff should send an e-mail to PMNS.Resource@nrc.gov with the corrected information requesting that the posting be updated, as well as provide the updated information to members of the public who have previously expressed interest in the meeting.

2. If it is discovered before or during a meeting that the meeting was not properly noticed (e.g., notice was not posted 10 calendar days before the date of the meeting; meeting was posted as a closed meeting, yet portions should have been open to the public), the following steps are to be taken:

(a) Promptly notify the appropriate Division Director. (Follow up with a memorandum to the office director explaining the circumstances and corrective actions to be taken. Send a copy of the memorandum to the Assistant for Operations, Office of the Executive Director for Operations (OEDO).

(b) Discuss the continuation of the meeting with division management. (A decision regarding continuation or postponement, as well as whether or not to limit the discussion to an exchange of information [no regulatory decisions to be made],

will be made on a case-by-case basis.)

H. Canceling or Rescheduling a Meeting

1. If a public meeting must be cancelled, send an e-mail to PMNS.Resource@nrc.gov and notify OPA (for those meetings for which a press release was issued or was planned) as soon as you are aware of the fact. This advance notice to the PMNS will allow the meeting notice to be marked cancelled on the NRCs external public Web site while the office goes through the process of issuing a meeting cancellation notice.

2. If a meeting must be cancelled, rescheduled, or delayed at the last minute due to unforeseen circumstances (i.e., inclement weather), the meeting contact should send an e-mail to PMNS.Resource@nrc.gov with an update on the status of the meeting.

A meeting contact that cannot be reached at the telephone number provided in the meeting notice should make a reasonable effort to either provide an alternative contact number on his/her office voicemail recording or update his/her office voicemail recording to include the status of the meeting.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 21

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

3. If a public meeting must be rescheduled (including changes to date, time, or location), send an e-mail to PMNS.Resource@nrc.gov and notify OPA as soon as you are aware of the fact. This advance notice to the PMNS will allow the meeting notice to be changed or corrected on the NRCs external public Web site while the office goes through the process of issuing a rescheduled meeting notice.

4. To create an official cancellation or reschedule notice for either a public or non-public meeting, copy the official meeting notice from ADAMS and save as a new document. Make necessary changes to the notice by striking out old information and placing revised information in bold. Mark clearly at the top of the notice Cancelled, Rescheduled, Location Change, and so on. Enter this revised notice into ADAMS as a new record.

IV. ADDITIONAL MEETING PROCEDURES A. Pre-meeting Procedures

1. Make arrangements for participants requiring reasonable accommodation, if applicable.

2. Decide whether to use a sign-in sheet to record attendance at the meeting. Sign-in sheets should be used only for purposes of understanding who attended the meeting. Other means should be used to collect contact information to avoid inappropriate handling of personally identifiable information. Sign-in sheets should include the meeting title, date, time, and location, and, if a public meeting, include a statement that the sign-in sheet may be made part of the public record and that signing the sheet is voluntary.

3. Identify audiovisual requirements and reserve the equipment or service.

(a) Overhead projectors, computer projectors, TVs.

(b) Computer/laptop (arrange with individual office IT [information technology]

coordinator).

4. Preregister meeting attendees (if possible) when meetings are being held in areas of restricted public access.

5. Identify a backup meeting contact for the day of the meeting.

6. Arrange for escorts of meeting attendees when the meeting is being held in an area of restricted public access. If large attendance is expected, identify additional escorts.

7. Make adequate copies of documentation and handouts for the meeting.

8. Prepare name tags, name plates, and posters (if applicable).

9. Confer with Facility Security Specialists within the Office of Administration to identify and arrange for security requirements, including the need for uniformed officers.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 22

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS

10. Hold an NRC pre-meeting to review assignments, logistics, and so on (if needed). If the meeting is being held off-site (e.g., in a hotel), request a meeting room for NRC staff. If the meeting is expected to have significant public or media attendance and the topic to be discussed is controversial, conduct a dry-run that includes OPA to help guide effective staff participation in the meeting.

11. Screen the NRCs presentation slides for readability and use of plain English. For guidance on these preparations, refer to the Checklist available from the NRCs internal Public Meeting Policy Web page.

B. Day of the Meeting Procedures

1. Confirm arrangements for participation technologies being used (e.g., audio teleconferencing, video conferencing, Webinar) (if any).

2. Give a copy of the meeting notice to the lobby receptionist/guard.

(a) Ensure that any required special security arrangements are in place.

(b) Include backup meeting contact name and phone number.

(c) Include name(s) and phone number(s) of additional escort(s) (if needed).

3. Confirm that NRC participants will be attending (send a reminder).

4. Check the meeting location hours before the meeting. Ensure that the (a) Proper number of chairs and tables and adequate lighting are available.

(b) Portable audio conference unit is available (teleconference only).

(c) Audiovisual equipment is set up (make sure it is working properly, check for spare bulbs, etc.).

5. Place a copy of the meeting notice including the agenda at the entrance to the meeting room.

6. Bring attendee sign-in sheet, public meeting feedback forms (if applicable), agenda, and any other meeting documentation/handouts.

7. Refer to the agency meeting guidance in NUREG/BR-0224, Guidelines for Conducting Public Meetings, issued by OPA.

C. Post-meeting Procedures The post-meeting procedures detailed here apply to both open meetings and closed meetings where a meeting notice was required to be placed in ADAMS.

1. A meeting summary must be prepared and entered as an official agency record in ADAMS 5 following the instructions in ADAMS Template Number NRC-001. Certain closed meetings are exempt from this requirement. See Section III.E of this handbook for guidance on exempt closed meetings. Summaries that contain 5

Refer to NUREG/BR-0273, Rev. 4, ADAMS Desk Reference Guide.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 23

DH 3.5 ATTENDANCE AT NRC STAFF-SPONSORED Date Approved: 12/23/2011 MEETINGS non-public information should not be placed in public ADAMS. See ADAMS Submission Guidelines for guidance on determining what documents should and should not be placed in public ADAMS.

2. Issue the meeting summary within 30 working days after the meeting and:

(a) Attach attendee list.

(b) Attach all handouts (if not already in ADAMS).

(c) If handout(s) is (are) already in ADAMS, reference ADAMS accession number(s).

3. Ensure that the ADAMS accession numbers of all meeting-related documents are included in an ADAMS meeting package: notice, agenda, handouts, summary, related documents.

4. Respond to meeting follow-up items. For public meetings, analyze feedback forms.

(a) Review NRC Form 659, Public Meeting Feedback Form, as received; contact those who requested follow-up information, and revise communication plans, if applicable.

(b) Enter data from Public Meeting Feedback Forms, as received, into the Public Meeting Feedback System at http://cio9.nrc.gov/pmfs/index.cfm. Instructions are available on the Web page. For assistance, contact one of the Senior Communications Specialists, OEDO.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 24