ML101890876

G20100192/EDATS: OEDO-2010-0267 - Response Letter to David Lochbaum on His 2.206 on Davis-Besse

ML101890876
Person / Time
Site:	Davis Besse
Issue date:	07/13/2010
From:	Leeds E Office of Nuclear Reactor Regulation
To:	Lochbaum D Union of Concerned Scientists
mahoney, m NRR/DORL/LPLIII-2 415-3867
Shared Package
ML101890912	List: ML101890876 ML101890906 NRC-2010-0253, G20100192/EDATS: OEDO-2010-0267 - Davis-Besse, Receipt of Request for Action Under 10 CFR 2.206
References
G20100192, OEDO-2010-0267
Download: ML101890876 (64)

Text

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555*0001 July 13, 2010 David Lochbaum Director, Nuclear Safety Project P.O. Box 15316 Chattanooga, TN 37415

Dear Mr. Lochbaum:

Your petition dated April 5, 2010, addressed to R. William Borchardt, Executive Directorfor Operations at the U.S. Nuclear Regulatory Commission (NRC) has been referred to me pursuant to Section 2.206 of Title 10 of the Code of Federal Regulations (10 CFR) of the Commission's regulations. You request the NRC to issue a Show Cause Order (or comparable enforcement action), to the licensee for the Davis-Besse Nuclear Power Station in Ohio, preventing the reactor from restarting until such time that the NRC determines applicable adequate protection standards have been met and reasonable assurance exists that these standards will continue to be met after operation is resumed. As the basis for your request, you state that the Davis-Besse licensee has repeatedly violated federal regulations and the explicit conditions of its operating license by operating with pressure boundary leakage longer than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br />. I would like to express my appreciation for your effort in bringing these matters to the attention of the NRC.

The Petition Review Board (PRB) met on April 15 and June 14,2010, to discuss your petition.

The results of that discussion have been considered in the PRB's determination regarding the acceptance of your petition and the schedule for the review of your petition. Your request for the immediate action for the NRC to issue a Show Cause Order (or comparable enforcement action), to the licensee for the Davis-Besse Nuclear Power Station in Ohio, preventing the reactor from restarting is denied because the NRC has conducted rigorous and independent assessments of returning the Davis-Besse reactor vessel head to service and its continued operation, and determined it was safe for the plant to restart.

As provided by Section 2.206, we will take action on your request within a reasonable time.

have assigned Michael Mahoney to be the petition manager for your petition. Mr. Mahoney can be reached at 301-415-3867. Your petition is being reviewed by the Division of Operating Reactor licensing and Division of Inspection and Regional Support within the Office of Nuclear Reactor Regulation. I have enclosed for your information a copy of the notice that is being filed

D. Lochbaum - 2 with the Office of the Federal Register for publication. I have also enclosed for your information a copy of Management Directive 8.11, "Review Process for 10 CFR 2.206 Petitions," and the associated brochure NUREG/BR-0200, "Public Petition Process," prepared by the NRC Office of Public Affairs.

Sincerely, Eric J. Leeds, Director Office of Nuclear Reactor Regulation

Enclosures:

1. Federal Register Notice

2. Management Directive 8.11

3. NUREG/BR-0200 cc: Listserv Mr. Barry S. Allen Site Vice President FirstEnergy Nuclear Operating Company Davis-Besse Nuclear Power Station

ENCLOSURE 1 FEDERAL REGISTER NOTICE ADAMS ACCESSION NO. ML101890906

7590-01-P U.S. NUCLEAR REGULATORY COMMISSION DOCKET NO. 50-346 LICENSE NO. NPF-3 FIRSTENERGY NUCLEAR OPERATING COMPANY RECEIPT OF REQUEST FOR ACTION UNDER 10 CFR 2.206 Notice is hereby given that by petition dated April 5, 2010, David Lochbaum (petitioner) has requested that the Nuclear Regulatory Commission (NRC) take action with regard to Davis Besse Nuclear Power Station, Unit 1. The petitioner requests the NRC to issue a Show Cause Order (or comparable enforcement action), to the licensee for the Davis~Besse nuclear plant in Ohio, preventing the reactor from restarting until such time that the NRC determines applicable adequate protection standards have been met and reasonable assurance exists that these standards will continue to be met after operation is resumed.

As the basis for this request, the petitioner states that the Davis-Besse licensee has repeatedly violated federal regulations and the explicit conditions of its operating license by operating with pressure boundary leakage longer than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br />.

The request is being treated pursuant to Title 10 of the Code of Federal Regulations (10 CFR) Section 2.206 of the Commission's regulations. The request has been referred to the Director of the Office of Nuclear Reactor Regulation. As provided by Section 2.206, appropriate action will be taken on this petition within a reasonable time. A copy of the petition is available for inspection at the Commission's Public Document Room (PDR), located at One White Flint North, Public File Area 01 F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible from the Agencywide Documents Access and Management System (ADAMS) Public Electronic Reading Room on the Internet at the NRC Web site,

-2 http://www.nrc.gov/reading-rm/adams.html. Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS should contact the NRC PDR Reference staff by telephone at 1-800-397-4209 or 301-415-4737, or bye-mail to PDR. Resource@nrc.gov.

FOR THE NUCLEAR REGULATORY COMMISSION

~a/+

Bruce A. Boger, Acting Director Office of Nuclear Reactor Regulation Dated at Rockville, Maryland, this 13th day of July 2010.

ENCLOSURE 2 MANAGEMENT DIRECTIVE 8.11 ADAMS ACCESSION NO. ML041770328

TN: DT-00-20 To: NRC Management Directives Custodians

Subject:

Transmittal of Directive 8.11, "Review Process for 10 CFR 2.206 Petitions"

Purpose:

Directive and Handbook 8.11 are being revised to address stakeholder feedback and to improve clarity and make the handbook easier to use. There are three major changes to the handbook: (1) the addition of an opportunity for petitioners to address the Petition Review Board after it discusses the petition; (2) the deletion of criteria for technical meetings with the petitioners; and (3) the addition of a requirement to request comments from the petitioner(s) and affected licensee(s) on the proposed director's decision, with associated steps to resolve, and document the resolution of, those comments.

Office of Origin: Office of Nuclear Reactor Regulation

Contact:

Andrew J. Kugler, (301) 415-2828 or Donna Skay, (301) 415-1322 Date Approved: July 1, 1999 (Revised: October 25,2000)

Volume: 8 Licensee Oversight Programs Directive: 8.11 Review Process for 10 CFR 2.206 Petitions Availability: Rules and Directives Branch Office of Administration Michael T. Lesar, (301) 415-7163 Christy Moore, (301) 415-7086 OFFICE OF ADMINISTRA TION

TN: DT-00-20 Significant Changes to the Management Directive 8.11 Review Process for 10 CFR 2.206 Petitions The entire document has been revised to improve clarity and make it easier to use. In particular, the handbook is now written with actions in chronological order. In addition to those general changes, the following significant changes have been made:

• Addition of an opportunity for the petitioner to address the Petition Review Board (PRB) after the PRB has developed its recommendations on the petition. This meeting or teleconference is similar to those already offered to petitioners before the PRB meets.

• Removal of specific restrictions on the amount of time allowed for petitioners to address the PRB and also allow petitioners to be assisted by a reasonable number of representatives.

• Deletion of the criteria for meetings between the petitioner and the staff. The staff will hold these meetings whenever the staff feels it will be beneficial to its review.

• Addition of a process by which the staff requests and resolves comments from the petitioner and the licensee on the proposed director's decision (Le., before it is signed). The comments and the staff's resolution become part of the director's decision.

• Revision of the timeliness goal to 120 days from the date of the acknowledgment letter until the date the proposed director's decision is sent out for comment. Add a new goal of 45 days from the end of the comment period until the director's decision is Signed.

• Addition of a process now chart and a petition manager's checklist to assist staff persons involved with petitions.

- 2

Review Process for 1 0 CFR 2.206 Petitions Directive 8.11

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Contents Policy ................................................. 1 Objectives .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Organizational Responsibilities and Delegations of Authority ............................ 2 Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . 2 General Counsel (GC) ..................................... 2 Office Directors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Regional Administrators .................................... 4 2.206 PRB Chairperson .................................... 4 Associate Directors - Office of Nuclear Reactor Regulation (NRR) . . . . . . 5 Division Directors .................................... '. . . . . 5 Director, Division of Licensing Project Management (DLPM),

Office of Nuclear Reactor Regulation (NRR) ................... 5 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Handbook.............................................. 5 Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 References ............................................ 6 Approved: July 1, 1999 iii (Revised: October 25,2000)

U. S. Nuclear Regulatory Commission Volume: 8 Licensee Oversight Programs NRR Review Process for 10 CFR 2.206 Petitions Directive 8.11 Policy (8.11-01)

It is the policy of the U.S. Nuclear Regulatory Commission to provide members of the public with the means to request that the Commission take enforcement-related action (i.e., to modify, suspend, or revoke a license, or for other appropriate enforcement-related action, as distinguished from actions such as licensing or rulemaking). This policy is codified at Section 2.206 of Title 10 of the Code of Federal Regulations (10 CFR 2.206). The Commission may grant a request for action, in whole or in part, take other action that satisfies the concerns raised by the requester, or deny the request. Requests that raise health and safety and other concerns without requesting enforcement-related action will be reviewed by means other than the 10 CFR 2.206 process.

Objectives (8.11-02)

• To ensure the public health and safety through the prompt and thorough evaluation of any potential problem addressed by a petition filed under 10 CFR 2.206. (021)

• To provide for appropriate participation by a petitioner in, and observation by the public of, NRC's decisionmaking activities related to a 10 CFR 2.206 petition. (022)

Approved: July 1, 1999 1 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Objectives (8.11-02) (continued)

• To ensure effective communication with the petitioner and other stakeholders on the status of the petition, including providing relevant documents and notification of interactions between the NRC staff and a licensee or certificate holder relevant to the petition. (023)

Organizational Responsibilities and Delegations of Authority (8.11-03)

Executive Director for Operations (EDO)

(031 )

Receives and assigns action for all petitions filed under 10 CFR 2.206.

General Counsel (GC)

(032)

• Conducts legal reviews and provides advice on 10 CFR 2.206 petitions and, upon specific request from the staff in special cases or where the petition raises legal issues, reviews drafts of director's decisions. (a)

• Provides legal advice to the Commission, EDO, office directors, and staff on other matters related to the 10 CFR 2.206 process. (b)

Office Directors (033)

• Have overall responsibility for assigned petitions. Because 10 CFR 2.206 petitions request enforcement-related action, petitions are assigned to the Office of Nuclear Reactor 2 Approved: July 1,1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Organizational Responsibilities and Delegations of Authority (8.11-03) (continued)

Office Directors (033) (continued)

Regulation, the Office of Nuclear Material Safety and Safeguards, the Office of Enforcement, or the Office of the General Counsel. Therefore, most of the actions described in this directive and the associated handbook apply only to those offices. (a)

• Approve or deny a petitioner's request for immediate action. (b)

• Sign acknowledgment letters, Federal Register notices and director's decisions. (c)

• Provide up-to-date information for the monthly status report on all ass~gned petitions. (d)

• Appoint a petition review board (PRB) chairperson. (e)

• Designate a petition manager for each petition. (f)

• Promptly notify (1) the Office of Investigations of any allegation of wrongdoing by a licensee or certificate holder, applicant for a license or certificate, their contractors, or their vendors or (2) the Office of the Inspector General of any allegation of wrongdoing by an NRC staff person or NRC contractor, that is contained in a petition they may receive. (g)

• Provide a draft of each director's decisions to the Office of Enforcement for review. (h)

• Designate an office coordinator for 2.206 petitions, if applicable.

(i)

Approved: July 1, 1999 3 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Organizational Responsibilities and Delegations of Authority (8.11-03) (continued)

Regional Administrators (034)

• As needed, provide support and information for the preparation of an acknowledgment letter and/or a director's decision on a 2.206 petition. (a)

• Make the petition manager aware of information that is received or that is the subject of any correspondence relating to a pending petition. (b)

• Participate, as necessary, in meetings with the petitioner and public, in technical review of petitions and in deliberations of the PRB. (c) 2.206 PRB Chairperson (035)

Each office that is assigned a petition will appoint a PRB chairperson, generally a Senior Executive Service manager, who will

• Convene PRB meetings. (a)

• Ensure appropriate review of all new petitions in a timely manner. (b)

• Ensure appropriate documentation of PRB meetings. (c)

• Convene periodic PRB meetings with the petition managers to discuss the status of open petitions and to provide guidance for timely resolution. (d) 4 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Organizational Responsibilities and Delegations of Authority (8.11-03) (continued)

Associate Directors Office of Nuclear Reactor Regulation (NRR)

(036)

Concur in each extension request from petition managers in their organization and forward the extension request to the Office of the EDO for approval.

Division Directors (037)

Concur in each extension request from petition managers in their organization and forward the extension request to the Office of the EDO (Associate Director for NRR) for approval.

Director, Division of Licensing Project Management (DLPM),

Office of Nuclear Reactor Regulation (NRR)

(038)

Appoints the Agency 2.206 Petition Coordinator, normally a DLPM staff person.

Applica bility (8.11-04)

The policy and guidance in this directive and handbook apply to all NRC employees.

Handbook (8.11-05)

Handbook 8.11 details the procedures for staff review and disposition of petitions submitted under Section 2.206.

Approved: July 1, 1999 5 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Directive 8.11 Definitions (8.11-06)

A 10 CFR 2.206 Petition. A written request filed by any person that the Commission modify, suspend, or revoke a license, or take any other enforcement-related action that may be proper. The request must meet the criteria for review under 10 CFR 2.206 (see Part III of Handbook 8.11).

Licensee. Throughout the handbook, any references to a licensee shall be interpreted to include certificate holders, applicants for licenses or certificates, or other affected parties.

References (8.11-07)

Code of Federal Regulations 10 CFR 2.206, "Requests for Action Under This Subpart."

10 CFR 2.790, "Public Inspections, Exemptions, Requests for Withholding."

10 CFR 2.1205, "Request for a hearing; petition for leave to intervene."

Management Directives

- 3.5, "Public Attendance at Certain Meetings Involving the NRC Staff."

- 8.8, "Management of Allegations."

- 12.6, "NRC Sensitive Unclassified Information Security Program."

Memorandum of Understanding Between the NRC and the Department of Justice, December 12, 1988.

"Nuclear Regulatory Commission Issuances," published quarterly as NUREG-0750.

6 Approved: July 1, 1999 (Revised: October 25,2000)

Review Process for 1 0 CFR 2.206 Petitions Handbook 8.11

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Parts I - V Contents Part I Introduction .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Title 10 of the Code of Federal Regulations, Section 2.206 (10 CFR 2.206) (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . 1 General Cautions (B) ...................................... 1 Part II Initial Staff Actions ...................................... 3 NRC's Receipt of a Petition (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Process Summary (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Assignment of Staff Action (2) ............................. 3 Office Action (B) ......................................... 4 Petition Manager Action (C) ................................. 5 Part III Petition Review Board (PRB) .............................. 7 General (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Schedule (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Board Composition (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Preparation for the PRB Meeting (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Criteria for Petition Evaluation (C) ............................. 12 Criteria for Reviewing Petitions Under 10 CFR 2.206 (1) .......... 12 Criteria for Rejecting Petitions Under 10 CFR 2.206 (2) . . . . . . . . . . . 13 Criteria for Consolidating Petitions (3) . . . . . . . . . . . . . . . . . . . . . . . . 14 PRB Meeting (D) ......................................... 14 Informing the Petitioner of the Results (E) ....................... 16 Meeting With the Petitioner (F) ............................... 16 Response to the Petitioner (G) ............................... 18 Requests That Do Not Meet the Criteria (1) ................... 18 Requests That Meet the Criteria (2) . . . . . . . . . . . . . . . . . . . . . . . . . 18 Sending Documents to the Petitioner (H) ........................ 19 Supplements to the Petition (I) ............................... 20 Approved: July 1, 1999 iii (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Parts I - V Contents (continued)

Part IV Petition Review Activities ................................ 23 Reviewing the Petition (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Interoffice Coordination (1) ............................... 23 Request for Licensee Input (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Technical Review Meeting With the Petitioner (3) . . . . . . . . . . . . . . . . 24 Additional Petition Review Board (PRB) Meetings (4) . . . . . . . . . . . . . 24 Schedule (B) ............................................ 25 Keeping the Petitioner Informed (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Updates to Management and the Public (D) . . . . . . . . . . . . . . . . . . . . . . 26 Part V The Directo..-s Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Content and Format (A) .................................... 28 Final Versus Partial Director's Decisions (B) . . . . . . . . . .. . . . . . . . . . . . 29 Granting the Petition (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Denying the Petition (D) .................................... 30 Issuing the Proposed Director's Decision for Comment (E) ........... 31 Comment Disposition (F) ................................... 31 Issuing the Director's Decision (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Administrative Issues (H) ................................... 33 Commission Actions (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Exhibits 1 Simplified 2.206 Process Flow Chart ........................ 37 2 Petition Manager Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 3 Sample Closure Letter for Requests That Are Not 2.206 Petitions ... 43 4 Sample Acknowledgment Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 5 Sample Federal Register Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 6 Sample Director's Decision and Cover Letter. . . . . . . . . . . . . . . . . . . 48 7 Sample Federal Register Notice for Director's Decision . . . . . . . . . . . 53 8 Sample Letters Requesting Comments on the Proposed Director's Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 iv Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part I Part I Introduction Title 10 of the Code of Federal Regulations, Section 2.206 (10 CFR 2.206) (A)

This section of the regulations has been a part of the Commission's regulatory framework since the Commission was established in 1975. Section 2.206 permits any person to file a petition to request that the Commission take enforcement-related action., Le., to modify, suspend, or revoke a license or to take other appropriate action. (1)

Section 2.206 requires that the petition be submitted in writing and provide the grounds for taking the proposed action. The NRC staff will not treat general opposition to nuclear power or a general assertion of a safety problem, without supporting facts, as a formal petition under 10 CFR 2.206. The staff will treat general requests as allegations or routine correspondence. Petitioners are encouraged to provide a telephone number or e-mail address through which the staff may make contact. (2)

General Cautions (8)

Management Directive (MD) 8.8, "Management of Allegations,"

provides NRC policy with regard to notifying the Office of Investigations (01) and the Office of the Inspector General (OIG) of wrongdoing matters, as well as initiating, prioritizing, and terminating investigations. Each petition manager should become familiar with the current version of MD 8.11 and this handbook and follow the policy and procedures included in them when dealing with issues requiring 01 or OIG investigations. (1)

Approved: July 1, 1999 1 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part I General Cautions (8) (continued)

Any mention outside NRC of an ongoing 01 or OIG investigation, for example, as an explanation for schedule changes, requires the approval of the Director, 01, or the IG, respectively. (2)

If the petition contains infomlation on alleged wrongdoing on the part of a licensee or certificate holder, an applicant for a license or certificate, their contractors, or their vendors, treat the petition, or the relevant part of the petition, as an allegation and promptly notify

01. If the petition contains information on alleged wrongdoing involving an NRC employee, NRC contractors, or NRC vendors, promptly notify OIG. (3) 2 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part II Part II Initial Staff Actions NRC*s Receipt of a Petition (A)

Process Summary (1)

After NRC receives a petition, the Executive Director for Operations (EOO) assigns it to the director of the appropriate office for evaluation and response. The original incoming petition is sent to the office and a copy of the petition is sent to the Office of the General Counsel (OGC).

The official response is the office director's written decision addressing the issues raised in the petition. The office director can grant, partially grant, or deny the petition. The Commission may, on its 0V\II1 initiative, review the director's decision within 25 days of the date of the decision, although it will not entertain a request for review of the director's decision.

Assignment of Staff Action (2)

Petitions may be in the form of requests for NRC action that mayor may not cite 10 CFR 2.206 and may initially be directed to staff other than the EOO. In any of these cases, the staff person who receives the document should make an initial evaluation as to whether the document meets the criteria for review under 10 CFR 2.206 provided in Part III of this handbook. Staff persons who are uncertain whether or not the document meets the criteria should consult their management or office coordinators for further guidance. If a petition meets the criteria but does not specifically cite 10 CFR 2.206, the staff will attempt to contact the petitioner by telephone to determine if he or she wants the request processed pursuant to 10 CFR 2.206. The staff may determine that a request forwarded for staff action is not a petition for enforcement-related action but, rather, a petition for rulemaking, for example. If there is any uncertainty about whether or not a Approved: July 1, 1999 3 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part II NRC*s Receipt of a Petition (A) (continued)

Assignment of Staff Action (2) (continued) request is a petition under 10 CFR 2.206, it should be treated as one so that a petition review board (PRB) can make its recommendations, as described in Part III of this handbook. (a)

If the staff receives a request that it believes is a 10 CFR 2.206 petition, it will forward the request to the Office of the EDO (OEDO) for assignment of action. Petitions also may be forwarded to the OEDO from the Atomic Safety and Licensing Board Panel or from a Presiding Officer in accordance with 10 CFR 2.1205(1)(2).

The EDO will assign each petition to the appropriate office for action. If the document does not cite 10 CFR 2.206 and does not meet the criteria for review under that section, the staff will respond to it under some other process (e.g., routine correspondence, allegations). (b)

Petitions that cite 10 CFR 2.206 and are addressed to the EDO will be added to the Agencywide Documents Access and Management System (ADAMS) by OEDO. OEDO will not declare these petitions official agency records nor will it make them publicly available.

Those steps will be carried out by the assigned office as described below. (c)

Office Action (B)

Upon receipt, office management will assign the petition to a petition manager. (1)

The Agency 2.206 Petition Coordinator (appointed by the Director, Division of Licensing Project Management, Office of Nuclear Reactor Regulation (NRR>>, receives copies of all 2.206 petitions from OEDO and will add them to the 2.206 database. (2) 4 Approved: July 1,1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part II Petition Manager Action (C)

The petition manager will promptly review the petition and determine whether or not it contains allegations or sensitive information. The timing of this step is particularly important for petitions that are not addressed to the EDO. Normally, these documents have been entered into ADAMS through the Document Control Desk (DCD) and are released to the public after a specified period of time. The delay allows the staff time to review the petition for allegations or other sensitive information. If the petition manager determines that a document contains allegations or other sensitive information, he or she should immediately contact the ADAMS Help Desk (301-415-1234) to prevent releasing the document to the public. (1)

Before the petition is released to the public, before the PRB meeting, and in any event within 1 week of receipt of the petition by the assigned office, the petition manager will inform the petitioner by telephone that the 2.206 petition process is a public process in which the petition and all the information in it will be made public. If the petitioner requests anonymity and that the petition not be made public, the petition manager will advise the petitioner that, because of its public nature, the 2.206 process cannot provide protection of the petitioner's identity. In these cases, the petition manager must obtain the agreement of the petitioner as to how the matter will be handled (Le.* as an allegation or not) and document the petitioner's agreement in writing, usually in the form of a memorandum to file.

In cases where the staff identifies certain issues in a petition that it believes are more appropriately addressed using the allegation process, the petition manager will obtain the agreement of the petitioner as to how these issues will be handled (Le., as an allegation or not) and document the petitioner's agreement in writing. If all or part of the petition is treated as an allegation, this fact will be documented in the allegation acknowledgment letter (see Management Directive (MD) 8.8, "Management of Allegations"). (2)

Approved: July 1, 1999 5 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part II Petition Manager Action (C) (continued)

If the request clearly does not meet the criteria for review as a 10 CFR 2.206 petition, the petition manager will also discuss this issue with the petitioner. The petitioner may be able to help the petition manager better understand the basis for the petition or the petitioner may realize that a 10 CFR 2.206 petition is not the correct forum for the issues raised in the request. Finally, the petition manager will offer the petitioner an opportunity to have one or more representatives give a presentation to the PRB and cognizant supporting staff either by telephone (or videoconference, if available) or in person. This is an opportunity for the petitioner to provide any relevant additional explanation and support for the request. This type of meeting is described in more detail in Part III of this handbook. (3)

After the initial contact with the petitioner, the petition manager will promptly advise the licensee( s) of the petition, send the appropriate licensee(s) a copy of the petition for information, and ensure that the petition and all subsequent related correspondence are made available to the public. (Note that if the petitioner wishes to have the request handled as an allegation, the request is no longer a 2.206 petition.) Any information related to allegations or other sensitive information that make up a part of the petition will be redacted from copies sent to the licensee or made available to the public. For allegations, the petition manager should refer to MD 8.8. As discussed in MD 8.8, allegations must be forwarded to the associated Office Allegations Coordinator expeditiously. MD 8.8 also addresses the referral of wrongdoing issues to the Office of Investigations and the Office of the Inspector General. (4)

See Exhibit 1, Simplified 2.206 Process Flow Chart, and Exhibit 2, Petition Manager Checklist, for further information on petition manager actions. (5) 6 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Part III Petition Review Board (PRB)

General (A)

Schedule (1)

The assigned office holds a PRB meeting to review the 2.206 petition. The PRB meeting is normally held within 2 weeks of receipt of the petition. The PRB meeting may be held much sooner if staff decisions are required on short-term, immediate actions (e.g., a request to shut down an operating facility or prevent restart of a facility that is ready to restart). In unusual situations, it may not be possible to hold the meeting in time to address any immediate action requests. In these cases, the staff will decide how any immediate actions requested will be addressed and obtain appropriate management concurrence as soon as possible. If the staff plans to take an action that is contrary to an immediate action requested in the petition before issuing the acknowledgment letter (such as permitting restart of a facility when the petitioner has requested that restart not be permitted), the petition manager must promptly notify the petitioner by telephone of the pending staff action.

Board Composition (2)

The PRB consists of- (a)

• A PRB chairperson (generally a Senior Executive Service manager) (i)

• A petition manager (ii)

• Cognizant management and staff, as necessary (iii)

Approved: July 1, 1999 7 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III General (A) (continued)

Board Composition (2) (continued)

• A representative from the Office of Investigations (Ol), as needed (iv)

• A representative from the Office of Enforcement (OE) and, for petitions assigned to the Office of Nuclear Reactor Regulation (NRR), the NRR Senior Enforcement Coordinator, as needed (v)

I n addition, a representative from the Office of the General Counsel (OGC) will normally participate. (b)

Preparation for the PRB Meeting (B)

The petition manager will provide copies of the petition to PRB and assist in scheduling the review board meeting. The petition manager also will arrange for cognizant technical staff members to attend the meeting, as necessary, and prepare a presentation for the review board. In assigning technical staff members to the petition, management will consider any potential conflict from assigning any staff person who was previously involved with the issue that gave rise to the petition. (1)

The petition manager's presentation to PRB should include- (2)

• A recommendation as to whether or not the petition meets the criteria for review under 10 CFR 2.206 (a)

• A discussion of the safety significance of the issues raised (b)

• Recommendations for any immediate action (whether requested or not) (c)

• Recommendations on whether or not assistance from 01, OE, or OGC is necessary (d) 8 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Preparation for the PRB Meeting (B) (continued)

• A request for confirmation concerning referral to 01 or the Office of the Inspector General (OIG), as appropriate (e)

• The proposed schedule, including the review schedule for the affected technical branches (f)

The petition manager also will offer a meeting or teleconference between the petitioner and the PRB before the board reviews the petition. This meeting or teleconference, if held, is an opportunity for the petitioner to provide any relevant additional explanation and support for the request in advance of the PRB's evaluation. The staff will hold this type of meeting if the petitioner desires it. If a decision is required on a petitioner's request for immediate action before the petitioner's presentation can be scheduled, that decision will not be delayed. (3)

The petition manager also will invite the licensee to participate in the meeting or teleconference to ensure that it understands the concerns about its facility or activities. The PRS members may ask any questions needed to clarify the petitioner's request. The licensee may also ask questions to clarify the issues raised by the petitioner. Any member of the public may attend (or listen in by telephone for a teleconference) as an observer. Meetings between PRB and the petitioner normally will be held at NRC headquarters in Rockville, Maryland, with provisions for partiCipation by telephone or videoconference. This public meeting or teleconference is separate from the (closed) PRB meeting during which the PRB members develop their recommendations with respect to the petition. (4)

The petition manager will ensure that all staff persons at the meeting or teleconference are aware of the need to protect sensitive information from disclosure. Sensitive information includes safeguards or facility security information, proprietary or confidential commercial information, or information relating to an ongoing investigation of wrongdoing. (5)

Approved: July 1, 1999 9 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Preparation for the PRB Meeting (B) (continued)

If the petitioner chooses to address PRB by telephone, it is not considered a meeting and no public notice is necessary. The petition manager will establish a mutually agreeable time and date and arrange to conduct the teleconference on a recorded line through the NRC Headquarters Operations Center (301-816-51 00).

The tape recording from the Operations Center is converted to a printed transcript that is treated as a supplement to the petition and is sent to the petitioner and the same distribution as the original petition. The petition manager will make arrangements for transcription service by submitting an NRC Form 587 to the Atomic Safety and Licensing Board Panel or by sending an e-mail to "Court Reporter," giving the same information as requested on the Form 587. (6)

If the petitioner chooses to attend in person, the meeting will take place at NRC headquarters at a mutually agreeable time. For the meeting, the petition manager will follow the prior public notice period and other provisions of Management Directive (MD) 3.5, "Public Attendance at Certain Meetings Involving the NRC Staff."

However, time constraints associated with this type of meeting will often dictate that the 10-day public notice period described in MD 3.5 will not be met. MD 3.5 allows for less than 10 days' public notice, if necessary, with appropriate management concurrence.

The meeting should be noticed as a meeting between the NRC staff, the petitioner, and the licensee (unless the licensee chooses not to participate). The licensee is invited to participate, as in the teleconference described above, and members of the public may attend as observers. The meeting is transcribed and the transcript is treated in the same manner. as in the case of a telephone briefing. (7)

The petitioner may request that a reasonable number of associates be permitted to assist him or her in addressing PRB 10 Approved: July 1,1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Preparation for the PRB Meeting (8) (continued) concerning the petition. The petition manager will (1) discuss this request with the petitioner, (2) determine the number of speakers, and (3) allot a reasonable amount of time for the presentation so that the staff can acquire the information needed for its review in an efficient manner. (8)

At the meeting or teleconference, the chairperson will provide a brief summary of the 2.206 process, the petition, and the purpose of the discussion that will follow. The NRC staff and the licensee will have an opportunity to ask the petitioner questions for purposes of clarification. PR8 may meet in closed session before and/or after the meeting with the petitioner to conduct its normal business.

(9)

The requirements for scheduling and holding the petitioner presentation may impact the established time goals for holding the regular PR8 meeting and issuing the acknowledgment letter. Any impacts should be kept to a minimum. (10)

The petition manager will review the transcript and, where necessary, edit it to ensure it accurately reflects what was said in the meeting or teleconference. Corrections are only necessary for errors that affect the meaning of the text of the transcript. The petition manager is not expected to correct inconsequential errors. (11)

After editing, the petition manager will ensure that the transcript gets the same distribution (petitioner, licensee, publicly available, etc.) as the original petition. For meetings, this step should be accomplished by attaching the transcript to a brief meeting summary. For teleconferences, the petition manager may attach the transcript to a memorandum to file. (12)

Approved: July 1, 1999 11 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Criteria for Petition Evaluation (C)

The staff will use the criteria discussed in this section to determine whether or not a petition should be considered under 10 CFR 2.206 and whether or not similar petitions should be consolidated.

Criteria for Reviewing Petitions Under 10 CFR 2.206 (1)

The staff will review a petition under the requirements of 10 CFR 2.206 if the request meets all of the following criteria- (a)

• The petition contains a request for enforcement-related action such as issuing an order modifying, suspending, or revoking a license, issuing a notice of violation, with or without a proposed civil penalty, etc. (i)

• The facts that constitute the bases for taking the particular action are specified. The petitioner must provide some element of support beyond the bare assertion. The supporting facts must be credible and sufficient to warrant further inquiry. (ii)

• There is no NRC proceeding available in which the petitioner is or could be a party and through which the petitioner's concerns could be addressed. If there is a proceeding available, for example, if a petitioner raises an issue that he or she has raised or could raise in an ongoing licensing proceeding, the staff will inform the petitioner of the ongoing proceeding and will not treat the request under 10 CFR 2.206. (iii)

An exception to the first two criteria is any petition to intervene and request for hearing in a licensing proceeding that is referred to the 10 CFR 2.206 process in accordance with 10 CFR 2.1205(1)(2).

These referrals may be made when the petition does not satisfy the legal requirements for a hearing or intervention and the Atomic Safety and Licensing Board Panel or the Presiding Officer 12 Approved: July 1, 1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Criteria for Petition Evaluation (C) (continued)

Criteria for Reviewing Petitions Under 10 CFR 2.206 (1)

(continued) determines that referral to the 10 CFR 2.206 process is appropriate. For these referrals, the substantive issues in the request for a hearing or intervention will be read as an implicit request for enforcement-related action, thus satisfying the criteria for treatment under the 10 CFR 2.206 review process. (b)

Criteria for Rejecting Petitions Under 10 CFR 2.206 (2)

The staff will not review a petition under 10 CFR 2.206, whether specifically cited or not, under the following circumstances

• The incoming correspondence does not ask for an enforcement-related action or fails to provide sufficient facts to support the petition but simply alleges wrongdoing, violations of NRC regulations, or existence of safety concerns. The request cannot be simply a general statement of opposition to nuclear power or a general assertion without supporting facts (e.g., the quality assurance at the facility is inadequate). These assertions will be treated as routine correspondence or as allegations that will be referred for appropriate action in accordance with MD 8.8, "Management of Allegations." (a)

• The petitioner raises issues that have already been the subject of NRC staff review and evaluation either on that facility, other similar facilities, or on a generic basis, for which a resolution has been achieved, the issues have been resolved, and the resolution is applicable to the facility in question. This would include requests to reconsider or reopen a previous enforcement action (including a decision not to initiate an enforcement action) or a director's decision. These requests will not be treated as a 2.206 petition unless they present significant new information. (b)

Approved: July 1, 1999 13 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Criteria for Petition Evaluation (C) (continued)

Criteria for Rejecting Petitions Under 10 CFR 2.206 (2)

(continued)

• The request is to deny a license application or amendment. This type of request should initially be addressed in the context of the relevant licensing action, not under 10 CFR 2.206. (c)

• The request addresses deficiencies within existing NRC rules.

This type of request should be addressed as a petition for rulemaking. (d)

Criteria for Consolidating Petitions (3)

Generally, all requests submitted by different individuals will be treated and evaluated separately. When two or more petitions request action against the same licensee, specify essentially the same bases, provide adequate supporting information, and are submitted at about the same time, PRB will consider the benefits of consolidating the petitions against the potential of diluting the importance of any petition and recommend whether or not consolidation is appropriate. The assigned office director will determine whether or not to consolidate the petitions.

PRB Meeting (D)

PRB ensures that an appropriate petition review process is followed. The purposes of the PRB process are to-- (1)

• Determine whether or not the petitioner's request meets the criteria for review as a 10 CFR 2.206 petition (see Part III(C) of this handbook) (a)

• Determine whether or not the petitioner should be offered or informed of an alternative process (e.g., consideration of issues as allegations, consideration of issues in a pending license proceeding, or rulemaking) (b) 14 Approved: July 1, 1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III PRB Meeting (D) (continued)

• Determine whether there is a need for any immediate actions (whether requested or not) (c)

• Establish a schedule for responding to the petitioner so that a commitment is made by management and the technical review staff to respond to the petition in a timely manner (see Part IV of this handbook for guidance regarding schedules ) (d)

• Address the possibility of issuing a partial director's decision (e)

• Determine whether or not the petition should be consolidated with another petition (f)

• Determine whether or not referral to 01 or OIG is appropriate (g)

• Determine whether or not there is a need for OGe to participate in the review (h)

• Determine whether or not the licensee should be requested to respond to the petition (i)

• Determine whether or not the petition is sufficiently complex that additional review board meetings should be scheduled to ensure that suitable progress is being made U)

The PRB meeting is a closed meeting, separate from any meeting with the petitioner and the licensee, during which the PRB members develop their recommendations with respect to the petition. At the meeting, the petition manager briefs PRB on the petitioner's request(s), any background information, the need for an independent technical review, and a proposed plan for resolution, including target completion dates. The petition Approved: July 1, 1999 15 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III PRB Meeting (D) (continued) manager, with the assistance of the Agency 2.206 Petition Coordinator, ensures appropriate documentation of all PRB recommendations in the summary of the PRB meeting. (2)

The OGC representative provides legal review and advice on 10 CFR 2.206 petitions. OGC may be assigned as the responsible office for the review, if appropriate. (3)

Informing the Petitioner of the Results (E)

After PRB meets, and before issuing the acknowledgment letter, the petition manager will ensure that appropriate levels of management (as determined by the assigned office) are informed of the board's recommendations and that they concur. The petition manager will then inform the petitioner by telephone as to whether or not the petition meets the criteria for review under 10 CFR 2.206, of the disposition of any requests for immediate action, of how the review will proceed, and that an acknowledgment letter is forthcoming. If the staff plans to take an action that is contrary to an immediate action requested in the petition before issuing the acknowledgment letter, the petition manager must notify the petitioner promptly by telephone of the pending staff action. An example of a contrary action would be if NRC permitted restart of a facility when the petitioner had requested that restart not be permitted. The petitioner will not be advised of any wrongdoing investigation being conducted by 01 or OIG.

Meeting With the Petitioner (F)

After informing the petitioner of the pertinent PRB recommendations, the petition manager will offer the petitioner an opportunity to comment on the recommendations. This opportunity will be in the form of a meeting or teleconference between the petitioner and the PRB. If the petitioner accepts this offer, the 16 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Meeting With the Petitioner (F) (continued) petition manager will establish a mutually agreeable date for the meeting or teleconference with the petitioner. The petition manager also will invite the licensee to participate and will coordinate the schedules and dates with the licensee. The meeting or teleconference should be scheduled so as not to adversely affect the established petition review schedule. (1)

This meeting or teleconference, if held, is an opportunity for the petitioner to provide any relevant additional explanation and support for the request in light of PRB's recommendations. The PRB members may ask questions to clarify the petitioner's request. If staff decisions on any of the petitioner's immediate action requests are required before the petitioner's presentation can be scheduled, those decisions will not be delayed. The format of the meeting or teleconference, application of MD 3.5, transcription, etc., and the requirements to edit and distribute the transcript are the same as for a meeting or teleconference held prior to the PRB's review of the petition. (2)

After this discussion, PRB will consider the need to modify any of its recommendations. The final recommendations will be included in the acknowledgment letter. The acknowledgment letter will address any comments the petitioner made concerning the initial PRB recommendations and the staff's response. The petitioner will be notified promptly of staff decisions on any immediate action requests. If the petitioner presents significant new information to the staff, PRB may determine that this new information constitutes a new petition that will be treated separately from the initial petition. (3)

The requirements for scheduling and holding the petitioner presentation may impact the established time goals for issuing the acknowledgment letter. These impacts should be kept to a minimum. (4)

Approved: July 1, 1999 17 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Response to the Petitioner (G)

After PRB finalizes its recommendations, the petition manager prepares a written response to the petitioner.

Requests That Do Not Meet the Criteria (1)

If PRB, with office-level management concurrence, determines that the petition does not meet the criteria for review as a 10 CFR 2.206 petition, the petition manager then prepares a letter that (1) explains why the request is not being reviewed under 10 CFR 2.206; (2) responds, to the extent possible at that time, to the issues in the petitioner's request; and (3) explains what further actions, if any, the staff intends to take in response to the request (e.g., treat it as an allegation or routine correspondence). See Exhibit 3 for an example. (a)

The petition manager will attach the original petition and any enclosure{s) to the Reading File copy of the letter. (b)

Requests That Meet the Criteria (2)

If the PRB finds that the petition meets the criteria for review as a 10 CFR 2.206 petition, the petition manager prepares an acknowledgment letter and associated Federal Register notice (see Exhibits 4 and 5). The letter should acknowledge the petitioner's efforts in bringing issues to the staff's attention. If the petition contains a request for immediate action by the NRC, such as a request for immediate suspension of facility operation until final action is taken on the request, the acknowledgment letter must explain the staff's response to the immediate action requested and the basis for that response. (a)

The petition manager ensures that a copy of this management directive and of the pamphlet "Public Petition Process," prepared by the Office of Public Affairs, are included with the acknowledgment letter. The acknowledgment letter also should 18 Approved: July 1, 1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Response to the Petitioner (G) (continued)

Requests That Meet the Criteria (2) (continued) include the name and telephone number of the petition manager, identify the technical staff organizational units that will participate in the review, and provide the planned schedule for the staffs review.

A copy of the acknowledgment letter must be sent to the appropriate licensee and the docket service list(s). (b)

The petition manager will attach the original 2.206 petition and any enclosure(s) to the Reading File copy of the acknowledgment letter. (c)

In rare cases the staff may be prepared to respond to the merits of the petition immediately. In this case, the staff can combine the functions of the acknowledgment letter and the director's decision into one document. A similar approach would be taken in combining the associated Federal Register notices. (d)

Sending Documents to the Petitioner (H)

If the PRB determines that the request is a 2.206 petition, then the petition manager will- (1)

• Add the petitioner to the service list(s) for the topic (if one exists). Add the petitioner to the headquarters and regional service lists for the licensee(s) that is(are) the subject of the petition. (a)

• Request the licensee to send copies of any future correspondence related to the petition to the petitioner, with due regard for proprietary, safeguards, and other sensitive information. (b)

• To the extent that the petition manager is aware of these documents, ensure that the petitioner is placed on distribution Approved: July 1, 1999 19 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Sending Documents to the Petitioner (H) (continued) for other NRC correspondence relating to the issues raised in the petition, including relevant generic letters or bulletins that are issued during the pendency of the NRC's consideration of the petition. This does not include NRC correspondence or documentation related to an 01 or OIG investigation, which will not be released outside NRC without the approval of the Director, 01, or the IG, respectively. (c)

These three actions will remain in effect until 90 days after the director's decision is issued if the petitioner desires it. (2)

Supplements to the Petition (I)

A petitioner will sometimes submit a supplement to his or her petition. The petition manager will review the supplement promptly and determine whether or not it contains allegations or sensitive information. If the supplement appears to contain information of this nature, the petition manager must obtain the agreement of the petitioner as to how these issues will be handled (i.e., as an allegation or not) and document the petitioner's agreement in writing, usually in the form of a memorandum to file. If all or part of the supplement is treated as an allegation, this fact will be documented in the allegation acknowledgment letter (see MD 8.8, "Management of Allegations"). See Part II(C) of this handbook for more detailed information. (1)

The petition manager will also ensure the supplement receives the same distribution as the petition and will forward a copy of the supplement to the PRB members. The PRB members will review the supplement and determine whether they need to meet formally to discuss it and, if so, whether or not to offer the petitioner an opportunity to discuss the supplement with the PRB members before the board reviews the supplement (see Part III(B) of this handbook). In deciding whether a formal PRB meeting is needed, the PRB members will consider the safety significance and 20 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Supplements to the Petition (I) (continued) complexity of the information in the supplement. Clarifications of previous information will generally not require a new PRB meeting.

If a new PRB meeting is not convened, the petition manager will include the supplement in the ongoing petition review and no further action is necessary. (2)

If a new PRB meeting is convened, the PRB members will determine whether or not-(3)

• There is a need for any immediate actions (whether requested or not) (a)

• The supplement should be consolidated with the existing petition (b)

• To issue a partial director's decision (c)

• Referral to 01 or OIG is appropriate (d)

• To revise the review schedule for the petition based on the supplement (see Part IV of this handbook for guidance regarding schedules) (e)

• To send an acknowledgment letter for the supplement. (An acknowledgment letter should be sent if the supplement provides significant new information, causes the staff to reconsider a previous determination, or requires a schedule change beyond the original 120-day goal. See Part III(G) of this handbook for information on acknowledgment letters.) (f)

• To offer the petitioner a meeting or teleconference with PRB to discuss its recommendations with respect to the supplement.

(See Part III(F) of this handbook for information on this type of meeting or teleconference.) (g)

Approved: July 1, 1999 21 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part III Supplements to the Petition (I) (continued)

If the staff determines that the schedule for the petition must be extended beyond the original 120-day goal as a result of the supplement, the assigned office should send an acknowledgment letter to the petitioner, reset the 120-day clock to the date of the new acknowledgment letter, and inform the Office of the Executive Director for Operations (OEDO). (4)

If PRB determines that the supplement will be treated as a new petition (i.e., not consolidated with the existing petition), the assigned office must contact OEDO and obtain a new tracking number in the Work Item Tracking System. (5) 22 Approved: July 1, 1999 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part IV Part IV Petition Review Activities Reviewing the Petition (A)

Interoffice Coordination (1)

The petition manager coordinates all information required for the petition review. The petition manager also advises his or her management of the need for review and advice from the Office of the General Counsel (OGC) regarding a petition in special cases.

When appropriate, an Associate Director in the Office of Nuclear Reactor Regulation, a Division Director in the Office of Nuclear Material Safety and Safeguards, or the Director of the Office of Enforcement requests OGC involvement through the OGC special counsel assigned to 2.206 matters. (a)

All information related to a wrongdoing investigation by the Office of Investigations (01) or the Office of the Inspector General (OIG),

or even the fact that an investigation is being conducted, will receive limited distribution within NRC and will not be released outside NRC without the approval of the Director, 01, or the IG, respectively (see Management Directive (MD) 8.8). Within NRC, access to this information is limited to those having a need-to-know.

Regarding a 2.206 petition, the assigned office director, or his designee, maintains copies of any documents required and ensures that no copies of documents related to an 01 or OIG investigation are placed in the docket file or the Agencywide Documents Access and Management System (ADAMS) without the approval of the Director, 01, or the IG, respectively. (b)

Request for Licensee Input (2)

If appropriate, the petition manager will request the licensee to provide a voluntary response to the NRC on the issues specified Approved: July 1, 1999 23 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part IV Reviewing the Petition (A) (continued)

Request for Licensee Input (2) (continued) in the petition, usually within 30 days. This staff request will usually be made in writing. The petition manager will advise the licensee that the NRC will make the licensee's response publicly available and remind the licensee to provide a copy of the response to the petitioner. The licensee may voluntarily submit information relative to the petition, even if the NRC staff has not requested any such information. (a)

Unless necessary for NRC's proper evaluation of the petition, the licensee should avoid using proprietary or personal privacy information that requires protection from public disclosure. If such information is necessary to respond to the petition completely, the petition manager ensures the information is protected in accordance with 10 CFR 2.790. (b)

Technical Review Meeting With the Petitioner (3)

A technical review meeting with the petitioner will be held whenever the staff believes that such a meeting (whether requested by the petitioner, the licensee, or the staff) would be beneficial to the staffs review of the petition. Meeting guidance is provided in MD 3.5. The petition manager will ensure that the meeting does not compromise the protection of sensitive information. A meeting will not be held simply because the petitioner claims to have additional information and will not present it in any other forum.

Additional Petition Review Board (PRB) Meetings (4)

Additional PRB meetings may be scheduled for complex issues.

Additional meetings also may be appropriate if the petition manager finds that significant changes must be made to the original plan for the resolution of the petition.

24 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part IV Schedule (8)

The first goal is to issue the proposed director's decision for comment within 120 days after issuing the acknowledgment letter.

The proposed director's decision for uncomplicated petitions should be issued in less than 120 days. The second goal is to issue the director's decision within 45 days of the end of the comment period for the proposed director's decision. The actual schedule should be shorter if the number and complexity of the comments allow. The Office of the Executive Director for Operations (OEDO) tracks the first target date, and any change of the date requires approval by the EDO. The petition manager monitors the progress of any 01 investigation and related enforcement actions. Enforcement actions that are prerequisites to a director's decision should be expedited and completed in time to meet the 120-day goal. Investigations by 01 and OIG associated with petitions should be expedited to the extent practicable. However, the goal of issuing the proposed director's decision for comment within 120 days after issuing the acknowledgment letter applies only to petitions whose review schedules are within the staff's control. If issues in a petition are the subject of an investigation by 01 or OIG, or a referral to the Department of Justice (DOJ), or if NRC decides to await a Department of Labor decision, the clock for the 120-day goal is stopped for the portion of the petition awaiting disposition by those organizations. The clock will start again when the staff receives the results of the investigation. If the staff can respond to some portions of the petition without the results of the investigation, then a proposed partial directors decision should be issued for comment within the original 120 days. When the staff receives the results of the investigation, it will promptly develop and issue a proposed final director's decision for comment. See Part V of this handbook for a discussion of partial director's decisions. (1)

If the proposed director's decision cannot be issued in 120 days for other reasons (e.g., very complex issues), the appropriate level of management in the assigned office determines the need for an extension of the schedule and requests the extension from the Approved: July 1,1999 25 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part IV Schedule (8) (continued)

EDO. In addition, the petition manager will contact the petitioner promptly to explain the reason(s) for the delay and will maintain a record of the contact. (2)

After the comment period closes on a proposed director's decision, the assigned office will review the comments received and provide the schedule to issue the director's decision to the Agency 2.206 Petition Coordinator for inclusion in the next status report. (3)

Keeping the Petitioner Informed (C)

The petition manager ensures that the petitioner is notified at least every 60 days of the status of the petition, or more frequently if a significant action occurs. If a significant action will be reported in the monthly status report prepared by the Agency 2.206 Petition Coordinator, the petition manager will inform the petitioner before the status report is issued. The petition manager makes the status reports to the petitioner by telephone. The petition manager should speak directly to the petitioner if reasonably possible. The petition manager keeps up-to-date on the status of the petition so that reasonable detail can be provided with the status reports.

However, the status report to the petitioner will not indicate

• An ongoing 01 or OIG investigation, unless approved by the Director, 01, or the IG (1)

• The referral of the matter to DOJ (2)

• Enforcement action under consideration (3)

Updates to Management and the Public (D)

On a monthly basis, the Agency 2.206 Petition Coordinator will contact all petition managers reminding them to prepare a status 26 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part IV Updates to Management and the Public (D) (continued) report regarding 2.206 petitions in their offices. The petition managers should e-mail the status report for each open petition, with the exception of sensitive information as described below, to "Petition." The Agency 2.206 Petition Coordinator combines all the status reports, including staff performance metrics for petitions processed under 10 CFR 2.206 for the current year, in a monthly report to the EDO from the Associate Director, Project Licensing and Technical Analysis. The Agency 2.206 Petition Coordinator also ensures the document is added to ADAMS and made publicly available and e-mails a copy to "NRCWEB" for placement on the NRC's Web site. (1)

If the status of the petition includes sensitive information that may need to be protected from disclosure, the petition manager will so indicate in the e-mail and in the status report itself. Sensitive information includes safeguards or facility security information, proprietary or confidential commercial information, information relating to an ongoing investigation of wrongdoing or enforcement actions under development, or information about referral of matters to the DOJ and should be handled in accordance with MD 12.6, "NRC Sensitive Unclassified Information Security Program." The Agency 2.206 Petition Coordinator will protect this information from disclosure by placing the affected status report(s) in a separate enclosure to the status report, clearly marking the status report to the EDO, and redacting the sensitive information from the version of the report that is made public. (2)

The NRC's Web site provides the up-to-date status of pending 2.206 petitions, director's decisions issued, and other related information. The NRC external Web site (hUp:llwww.nrc.gov) is accessible via the World Wide Web, and documents related to petitions may be found on the "Public Involvement" page under the section on Petitions. Director's decisions are also published in NRC Issuances (NUREG-0750). (3)

Approved: July 1, 1999 27 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Part V The Director's Decision Content and Format (A)

The petition manager prepares the proposed director's decision on the petition and the associated Federal Register notice for the office director's consideration, including coordination with the appropriate staff supporting the review. See Exhibits 6 and 7 for a sample director's decision with cover letter and the associated Federal Register notice, respectively. The petition manager will also prepare letters to the petitioner and the licensee that will enclose the proposed director's decision and request comments on it (see Exhibit 8). These letters will be routed with the director's decision for concurrence. (1)

The director's decision will clearly describe the issues raised by the petitioner, provide a discussion of the safety Significance of the issues, and clearly explain the staffs disposition for each issue. The petition manager will bear in mind the broader audience (i.e., the public) when preparing the explanation of technical issues. Refer to the NRC Plain Language Action Plan, available on the internal ,Web site, for further guidance. In addition, the petition manager will ensure that any documents referenced in the decision are available to the public. If a partial director's decision was issued previously, the final director's decision will refer to, but does not have to repeat the content of, the partial director's decision. After management's review, the petition manager incorporates any proposed revisions in the decision. (2)

If appropriate, the decision and the transmittal letter for the director's decision or partial director's decision should acknowledge that the petitioner identi'fied valid issues and should specify the corrective actions that have been or will be taken to 28 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Content and Format (A) (continued) address these issues, notwithstanding that some or all of the petitioner's specific requests for action have not been granted. (3)

If the Office of Investigations (01) has completed its investigation of a potential wrongdoing issue and the matter has been referred to the Department of Justice (DOJ), the petition manager will contact 01 and the Office of Enforcement (OE) to coordinate NRC's actions. For petitions assigned to the Office of Nuclear Reactor Regulation (NRR), the petition manager also will contact the NRR Senior Enforcement Coordinator. The staff may need to withhold action on the petition in keeping with the Memorandum of Understanding with DOJ. (4)

If the results of a wrongdoing investigation by 01 in relation to the petition are available, the staff will consider these results in completing the action on the petition. 01 must concur in the accuracy and characterization of the 01 findings and conclusions that are used in the decision. (5)

The petition manager will obtain OE's review of the director's decision for potential enforcement implications. For petitions assigned to NRR, the petition manager also will provide a copy of the director's decision to the NRR Senior Enforcement Coordinator. (6)

Final Versus Partial Director's Decisions (B)

The staff will consider preparing a partial director's decision when some of the issues associated with the 2.206 petition are resolved in advance of other issues and if significant schedule delays are anticipated before resolution of the entire petition. (1)

The format, content, and method of processing a partial director's decision are the same as that of a director's decision (as described above) and an accompanying Federal Register notice Approved: July 1,1999 29 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Final Versus Partial Director's Decisions (8) (continued)\

would still be prepared (see Exhibit 7). However, the partial director's decision should clearly indicate those portions of the petition that remain open, explain the reasons for the delay to the extent practical, and provide the staffs schedule for the final director's decision. If all ofthe issues in the petition can be resolved together, then the director's decision will address all of the issues.

(2)

Granting the Petition (C)

Once the staff has determined that the petition will be granted, in whole or in part, the petition manager will prepare a "Director's Decision Under 10 CFR 2.206" for the office director's signature.

The decision will explain the bases upon which the petition has been granted and identify the actions that NRC staff has taken or will take to grant all or that portion of the petition. The decision also should describe any actions the licensee took voluntarily that address aspects of the petition. The Commission may grant a request for enforcement-related action, in whole or in part, and also may take other action to satisfy the concerns raised by the petition.

A petition is characterized as being granted in part when the NRC grants only some of the actions requested and/or takes actions other than those requested to address the underlying problem. If the petition is granted in full, the director's decision will explain the bases for granting the petition and state that the Commission's action resulting from the director's decision is outlined in the Commission's order or other appropriate communication. If the petition is granted in part, the director's decision will clearly indicate the portions of the petition that are being denied and the staffs bases for the denial.

Denying the Petition (D)

Once the staff has determined that the petition will be denied, the petition manager will prepare a "Director's Decision Under 30 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Denying the Petition (D) (continued) 10 CFR 2.206" for the office director's signature. The decision will explain the bases for the denial and discuss all matters raised by the petitioner in support of the request.

Issuing the Proposed Director's Decision for Comment (E)

After the assigned office director has concurred in the proposed director's decision, the petition manager will issue the letters to the petitioner and the licensee enclosing the proposed director's decision and requesting comments on it. The letters, with the enclosure, will be made available to the public through the Agencywide Documents Access and Management System (ADAMS). (1)

The intent of this step is to give the petitioner and the licensee an opportunity to identify errors in the decision. The letters will request a response within a set period of time, nominally 2 weeks. The amount of time allowed for the response may be adjusted depending on circumstances. For example, for very complex technical issues it may be appropriate to allow more time for the petitioner and licensee to develop their comments. The letters, including the proposed director's decision, should be transmitted to the recipients electronically or by fax, if possible. (2)

Comment Disposition (F)

After the comment period closes on the proposed director's deCision, the assigned office will review the comments received and provide the schedule to issue the director's decision to the Agency 2.206 Petition Coordinator for inclusion in the next status report. The petition manager will then evaluate any comments received on the proposed decision, obtaining the assistance of the technical staff, as appropriate. Although the staff requested Approved: July 1,1999 31 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Comment Disposition (F) (continued) comments from only the petitioner and the licensee, comments from other sources (e.g., other members of the public) may be received. These additional comments should be addressed in the same manner as the comments from the petitioner and licensee. A copy of the comments received and the associated staff responses will be included in the director's decision. An attachment to the decision will generally be used for this purpose. (1)

If no comments are received on the proposed decision, the petition manager will include in the director's decision a reference to the letters that requested comments and a statement that no comments were received. (2)

If the comments from the petitioner include new information, the petition review board will be reconvened to determine whether to treat the new information as part of the current petition or as a new petition. (3)

Issuing the Director*s Decision (G)

A decision under 10 CFR 2.206 consists of a letter to the petitioner, the director's decision, and the Federal Register notice. The petition manager will obtain a director's decision number (Le.,

DD-YY-XX) from the Office of the Secretary (SECY). A director's decision number is assigned to each director's decision in numerical sequence. This number is included on the letter to the petitioner, the director's decision, and the Federal Register notice. Note that the directors decision itself is not published in the Federal Register, only the notice of its availability, containing a summary of the SUbstance of the decision, is published (see Exhibits 6 and 7). (1)

The petition manager will prepare a letter to transmit the director's decision to the petitioner and will also prepare the associated 32 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Issuing the Director's Decision (G) (continued)

Federal Register notice. If the staff's response to the petition involves issuing an order, the petition manager will prepare a letter to transmit the order to the licensee. The petition manager also will indude a copy of the order in the letter to the petitioner. When the director's decision has been signed, the petition manager will promptly send a copy of the decision, electronically or by fax if possible, to the petitioner. Copies of the director's decision and Federal Register notice that are sent to the licensee and individuals on the service list(s) are dispatched simultaneously with the petitioner's copy. Before dispatching the director's decision (or partial decision), the petition manager will inform the petitioner of the imminent issuance of the decision and the substance of the decision. The petition manager will also ask the petitioner whether he or she wishes to continue receiving documents related to the petition. (2)

The assigned office director will sign the cover letter, the director's decision, and the Federal Register notice. After the notice is signed, the staff forwards it to the Rules and Directives Branch, Office of Administration (ADM/DAS/RDB), for transmittal to the Office of the Federal Register for publication. The staff shall NOT indude a copy of the director's decision in the package that is sent to ROB. ROB only forwards the Federal Register notice to be published. (3)

Administrative Issues (H)

The administrative staff of the assigned office will review the 10 CFR 2.206 package before it is dispatched and determine appropriate distribution. The administrative staff also will immediately (same day) hand -carry the listed material to the following offices (in the case of the petitioner, promptly dispatch the copies.)- (1)

• Rulemakings and Adjudications staff, SECY (a)

Approved: July 1, 1999 33 (Revised: October 25, 2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Administrative Issues (H) (continued)

• Five copies of the director's decision (i)

• Two courtesy copies of the entire decision package including the distribution and service lists (ii)

• Two copies of the incoming petition and any supplement(s) (iii)

• Petitioner (b)

• Signed original letter (i)

• Signed director's decision (ii)

• A copy of the Federal Register notice (iii)

• Chief, Rules and Directives Branch (c)

• Original signed Federal Register notice only (do not include the director's decision) (i)

• Five paper copies of the notice (ii)

• A disk with a WordPerfect file that contains the Federal Register notice (iii)

The staff must fulfill these requirements promptly because the Commission has 25 calendar days from the date of the decision to determine whether or not the director's decision should be reviewed. (2)

The staff will use the following guidelines when distributing copies internally and externally- (3) 34 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Administrative Issues (H) (continued)

• When action on a 2.206 petition is completed, the petition manager will ensure that all publicly releasable documentation is available to the public in ADAMS. (a)

• The assigned office will determine the appropriate individuals and offices to include on the distribution list. (b)

The administrative staff of the assigned office will complete the following actions within 2 working days of issuance of the director's decision: (4)

• Provide one paper copy of the director's decision to the special counsel in the Office of the General Counsel assigned to 2.206 matters. (a)

• E-mail the final version of the director's decision to the NRC Issuances (NRCI) Project Officer, Publishing Services Branch (PSB), Office of the Chief Information Officer (OCIO). If other information (opinions, partial information (such as errata), or footnotes) is included in the e-mail, clearly identify the director's decision number at the beginning of each file to avoid administrative delays and improve the technical production schedule for proofreading, editing, and composing the documents. In addition, send two paper copies of the signed director's decision to the NRCI Project Officer. (b)

• E-mail a signed, dated, and numbered copy of the director's decision to "NRCWEB" for posting on the NRC's Web site. (c)

The petition manager will prepare headnotes, which are a summary of the petition, consisting of no more than a few paragraphs describing what the petition requested and how the director's decision resolved or closed out the petition. The petition manager will e-mail the headnotes to the NRCI Project Officer, PSB, OCIO, for monthly publication in the NRC Issuances, Approved: July 1, 1999 35 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Part V Administrative Issues (H) (continued)

NUREG-0750. The headnotes should reach PSB before the 5th day of the month following the issuance of the director's decision. (5)

Finally, 90 days after issuance of the director's decision, the petition manager will remove the petitioner's name from distribution and/or the service list(s) and inform the licensee that it may also stop sending documents associated with the petition to the petitioner. (6)

Commission Actions (I)

SECY will inform the Commission of the availability of the director's decision. The Commission, at its discretion, may determine to review the director's decision within 25 days of the date of the decision and may direct the staff to take some other action than that in the director's decision. If the Commission does not act on the director's decision within 25 days (unless the Commission extends the review time), the director's decision becomes the final agency action and SECY sends a letter to the petitioner informing the petitioner that the Commission has taken no further action on the petition.

36 Approved: July 1, 1999 (Revised: October 25, 2000)

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Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Exhibits Exhibit 1 Simplified 2.206 Process Flow Chart (continued) 38 Approved: July 1, 1999 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Exhibits Exhibit 2 Petition Manager Checklist o Review the petition for allegations and sensitive material. If sensitive, prevent releasing the document to the public. Also determine whether or not any immediate actions requested require expedited staff response.

o Contact the petitioner and discuss the public nature of the process. Offer a pre-PRB meeting or telecon to the petitioner.

o Send a copy of the incoming petition to the licensee and Document Control Desk (Public), with redactions as appropriate.

o If a pre-PRB meeting or telecon is held, notice it (meeting only) and arrange for it to be recorded and transcribed (meeting or telecon). Arrange the meeting and the PRB meeting which will follow it.

o Prepare a PRB presentation. Include the following information:

- Does the request meet the criteria for review under 2.206?

- What are the issues and their significance?

- Is there a need for immediate action (whether requested or not)?

- Is there a need for OE, 01, OIG, or OGC involvement?

- What is your recommended approach to the response?

- What schedule is proposed?

o Hold the pre-PRB meeting or telecon.

o Address the PRB at its meeting.

o Ensure assigned office management agrees with the PRB recommendations.

Approved: July 1, 1999 39 (Revised: October 25,2000)

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions Handbook 8.11 Exhibits Exhibit 2 (continued) o Inform the petitioner of the PRB recommendations. Offer a post-PRB meeting.

o If a post-PRB meeting or telecon is held, notice it (meeting only) and arrange for it to be recorded and transcribed. Arrange the meeting and the PRB meeting which wi II follow it o Hold the post-PRB meeting or telecon.

o Address the PRB at its meeting.

o Prepare a meeting summary for the pre- and post-PRB meetings, if held. This step is not required for a telecon.

o Ensure the transcripts of the pre- and post-PRB meetings or telecons, if held, are added to ADAMS and made publicly available. For meetings, this step can be done using the meeting summary.

o Ensure assigned office management agrees with the PRB final recommendations.

o If the assigned office's management agrees with the PRB that the request is not a 2.206 petition, send a letter to the petitioner, treat any open issues under the appropriate process (e.g., rulemaking). Stop here.

o If the assigned office's management agrees with the PRB that the request is a 2.206 petition, continue with this checklist.

o Add petitioner to appropriate service list{s).

o Issue acknowleqgment letter and associated Federal Register notice.

o If licensee input is needed, send a written request.

o If further petitioner input is needed, arrange for a technical review meeting.

40 Approved: July 1, 1999 (Revised: October 25,2000)

ENCLOSURE 3 NUREG/BR-0200 ADAMS ACCESSION NO. ML050900248

NRC: Public Petition Process (NUREG/BR-0200, Rev. 5) Page 1 of:

Index I Site Map I FAQ I Facility Info I Reading Rm I New I Help I Glossary I Contact Us Home> Electronic Reading Room> Document Collections> NUREG-Series Publications> Brochures Prepared by the Staff> NUREG/BR 0200, Rev. 5 Public Petition Process (NUREG/BR-0200, Rev. 5)

On this page:

• Publication Information

• Introduction Publication Information Date Published: February 2003 Office of Public Affairs U.s. Nuclear Regulatory Commission Washington, DC 20555-0001 Introduction The U.S. Nuclear Regulatory Commission (NRC) was established in 1975 to protect public health and safety in the civilian use of nuclear power and materials in the United States. As part of its responsibilities, NRC assesses all potential health and safety issues related to licensed activities and encourages members of the public to bring safety issues to its attention.

Section 2.206 of Title 10 of the Code of Federal Regulations (10 CFR 2.206) describes the petition process-the primary mechanism for the public to request enforcement action by NRC in a public process.

• This process permits anyone to petition NRC to take enforcement action related to NRC licensees or licensed activities. Depending on the results of its evaluation, NRC could modify, suspend, or revoke an NRC-issued license or take any other appropriate enforcement action to resolve a problem. Requests that raise health and safety issues without requesting enforcement action are reviewed by means other than the 2.206 process.

In its effort to improve public confidence, the NRC periodically reassesses the 2.206 petition process to enhance its effectiveness, timeliness and credibility. As part of these reassessments, the NRC seeks feedback from petitioners and other stakeholders through public meetings and workshops, surveys and Federal Register notices, as well as from its own staff experience. Specific improvements to the 2.206 process resulting from these initiatives include:

• Offering petitioners two opportunities to discuss the petition with the NRC's petition review board (PRB). The first is to allow the petitioner to provide elaboration and clarification of the petition before the PRB meets to discuss the petition. The second opportunity comes after the PRB has discussed the merits of the petition and allows the petitioner to comment on the PRB's recommendations regarding acceptance of the petition and any requests for immediate action.

• Offering an opportunity for a staff-petitioner-licensee meeting to discuss the details of the issue during the course of the review.

• Providing better, more frequent communications between the staff and petitioner throughout the process.

• Providing copies of all pertinent petition-related correspondence and other documents to the petitioners.

• Providing a copy of the proposed director's decision on the petition, both to the petitioner and the affected licensee for comments, and considering such comments before issuing the decision in final form.

http://www.nrc.gov/reading-rm/doc-collections/nuregslbrochureslbr02001 7/8/20l(

NRC: Public Petition Process (NUREG/BR-0200, Rev. 5) Page 2 of:

The Petition Process The 2.206 process provides a simple, effective mechanism for anyone to request enforcement action and obtain NRC's prompt, thorough, and objective evaluation of underlying safety issues. It is separate and distinct from the processes for rulemaking and licensing, although they too allow the public to raise safety concerns to NRC.

Under the 2.206 process, the petitioner submits a request in writing to NRC's Executive Director for Operations, identifying the affected licensee or licensed activity, the requested enforcement action to be taken, and the facts the petitioner believes provide sufficient grounds for NRC to take enforcement action. Unsupported assertions of "safety problems," general opposition to nuclear power, or identification of safety issues without seeking enforcement action are not considered sufficient grounds for consideration as a 2.206 petition.

After receiving a request, NRC determines whether the request qualifies as a 2.206 petition. If the request is accepted for review as a 2.206 petition, the NRC sends an acknowledgment letter to the petitioner and a copy to the appropriate licensee and publishes a notice in the Federal Register. If the request is not accepted, NRC notifies the petitioner of its decision and indicates that the petitioner's underlying safety concerns will be considered outside the 2.206 process.

On the basis of an evaluation of the petition, the appropriate office director issues a decision and, if warranted, NRC takes appropriate enforcement action. Throughout the evaluation process, NRC sends copies of all pertinent correspondence to the petitioner and the affected licensee. NRC places all related correspondence in its Public Document Room (PDR) in Rockville, Maryland, and in the agency document control system. However, the agency withholds information that would compromise an investigation or ongoing enforcement action relating to issues in the petition. The NRC also sends the petitioner other information such as pertinent generic letters and bulletins.

The NRC notifies the petitioner of the petition's status every 60 days, or more frequently if a significant action occurs.

Monthly updates on all pending 2.206 petitions are available on NRC's Web site at http://www.nrc.gov/reading-rm/doc collections/petitions-2-206/index.html and in the PDR.

Petition Technical Review Meeting A petition technical review meeting serves not only as a source of potentially valuable information for NRC to evaluate a 2.206 petition, but also affords the petitioner substantive involvement in the review and decision-making process through direct discussions with NRC and the licensee. Such a meeting will be held whenever the staff believes that it would be beneficial to the review of the petition. Note that the meeting can be offered at any time during NRC's review of a petition and is open to public observation.

Director's Decision The NRC's official response to a 2.206 petition is a written decision by the director of the appropriate office that addresses the concerns raised in the petition. The agency's goal is to issue a proposed decision for comment within 120 days from the date of the acknowledgment letter. However, additional time may be needed to conduct an investigation, complete an inspection, or analyze particularly complex technical issues. If the goal is not met, the NRC staff will promptly inform the petitioner of a schedule change.

The director's deCision includes the professional staff's evaluation of all pertinent information from the petition, correspondence with the petitioner and the licensee, information from any meeting, results of any investigation or inspection, and any other documents related to petition issues. Following resolution of any comments received on the proposed decision, the director's decision is provided to the petitioner and the licensee and is posted to NRC's Web site and made available in the PDR. A notice of availability is published in the Federal Register.

Director's decisions may be issued as follows:

• A decision granting a petition, in full, explains the basis for the decision and grants the action requested in the petition (e.g., NRC issuing an order to modify, suspend, or revoke a license).

• A decision denying a petition, in full, provides the reason for the denial and discusses all matters raised in the petition.

• A decision granting a petition, in part, in cases where the NRC decides not to grant the action requested, but takes other appropriate enforcement action or directs the licensee to take certain actions that address the identified safety concerns.

• A partial director's decision may be issued by the NRC in cases where some of the issues associated with the petition can be completed promptly but significant schedule delays are anticipated before resolution of the entire petition. A http://www.nrc.gov/reading-rrnldoc-collections/nuregslbrochuresIbr02001 7/8/201 (

NRC: Public Petition Process (NUREG/BR-0200, Rev. 5) Page 3 of:

final director's decision is issued at the conclusion of the effort.

The Commission will not entertain requests for review of a director's decision. However, on its own, it may review a decision within 25 calendar days.

NRC Management Directive 8.11, "Review Process for 10 CFR 2.206 Petitions," contains more detailed information on citizen petitions. For a free copy of the directive, write to the Superintendent of Documents, U.S. Government Printing Office, P.O.

Box 37082, Washington, DC 20013-7082 or call 202-512-1800.

Electronic Access Those parts of the monthly status report on 2.206 petitions that are not of a sensitive nature, as well as recently issued director's decisions, and Management Directive 8.11, are placed on the NRC's Web site at http://www.nrc.gov/reading rm/doc-collections/petitions-2-206/index.html and in the agency's Public Document Room.

Other Processes for Public Involvement In addition to the 2.206 petition process, NRC has several other ways that permit the public to express concerns on matters related to the NRC's regulatory activities.

• The NRC's allegation process affords individuals who raise safety concerns a degree of protection of their identity.

• Under the provisions of 10 CFR 2.802, NRC provides an opportunity for the public to petition the agency for a rulemaking.

• The NRC's licensing process offers members of the public, who are specifically affected by a licensing action, an opportunity to formally participate in licensing proceedings. This process applies not only to the initial licensing actions but also to license amendments and other activities such as decommissioning and license renewals.

• For major regulatory actions involving preparation of environmental impact statements, NRC offers separate opportunities for public participation in its environmental proceedings.

• The public can attend a number of meetings including open Commission and staff meetings, periodic media briefings by Regional Administrators, and special meetings held near affected facilities to inform local communities and respond to their questions.

More information on these activities can be found in NRC's pamphlet, "Public Involvement in the Nuclear Regulatory Process," NUREG/BR-0215.

• The NRC also has an allegation process in which individuals who raise potential safety concerns for NRC review are afforded a degree of protection of their identity. other processes for public involvement are listed at the end of this pamphlet.

Office of Public Affairs U. S. Nuclear Regulatory Commission Washington, DC 20555-0001 Telephone 301-415-8200 or 1-800-368-5642 NUREG/BR-0200, Rev. 5 February 2003 Availability Notice Privacy Policy I Site Disclaimer Friday, February 23, 2007 http://www.nrc.gov/reading-nnldoc-collections/nuregslbrochureslbr0200/ 7/8/20H

D. Lochbaum -2 with the Office of the Federal Register for publication. I have also enclosed for your information a copy of Management Directive 8.11, "Review Process for 10 CFR 2.206 Petitions," and the associated brochure NUREG/BR-0200, "Public Petition Process," prepared by the NRC Office of Public Affairs.

Sincerely, IRA by B. Boger fori Eric J. Leeds, Director Office of Nuclear Reactor Regulation

Enclosures:

1. Federal Register Notice

2. Management Directive 8.11

3. NUREG/BR-0200 cc: Listserv Mr. Barry S. Alien Site Vice President FirstEnergy Nuclear Operating Company Davis-Besse Nuclear Power Station DISTRIBUTION: G20100192/EDATS: OEDO-2010-0267)

PUBLIC RidsNrrLATHarris RidsRgn3MailCenter LPL3-2 r/f RidsNrrPMDavis-Besse RidsOEMail Center RidsEdoMailCenter RidsOpaMail RidsOI MailCenter RidsNrrOd RidsOcaMailCenter TMensah, NRR RidsNrrDorl RidsOgcRp RidsNrrDorlLpl3-2 RidsNrrMailCenter CMarco,OGC ADAMS Accession Nos. PKG ML101890912 LTR (NRR-002) ML101890876 2.206 FRN (ADM-012) ML101890906 OFFICE DORULPL3-2/PM DORULPL3-2/LA DORULPL3-2/BC DORUD NAME MMahoney THarris RCarlson JGiitter DATE 07/9/10 07/9/10 07/12/10 07/12/10 OFFICE NRRlD NAME BBoger for ELeeds DATE 07/13/10 OFFICIAL RECORD COpy