.

.

,

.

i!

ENCLOSURE 1 ,

NOTICE OF VIOLATION f

Mr. Darryl R. Zdanavage IA 95-011 ;

Susquehanna Steam Electric Station |

During an NRC investigation conducted by the NRC Office of Investigations betweenOctober 1, 1992, and August 22, 1994, a violation of NRC requirements wasidentified. In accordance with the " General Statement of Policy and Procedurefor NRC Enforcement Actions," 10 CFR Part 2, Appendix C, the violation is setforth below:

10 CFR 50.5(a)(2) states, in part, that any employee of a licensee may not i

deliberately submit to a licensee information that the person submittingthe information knows to be incomplete or inaccurate in some respectmaterial to the NRC.

10 CFR 73.55(b)(4)(ii) states, in part, that each licensee shall i

establish, maintain, and follow an NRC-approved training andqualifications plan outlining the processes by which guards, watchmen,armed response persons, and other members of the security organizationwill be. trained, tested, and qualified to ensure that these individualsmeet the requirements of this paragraph.

Section 2.1 of the NRC-approved Susquehanna Steam Electric Station GuardTraining and Qualification Plan requires, in part, that annualrecertification to ensure security force effectiveness shall beaccomplished by one or more activities including class-room traininginvolving lectures, group discussions, text review or written examination.

Contrary to the above, on September 3, 1992, Mr. Darryl Zdanavage,security shift supervisor, deliberately submitted to Pennsylvania Powerand Light (PP&L) Company information (test results) which he knew to beincomplete or inaccurate. On September 3,1992, PP&L chose to demonstrate ,

security force effectiveness in a given task area through a writtenexamination as part of its recertification. Mr. Zdanavage, whileproctoring this examination for his shift, provided additional trainingafter noting that some individuals had answered a question incorrectly.Subsequently, Mr. Zdanavage provided an opportunity fo. the individuals tochange their answers by returning the examination only to the individualswho had the incorrect answer, and then submitted the examination results +

as the original answers to PP&L. The test results were material to theNRC in that the NRC relies on these test results for the demonstration ofsecurity force effectiveness under the licensee's implementation of the i

approved Guard Training and Qualification Plan. (01013)

This is a Severity Level III violation. (Supplement VII)

9505180014 950509 ,

PDR ADOCK 05000387 r

G pm

- - _ _ _ . . _ _ . _ _ _ _ _ _ _ _ _ _ _ . _ _

. _ ._

.

Enclosure 1 2

Pursuant to the provisions of 10 CFR 2.201, Mr. Darryl R. Zdanavage is herebyrequired to submit a written statement or explanation to the U.S. NuclearRegulatory Commission, ATTN: Document Control Desk, Washington, D.C. 20555 witha copy to the Regional Administrator, Region I, and a copy to the NRC ResidentInspector at the facility that is the subject of this Notice, within 30 days ofthe date of the letter transmitting this Notice of Violation (Notice). Thisreply should be clearly marked as a " Reply to a Notice of Violation" and shouldinclude for each violation: (1) the reason for the violation, or, if contested,the basis for disputing the violation, (2) the corrective steps that have beentaken and the results achieved, (3) the corrective steps that will be taken toavoid further violations, and (4) the date when full compliance will be achieved.Your response may reference or incit.de previous docketed correspondence, if thecorrespondence adequately addresses the required response. If an adequate replyis not received within the time specified in this Notice, an Order or a Demandfor Information may be issued as to why such other action as may be proper shouldnot be taken. Where good cause is shown, consideration will be given toextending the response time.

Under the authority of Section 182 of the Act, 42 U.S.C. 2232, this responseshall be submitted under oath or affirmation.

,

Dated at King of Prussia, Pennsylvaniathis 9th day of May 1995

,

;

-__ _-_______--__ _ - - - _____

- _. _ .. - . . ._. ._ -, . . - .

..

UNITED STATES NUCLEAR REGULATORY COMMISSION ENCLOSURE 2.

RULES and REGULATIONSmune,camni.cooromnennnu mom seay

.

PART -m ana== roa ===nc === ====Afe WSUAfM W ORDERS

2 ;|,

sec. see,an f a- ponendeses Aspasshes 3.tle connehdauen of snessmensk li sap, es piesseemos ser she immesame of uommees 1.111 and terminatten of 4

2.3 subperte se annessemie sessemer power ammense se sortemenee of pressens esftser.3J Resolution of corert. as Oposened at Wees Stoe IdeedIlled hs the M. 3.M PWeer si Seedding einser3 4 Defirutions samme Appeessene med Gelsted % poo ET18 I''**''dl

3.8 laformation colleeuan ressuirements OMB essengs E ,8,,

g3.000 Samps of ouhpart. 3.133 Spedal asetetante to the praelens of-

Sehpan h toe Amessema. 2.801 Neuse of heartas en areh=''== par. Deer.h. Tese 8er, er Gemewel of e unemme cuant le ape == san * 38 of Part te for a D.

M'"***2.100 Seepe of outpart. ,emase to meanufacture puetsar power re.,gers. 1780 Mh1.101 Pulas of appha*'8""' 1.803 Mouse of heartas se appuesuem for a 1 731 Orter of m |3.182 Administrouve restew of apph=Ha" paraatt to construct a amenear perwar re. 1733 Burden of proof. '

3.303 Acuen en appumetaan for hyproduct. aster sasaufactured pursuant to a Cuen. 3.733 a=a n ea== hyesperte.source. epoc$al nuclear senterial and ep- aussten heemse issued pursuant to Ap. LT34 Maueno to reopea.erster H - ===a. penas M of Part to of thle chapter atthe alte at vluch ttne ressur le to be op. Dueesmoso asre Irarruar larreasonateasse.Emaarne ear ArrtJeafsee-Bew Isrmarse erased. DiscovmT, A=========- Sysemen

3.19e Neues of heartas. W PlantstF ef deudden en emperate1140 Osmeral provideas gestrales escov.1.146 Neuer of proposed acuen"

8 F-1.188 Wouer of insteemet. 3.get appu hnety of ettner escuentEtte'n nepassusses tipos seal N

LBM Witheswal of aspha=Han y and less wrtsten Interrogatertet3.100 Denial of =**a for faDure to S.14th laterwegaaertes te parttee. !

,

se M em Ehe Mempply hafenmauesLO''meh h WMnse % ter 1941 Produeuen of docusamate and tht,ags i'

e p'enedele h Cemete ulemenenps.2.500 miest of Hemely renewal appliances. ,,g ,,g,, ,,,, g,,g g,, g,,,,,gg,, ,g ,

3.11e Poms and aestanettsun assaan en ether purpenetautumistans for dealso revnew or early samme g943 Aeniseless.rettee of she euttatosty lueues. 1943 Evidense.

fggr**3.118 Prehlbetion of een eteertantaarnaa 1964 Produeuse of NRC records and emeu. [,ggg

S.003 Pulag feek2.883 and e appusa syssoast Daseeemas as Ptaassues,,,,,,g,, g,,

seen, or Revesseios of e unemes, er ter 1"" heues. 3.140 Auttnerity of prueldlag ofSeer to es.c

peabis Ove remaines 1804 Neuce of heartag en appheauen for pese of eartain lause sa the W i

early revtes of este outtahGatt lueuet2.200 Scope of Sutgart. 3.806 Adeuemat ====sa=*muena. ;Mana mes2.201 Noace of endation. 3.800 Partial dedatone en alte outtahGity Lite Ofadalreporter;traasergt

' 2.202 Ordert issuet 1751 Beartage to be pubha.2.203 Seel==at and comprounisc Ltala special preheartas eenforemme in2.204 Desmond for informehon. Sehpun S-Seese of essesef Appesehery seestrucues persatt and operettag II. i2.20$ CMI penalties sense pressmenet2.206 Iteovests for action under tius e,bpart, 3.900 acope of outpart.

a. Teen aseepuses. 3.1,63 Preheartas esaferense.*

s. s map.a.n.-3.181 Pillas of documents. g934 processe gynelags and sometenema.

tehpun C-4asserved] 5.Te3 Doekst. ,

itse Oral argua set betere presading ein.1.tes neues of heartas ear. >

seepen # Adamener p.e ede,es Appasatie 1.104 heraatke of premiens ofneer, es- itse tafersmalpreenduret ito psomosengs ter the immenses of usenese sumMflesteen. unavaush08ty. 3.757 AcuterttF ef present otneer le reg.to Casse,em er ope,ses enesseur pe.e, 3.tes Answer unste presseure mi a heartaspisses se espassee semise se shaupte enes 3.tes nepts. Etes Cassidermuso of cementansa rulesi

s.te? Default. nad resuinuees an adjudnentary preemos. ;1400 Sempe of outpart. 1.190 Paranal requiremente for docuansatt tags. '

3.401 Neune of heartas se mar a.ei.- 3.10e Asseptamer fee flhas. 3.fts aetuament in taittal tiennetas peo,npureumat to ape =adio M of Part 90 for 1.110 Ceanputause of tisse. essenet '

emnetrueuse peranssa. 3.111 Runenston and redueuse of tisM lamat Deessses asre Ceaseriesseur Review ;3.403 Separate heartass en separate taeuse. MEhlt&i

= ha.eaaa of presseenes 1713 Servlee of papera, mothede, proof. 1990 latual docte6en and its effect.3.483 Mouse of propseed acusa se apphen 1T13 Appearanee and praeuse before the 1300m inntal W in sentested pni, i

uses for operstes beeness pursuant to #'a'""''""'aa in adjudneatery proceed crediass en appucauena for fecuny op-Appenas N of Part 90. leek erstang Deemess. <

Beartase en ==e ==h=.= for opernt. 3.114 Intervenusa. 2.781 Bapeeted deetslenal procedure |3 404 nIns h====a pursuant le app =adio N of 1Tles f4tations int review of certain ruhngs 1301a Separate and N

|Part to on petitions for lease to intervene and/or 3.783 |resnowed]; 1.406 1atual decisione in -h=**d hear. requests for hearmg

[88P*%"g*',$*,e", 7ee'nN I843 eos Ptanut, of - en sepasste 3, g Imanes sof eq" * * " " " " " * " " ' " " ' " * * " " ' " ' * " * ' of *=a

ieense. 'trucua peran e opnatans u.s.eet Appheshtuti of suier coeuseslaeE-

11

2-1 January 29.1993 (reset)

_ -_ __ _ _ _. _ _ _ _ ___

_ ._ _ _

*ii

PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS... i

.

.

3.188 lamediate effecuvenes of insues de. 21008 Senumon of meterial se the 138. APP'"maz A-Starsamer or Osammat Poucvceules directans issunnee or essenessent 2.1006 Assendaients and ad4tiesa, ass Pooament Cornocr or Psocasmusesof learnsee under Part 81 et this chapter 23006 Racluions. poe rus lasoames or Comersornos Pum.

11098 Prtedgn, aarts aus Oramartse tacmese rom Pao-Pisaa. Ducsesom 110DP h socnos ass Ursusarios Paesuries pom

Wasca a maa==v ss Raeorman UpsenEN M decisten. M008 Posenual parties-1.771. Petauen for reconsidersuon. 11005 Procederee, Seenom seen or rus Aroenc Druner Act

o,1964, as Aassynes1.773 Authority of the Secretary to rule on 11010 pre;uconee Appucation Presidingpreesdural siatters. Offtcer

11011 133 managesient and adaunistretlog Appendia B-IReserved 1Restaserse Comasowncanoes 2.1012 Comphence.

Site Es parte esmmunleauens. M013 Use ofIAS during adjudicatory1981 Sepersuon of funcuens. proceeding. Arresax C-Osam4L statussar or Pm.aev3.700 Review of decisions and metions of a 2.1014 latervea6en, ase Paocoons rom NRC Deroacusmer

proelding afficer. 2.1015 Appeals. Aenons3.788 Stare of dectatens of proelding offs. 11014 bootsons. APP'"d'' W"I' I" **

eems sending review. 11017 Computsuon of um' Proceedmg on Applacetion for a Lacense3.gote gx ,,,y, To Recerve and Possess High-Level

Avassaasurr or Orne:4L Recomes 11019 Depwing Radeoactive Weste at a Geologic3.190 Puhlac inspecuens eseenpuoma. ,,. I 1020 Entry upon tend for laspection. Repoutory Operations Area.

euests for withholdans. 21021 First probearing conference.11022 Second preheartng conference,1 1023 Immedaele effectavonees.21025 Authonryof the Pruidmg OfLeer

to dapase d certain issues on thepleadmss.

_, ji

Authorify: Secs.161,181. 64 Stat. 948 )$ .

953. as amended (42 U.S C 2201,2231); sec.% gag ,

WW ' P*as*** d spe=8 84.usser Peel Seerece h 191. as amandad. Puk L B7-415. 76 Stat. 409poetry as Ovmen stessear pwe, assese,, (42 U.SC 2241); sec. 201,48 Stat.1242. as3.seo scope of rul-ahtae arnended (42 U.SC 5841); 5 U.SC 552.

2.a01 Infusuon of rule == kine [y Purpane Section 2.101 also leeued under secs. 53.' "h 2.1Ios Definiuona. 62. 63 St.103.104,105,64 Stat. 930. 932,u13387 Mouc' of Prooo**d actiott 933,935,936,937,938, as amended (423.404 38eues of proposed ruksaakto,

3.aes Participauen by interested persons f p'i,',"",'8 8" "" "'8""85- U.SE 2073. 2002,2003,2111. 2133,2134,2.ses comunaasten accetL 2.1113 oral argument. 2135); sec.114[f). Puk L 97-425,98 Stat.3Jef Effective ente. 3.1115 Destsnauon of issues for adjudien. 2213. u amended (42 U.SC 10134(f)); sec.3 Joe Authority of the Secretary te rule on tory heartna.

pegoodural matters. 2.111? Appucabuity of other accuons. 102. Pub. L 91-190. 83 Stat. 853. as amended# 3***''**'"****'" U.S C 7) .102 2 3 21saattee r har guards.

% .

Sehe.* 6-s, del p,seederse Appaeshie es u seenas y - 2.105. 2.721 also leeued under secs. 102,103^; - - , proseseamps to,es,tes ese,ess. "

104,105.183.109,64 Stat. 934. S37,938sed Dese and/e, eteneemt seawery safe, 11301 Scope of subparL. 954,955, as amended (42 U.SC 2132. 2133.

2134,2135,2233,2239). Section 2.105 alsoequest f e ng: pettuon for2 peo harpene leave to intervene. Issued under Pub. L 97-415. 96 Stat. 20732 901 scope. 18307 Designauon of presiding officer.

h (ssued under secs. Seib.1.c.182.186,234,42 U.SC 2239). Sectwas 2.200-2.20s also2 set Defnniuona. 31300 Power of presidtna officer, i2. sea Protection of restricted data and ns. 11211 Participsuon by a person not a 3 68 Stat. 946-451,955. 83 Stat. 444. asuenal escurity traformauort party. .

s.see claneancauon naststance. ::3 note of the NRc staff. E amended (42 U.SC 2236,22 2); sec. 20s. as2. sos a- to rntrteted data and nauonal 3:21s Appearance and practice. ej Stat.124s (42 U.Sc 5444). Sections 2.600-security intormauon for parum. security

2.606 also issued under sec.102. Puh L 91-clearansas. Hsastecstoes otusmuon of parues to avoid intro. 11231 Heartns file; prohibition on discow.

4332). Sections 2.'700s. 2.719 also issueddueuen of restricted data or nauonal se. ,,,, N $ ', M ,"gg ,gog,,,,,, m 11:33 ' written prewntauons; written eues. under 5 U.SC 554. Sections 2.754,2.780,

tions-ed anta w nauonal security informaues 2.770. 2.780 also issued under 5 U.St 557.2.ses cessenta of nouce of intent to intro. 1123s oral prwentauona: oral auesuona

Section 2.764 and Table 1A of AppendLa C*" " "" ' ' * * * "$ 7 ,,,*,du de uon o! Ession rule also issued under secs.135.141. Pub. L 97-

2 ese nearransement or suspensson of pro- and regulauons in informaJ adjudles. 425,98 Stet. 2232. 2241 (42 U,3C 10155,esedanos uona. 10161). Section 2.790 also leeued under sec.r sie Unetaastfled statements requirg 1.1341 Setuement of proceedinsa"

103,68 Stat. 936, as amended (42 U.S C .et1 Ad,u, , ggi ,j " torna6 Decmos. coensteeson Raw, ano 2133) and 5 U.Sc 553. Section 2.s00 also I,a.sts weisht to tie attached to cansmined P mat Deession issued under S U.SC 553 and sec. 29, Pub- {evidense 3.13st iniual decesson and na etfeet. L 85-156,71 Stat. 879, as amended (423.918 Reetes of Restrteted Data or other 21263 Peuuons for review of intual deci. U.S C 2039). Subpert K aleo lasued under

~

seauonna security informauan received sions2136e Pinal dectaton; peuuon for reconsid. sec.189. 64 Stel 855 (42 U.SC 2239); sec.la evnd****

erauon 134. Pub. L 97-428. 96 Stat. 2230 (42 U.SE.

h [- 3.1961 Authority of the Secretary to rule 10154). Subpert L also issued under sec.109g,wiemeesptog w m on procedural matters. 64 Stat. 955 (42 U.Sc 2239). Appendix A--- o' e =~*e aePea-r "'N of",at!,""J r*'"mf:fr'." ew-=ed -der -o r* ' n-m a,

ga the Commission. pending hearing or Stat.1473 (42 U.SC 2135).u sc.pe of.es,ert reew.

_

3.1001 DefWt6ons.11002 High-level Weste IJcensing Support

Syetem.i

|

| .

September 30,1993 (ruet) 2-2

l1

-.

- - ... -.. . . . - - . . - - . . .

.- i

.

~

PMT 2 e RULES OF PRACTICE POR DOMESTIC UCENSING PROCEEDINGS...

- ,

13.1 esepe. f- W- ns m^

his rt governs the conduct of all "Commisen adh W transferred to the UA meersy Re-neenhora, effleers and -pa-*= and

ings, other than export andimport licensi proceedings described . g **W Canakh hem

***~ enarch and Deselopment Adelaistraum and to the m thereof ;in part 110 the Atossic Energy Act g of their personal stafts. - pursuant to soeuses 104 (b). tel and

C964, as amended, and b Enngy 44) of the heersy Reorgantastian ActReorganisation Act of we, fw- og gpH enh. L es 4as. as mat.1888,.

(a) Grant 6asm _ _ revoking. at asst. e ca.c. asse) and retrans.amending, or taking other action with ,

_

served to the Soaretary of meersy pur.falne _ . of he Moe of suaat to ansteen Setta) of the Desar&roepect to any l6 cense. construction E Commuuson Appellow Adjudicodem ment of enersy Orsantenuen Ael

.

E it. or application to transfer a '" ** " l').'8 * *** *** ** * * 8'''R. ' (b)Ibuing orders and demands for

L- 42 UAC.1161,

"meserte maesty" amoane earinformation to persons subject to the * ' * ' * " ' * " ' 'Commission's jurisdiction, including 131The members of the Atomac Safet) and which reessero tMl6censees and persons not licensed by and IJcensms Buard Panel and staff esses of this electressty. either direcur ithe Commission; assistants so the panel er indirectly through rates established i

(c) Imposing civil penalties ander (4) A presidmg officer appomied by the entsty steelt er by a separate :section 234 of the Act: and under I:fot. including an regulatory authertty Immester owned

(d) Public rulemaking. administrative lew judge.and staff staines inehselag seneretten er distri-essissants to e presiding officer- butsen esteldbarten, punte utasty dis.

(5) Special assistants les defmed in artets, munselpalities. rural eleserte so--,

t 25721- ] emeratsm, and state and Federal :

"'t s.s sabeans, (0)The General Counsel. the Soliciior. g @ ero p*h g m8" '8 "^:

Bach subpart other than Subpart O the Deputy General Counsel for Se ensanha W " electric utasty.** |Licensms and Regulation. and

the type W preenedias desertbed la emplo>ers of the Ofisce of the Genera. = ,"Em parte communication' means ansets hrth spelal rulee appW to a,3 , ,,g g, ,,ge,g3 ,

the inrot soeuen M that subpart. Sub. Counsel under the superusion of the the public record with respect to whichO sets forth general rules appiten Solicitor or the Deputy General Counsel reasonable prior notice to all parties is

:; to su types of preenediass eseept for Licensing and ReyulatiorE not given.s pote making, and should he read in (7)he Secretary and esiplovees of " Faculty'' means a produeuen fa-. eesfumauen with the outpart govern- the Office of the Secretary: and etlity or a utilissuon feellity as defined

las a partteuler presseding. Subpart I (8) Any other Commission officer of in 180.2 of this chapter' isets forth special procedures to be fol- employee who is appointed by the I"*N'* " I'8* N"8 ""*''**-loved in pressedings is ordw to safe- Commission. the Secretary, or the

"*"p*e~rsonal participation in planning.'suard and pment disclosun M Re- General Counsel to participate or advise

(1)I .jartened Data. in the Commission's consideration of an er supemsms an .initial or final decision in a proceeding. ,

T8SJ hammluenes of esenici- Any other Commission officer or (2) personal pertacapetion m planrung. ;i*%''**

In any confleet between a general I employee who. as permit ed by i 2.781.*'

" P'""*8 " 5" I| * rule in Subpart O of this part and a participates or advises in the supervasnag the planning.' developmento

! * special rule in another subpart or Commission's consideration of an initiala # p m emab a C u be m argu w at.y other part of this chapter appbcable or fmal decision in a proteeding must be* ,

#* 8 pWingto a parucular type of proceeding, the ; appointed as a Commission ;#"N 8 " " adjudicatory employee under this [ |

paragraph and the parties to the License means a license, including a !

ceding must be swen written pohce renewed license, or construction permit ;'8 M """"'"-"ACfts" means the Advisory issued by the Commission." Contested proesoding" means Licensee means a person who is' Cosamittee on Remeter Safeguards es.

(1) a preoneding in whleh there is a "th*ri *d '' c'" duct *ctiviti' "ad" 'E *icense,'includmg a renewed license, or

e hniakad by the Aet."Act" smeans .the Atomic Energy contmeroy between the staff of the lEAct of 1964, as amended (88 Stat. 919). Comunission and the appliant for a li- construction permit issued by the"Adjudicauon" sneans the proc. eenu concerning the issuan= of the

Commiesion.ass for the formulauon of an order for Hoense or any of the terms or candl.

I the final dispostuon of the whole or t&ons thereof or 13) a praanneene in ']any part of any proceeding sub et to whleh a pettuon for leave to intemne NRCpc sonnel means

g tais part,other than rule maktas, in oppoeluon to an appitentare for a U- (1) NRC employai s"Administ.rauve law J ude,- eense has been granted er is pending (2) For the parpose of Il 2J:0. 2 7 40.

E uneans an individual appointed pursu. befom the hwanton- and 2.1018 caly, persons act.ng m theant to secuon 11 of the Adednistrsttve " Department" eseems the De- capacity of consultants to thePreesdure Act to conduct proceedings partment of Energy estahushad by the Commission. regardless of the form ofsubject to this part. Department of Energy Orran8=anaa f the contractual arrangements under' " '8N % 1 ; 3 s'h .'t.e "est.n o s si * * p r " i " i> '-- i-i" - ~ c-

E c ihe Commission: andisoission of five members or a quorumthereof altting as a body. as provided * $, 8 F M (3) h4 embers of advisory bcards

p.committers, and panels of the NRC.by secuen 301 of the Energy Itoorganb foriaerly vested in the U.S. Atasale

sauon Act of 1974 ISS Stat.1343h or members of boards designated by theany offleer to whoes has been delegat. Commission to preside at adjudn.. toryed authority pursuant to secuon 181n proceedmge. and officers or employeesof the Act. of Covernment agencies,includmg

military personnel, assigned to duty at-

the NRC..

2-3 Apffl 30,1992

*.

4-"r- -- -*- . , , , _ - , . ,__ ,

. - . - _ .- . - - - . _. -_ . _ .

I 2.101(a) -

PIMtT 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~ ,

i

.I

~

"NRC records and documents" f" -v "Puhtte Docusser.t Room" useans~

means any book, paper, unap. phote 2 Subpert A-Procedure for lassence, .the plass at M St.reet NW Wash-graph, trechure, punch card, esagnetic 5in D.Catw pumiie roeords ^***a'''''''*"*-dtape, paper tape, sound recording. 'I*II"*"**pamphlet, elide, usouen picture. or W the th==h win ordinarGy be

other documentary maternal regard 3,mede avaDable fw inspecuen. E $1.10e Sementw6partless of focu or characterisues, made I This setpart seesertes the prece-by, in the t======taa of, or under the f " Secretary" means th Secr* a dues for tusemass of a unessme: amend-

icontent of the NRC pursuant to Feder- tary to the '*""* meet af a Measse at the resumut of the i

al law er in osanscuen wit.h the trans- Except as redefined in this soc- Mesasse; and trammfer and reneswal of a '

acuen of puhue bustness as evid== of tien, words and phrases which are de- Egense.NRC organismuon funeuena, policies. E fined in the Act and la this chapter -

doctstons, procedures. operapons, pro- g have the same meaning when used in g gggg pg,,,,,,,,,,,,,,-

i

grasas or other acueuen. W w ghts m taMU An appuentien for a Heense erords and documents" de not include- to a Heense shan karrur ta."stt ::",#.=:= w ----- ! asr,e,r,,,,=, g,,g,,g,:~,g, ,g, =,;

== * eE or vehicles and equipment. 005 appreseL ,, gg, ,, , ,, g,g , |2 ** Person" means (1) any individ- (a) The Nuclear RegulatorF $ preserted by the anam pry,tatens

iual. corporsuon, partnership, firm. as- Commission has submitted the W this chapter. A prospectise app 41- jsociation, trust, estate, public or pri- | infonnation collection requirements east may confer inforsmany wlut r evnte instituuon, group, government contained in this part to the Office of staff prior to the fulne of an awsue !agency other than the Commission or Management and Budget (OMJ) for use. |the Departament, except that the De- E approval as required by the Paperwork

, i

partment shall be considered a person 3 Reduction Act of teso (44 U.S.C. 3501 et (3) Each appbcotism for a liemmes for awith respect to those facilities of the esq.) OMB bas approved the information facetty er for sectlpt of westeDepartment specified in asetion 302 of collection requirements contained in this redeenstive material Gross other persons |'the Energy Reorganissuon Act of 19'l4 part under control number 31540136. for to psyees of sammeratal i(84 Stat.1244) * any State or any po* - by he waste espeest bosames he jlitical subdivtston of, or any poHuca) estipod e deckst aumber.However.to .

enuty within a State, any fordsn sov- eBow a determinaties as to whether en I

errunent or nauon or any poutical &% (b)The approved information eppbcaties for o esastructies permit er iAdivtston of any such government or

operouse hasase for a " r er i

"

nauen, or other enuty; and (3) an( h this part appearin appendix CcoUection requirements contained in euhuume fodbty is osoplete and

-

'

al s "k wogoing e able for wtB be

L =, usas ea- a ia =c*ed =d *-

copy of the toadsed apphceties wGlbe (U$ avalleble for public inspection in theCommission's Feblic Docummat Room. i

g 2120 L sweet NW.Washiegten. D.C. ,

2,Generauy that deterumiastian wGl be |

made withis a of thirty (30) days. '

However. la conomestiespenait applications, the t'hmay deca'de to determies seseptabuityon the basis of the technical adegencyof the application as web as les*The Department factuum specified in comple .n.== la such cases, the

jsenuon m an;

Commission pursuant to | L10e(s), will I: Demonstrauen wund nietal PastBreeder reactors when operataal as part of direct that the neuce of heartog bethe power eenerauon faculues of an electric issued as ecom as prectiM M b

ePP icaties has been tendered, and theussty arsian. or when opented in any letbar maamer for the purpene of demen- determination of acDeptabdity wEstrattne the sultannity for sommental ap" generally be stede withis a period of

och usa nuclear m sixty (80) days. For docketing and otheresespt these to entstanee en January le. N81uimments for appbcah pursuant1975. whan operated as part of the power to Part 91 of this chapter, ese paragrepbsenerauen faentums of an electate utatty [g) of this sectlan,syssamm. er when aparated at any stbar

~~manner for the pursese of a====sensuesuw outtaanny for esamental ==W=n== ef ( (3)If the Director of Nuclear Reactorsuch a rensaar- Reguletion or Dtrector of Nuclear:: Pasduuss und primarer ser uw nesset

Material Safety and Se ards,as' '

repuntas reus asu,tues ,, appropriate, determines at a tenderedto Asertevante surfaee searmee Pasduuss j opplication for a construction permit orand other faennies authertume for the on-

[ operating beense for a reduction erorum euro*** *f sus **euset leasaarm star. utdizetien feeility, and or any,'8,'g',' 717, mum ww''en I environmental report required pursuant' *

used fer, er are part of, ressann and deve. to Subpart A of Part 51 of this chapter,emment neuwtuna or part thereof as provided in

paragraphs (a)(5) or (e-1) of this sectionare cornplete and acceptable for

Mefeh 31.1993 2-4

.- - - -- . . _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ , _ . . - . . _ ,

.__ . - - -.

.

2.10)(a) 2.101( 11PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ...-

will be furnished as soon as procuca required by I 50 30(f) of this chapter.es gn to t e p 1.a no athereof, and the appilcant will be ble after all or any part of the appilca- another part shallinclude any

notified of the determination.WithMon, or environmental mport, is ten- infonnation required by | 50.34(a) and,ifdered. The copies sutualtted to the Dl- apphcable. I 50.34a of this chapter and a

yspec3 4o the tendered appbcation andl **ctor of Nuclear Reactor Re8Ulstion third part shallinclude any informationor environments report or part t ,reog or Director of Nuclear Material SafetF required by i 50.33a One part mayg, that is acceptable for docketing the and Safeguards, as appropriate, and pMMh M Pam by uI (plicant will be requested to-a ap distributed by the appihant aball be longer then six (6) months except that

i) Submit to the Director of Nuclear completely asseeabled documents,' reactor Regulation of Director of Nuclear identified by docket number. Subse- the part including information required

Material Safety and Safeguards se euently distributed ai sadments to ap. by I 50.33a shall be submitted in

appropriete, such additional copies as plicauona, however, inav include yo. accordance with time periods specified

the regulations in Part 50 and Subpart A vised pages to previous avannittals a.nd, in i 50 33a. If an applicant for e

of Part 51 require *. in such cases, the reciplents will be N- construction permit for a nuclear powersponsible for laserung the revised reactor is exempted pursuant to i 50.33a-

f this chapt r fro f th(1D Serve a copy on the chief esecu- Ihe tendered apphm*'t for a r '* * i " "' IiLive of the municipality in which the construcuan permalt or operaung U- cheMer. such applicant shall file withfacility is to be located or,if the facill* cense for a producuan or utillsadonty is not to be located within a munici- feellity will be formaally docketed upon the first part ofits application anpality, on the chief executive of the receipt by the Director of Nuclear Re. aff:devit setting forth facts as to thecounty, and serve a notice of svallabil* actor Regulauen or Director of Nucle. electnce! generating capacity ofitsity pf the applicauon or environmen- at Material Safety and Safeguards, as system. lf it is determined that any onetal report on the chief executives of appropriate, of the requireo additional of the parts as described above isthe municipalities or counues which copies. Distribution of the add 1Llonal incomplete and not acceptable forhave been identified in the application copies shall be doesned to be complete processing. the Director of Nuclearor environmental report as the loca- as of the tiene the copies are deposited Reactor Regulation or Director oftion of all or part of the alternative in the mall or with a carrier prepaid Nuclear Material Safety and Safe 8uards'sites, containing the following infor* for delivery to the designated address- as a!9r priate. willinforrfi the appheantmation: Docket number of the applica- es The date of docketing shall be the of this determmation and the respects inLion, a brief description of the prDposed site and facility; the location of date when the required copies are re 2 which the document is deficier.t. Such a

ceived by the Director of Nuclear Re ; determination of completeness will;, the alte and facility as primarily pr%e actor Regulation or Director of Nucle-; posed and alternatively listed; th a generally be made within a period ofa nasne, address, and telephone number; at Material Safety and Safeguards, asdays , thirty (30) days. Except for the part

aappropriate. Within ten (10)

i. of the applicant's representative who after docketing the applicant shall * including information required bymay be contacted for fur;her informa- submit to the Director of Nuclear Re- 150.33a. whichever part is filed firsttion; notification that a draft environ- actor Regulation or Director of Nucle- nhall also include the fee required by

fpp o"p i te it it a dis l'bo dw( * * *

. |available upon request to the Comsnb tion of the additional copies to Feder- { { $0.33.50.34{{a)(1), and 50.37 of this !ston; and notification that if a request a State, and local officials has been chapter.The Director of Nuclear Reactor ;la sseelved from the appropriate chief completed in accordance with require-executive, the applicant will transmit ments of this chapter and written Regulation or Director of Nuclear i

a copy of the application and environ- instructions furnished to the applicant Material Safety and Safeguards, as jmental report, and any changes to by the Director of Nuclear Reactor appropriate, will accept for docketing an '

such documents which affect the al- Regulation or Director of Nuclear Ma- apphcation for a construction permit for !ternative site location, to the execu- terial Safety and Safeguards, as appro- a production or utilization facility whichtive who makes the request. In com- priate. Amodments to the application is subject to i 51.20(b) of this chapter, i

plying with the requirements of this and environ)nental report shall be and is of the type specified in'

paragraph (aX3Xiu the applicant filed and distributed and an affidavitc apur or h a tes@a@'22 cf thisil 50.21(b)(2) or (3) or 50should not make public distribution of shall be furnished to the Director of y when methose parts of the app!! cation subject Nuclear Reactor Regulation or Direc- part of the application as describedto i 2.'l90(d). The applicant shall tor of Nuclear Material Safety andabove is complete and conforms to thesubmit to the Director of Nuclear Re- Safeguards, as appropriate, in the

same manner as for the initial applica- requirements of Part 50 of this chapter.actor Regulation an affidavit thatservice of the notice of availability of tion and environmental report. If it is Additional parts will be docketed uponthe application or environmental determined that all or any part of the a determination by the Director ofreport has been completed along with tendered .pplication and/or enytron. Nuclear Reactor Regulation or Directora list of names and addreenes of those mental rtsort is incomplete and there- of Nuclear Material Safety andexecutives upon w'aom the notice was fore not acceptable for processing, the Safeguards. as appropriate, that they areserved; and applicant will be informed of this de- complete. .

termination, and the respects in which (a-1) Early consideration of site,

,,the document is deficient. suitobilityissues. An apphcant for a

(5) An appheant for a construction construction permit for a utilization~ ~

IC '* ' ' i(110 Make direct distribution of addi- permit for a production or utilitation ,"p , d f W spe ,tional copies to Federal. State, and facility which is subject to i 51.20(b) of

n H 0.21(b)(2)or(3)or 50.22 of thislocal officials in accordance with the =this chapter, and is of the type specifiedO requirements of this chapter and writ. E n il 50.21(b)(2)or (3)or 50.22 of this chapter or is a testing f,acility. may: Len instructions furnished to the ap *i mquest at h Commubn cdct an5 p16 cant by the Director of Nuclear Re- ' chapter or is a testing facility may ' '''I ** * 8 "" "" '"

submit the information required of early partial decision'in accordanceactor Regulation or Director of Nucle a applicants by Part 50 of the chapter in with Subpart F on issues of site7 at Material Safety and Safeguards, as ;J three parts. One part shall be,suitabihty within the purview of the| sppropriate. Such written instivetions accompanied by the information applicable provisions of Parts 50,51 and

25 April 30,1992

- - _ _ _ _ _ _ _ _ _ _ - - _ _ _ _ . _ _ _ _ _ . _ _ _ _

- , - - - . _ - - - . - . - __ .- - -- -- - -- . _ - -

.

RMIT 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . .tap af this chapt:r. In such cases, the W be oseduchd Wein a Waty

"- -

appl 6eent for the construction permit en to ebdneouuve d to ennly, and (3) Any pwm wh Wda h; sney submit the information required of serve a modos of avaGabGity of the ble views en the antitrust matters of the

pnte by the provisions of this applicaties er environmental report sae, a appheetion conaldered by the NRC and<I8 Ii" ** **" *I

I jer' p" owe'r"re'a'ctors) four parte: the ablef esecutives of the municipalities , presented to the Attorney General forer soumon wWah bue bwa idonened ; considwenen eould abWt ad who

g (8) Part one shall laetude er be ae-- in to application er environmental , within sixty teo) days after publication

essapanied by any inforsnation re* report as the location of all er part of the : of the mooce announcing receipt andguired by ll 30,84(aMll and 80.30tD of alternative sites, contai the ' docketing of the antitruet inforunation tothis chapter wheek states to me feDowinginformation: et number of 2 the U.S. Nuclear Regelsioryteauetal of site outtahlHty for which as the application: a brief doesipuon of the ' t'am waaa Weebington. D.C. 30588,

I **8,",,,",g nespt mat este end facility; the locaties Attention:Oilef. policy Development*i

teen with respect to operation of the site and facility as and Technical Support Branch.facMity at the projected intual power proposed and ahernedy the . -

level need not he suspHed, and shall name, oddress, and telephone number of -

laciude the interamanaan required by the apphcent's lative who may (d)& Director of Nuclear Reactorll98.38tal through te) and 30.3T et be contacted for laforsnation: Regulation or Director of Nuclearthis chapter. The inferenauen subenit. actification that a draft environmental Maurial Safety and Safeguards, asled shan also include: tu Proposed impact statement wGl be laeued by the 8ppropriate. will give notice of thefindings se the leeues of site settahn- r s saa and will be made available d*Ch*HAS #f b public heehh andMy on which the applicant has re 75 upea request to the Wa==taa and safety, connon ddenn and security,r

and miroomatal parts of asquested review and a statement of the ebases or the rusons for those flad E notification thatif a requestis received lAPP ication for a license for a facihty erfrom the appropriate chief executive, the' # Pt o e dioactive materialapplicant wiu transmit a copy of thethe rs purpose ofle auffacient to enable the Commienton application and environmental report, nwrcia{isposal by the waste

Isuitabinty issues under the appikshie ys'posallicensee. excepi that forto perform the requested review of site and an ch to such documentswhich ahermative site :

g previolons of Parts te. 51 and 100, and location, to the executive who makee . applicati,ons pursuant to part et of this

I,itH) Information concerning the appil- the request la complying with the che ter parayaph (g) of this esogos8

cant's site selection process and lens- requimments of this paragraph (b)the - a , to the Governor or other-

range plans for ultisnate development applicant abould not make public appropriate official of the State in which'

of the she required by 6 2.003(bx13. abstribuuos d tbooe parts of the the facihty is to be located or the(3) Part two shah include or be e application subject to 91790(d).'line activity is to be conducted and wGl

.companied by me menining informa- applicant shall submit to the Director of cause to be published in the Fedesel

"* "38 ""#$$I,N#,I0 Nuclear Malertal Safety and Sefoguards Register a notice of dockeths of theie

(3) Part three shan include the re- an affidavit that service of the notice of application which statow the purpose of

maining information required by avouabihty of the application er &e ePplication and speciflee the

ll 90.341a) and tin the case of a nucle- environmental report has been location at which the proposed activityer power reactor) 50.34a of this chap- cosapleted along with a list of names would be conducted.-

ter. and addressee of those esecutives upon -

(4) The informataan required for whom the notice was served, e)(1) Upos receipt of the antitrustpart two or part three shall be sutunit. ~

etion responsive to Regulatoryted during the period the partial docl- Guide 0.3 submitted in connection wHbsion on part one is effective. Submittal,f (c)N notice published in the Federal an application for a facilot ting

j

announcing docketing of theof the informauon required for part ; antitrust information portion of an license under section 103 o Act. thethree may precede by no snore than ; application for a facihty construction Director of Nuclear Reactor Regulationsia months or follow by no more than w W 6e M oiNodear Marialsix months the sutwalttal of the infor. ~ prmit under section 103 of the Act,

Seg, and Safeguards. as appropriate.snauen required for part two. * eAcept for those applications described(5) Part four,' which is only required in i 1101(e) and $2.102(d)(2) shall state shau ubush in ne Federal Rehter and

when the applicauen is for a construe that: in appropriate trade joumals a " NoticeLion permit for a nuclear power reac - of Receipt of Operating 1.icenseter, shall include any information re ,,, Antitrust Information." The isotice shatquired by 6 50.33s of this chapter and g invite persons to submit, within thirty i

shall be filed in accordance with the (1) The peruon of the applissuon 2 (30) days after publication of the action, iJiane periods speelfied in i St.33a. fuod contains the inforniaHon request, ; comunents orir. formation concerning the

ed by the Attorney General for t,he a antitrust sapocts of the application to,,

(b) After the applicaties bee been purpose of an anutrust review of the 0 assist the Directorin determining. ;

docketed each applicant for a liconee for ; application as set forth in Appendix Lpursuant to section 10Sc of the Act.

' receipt of weste radioactive meterial le Part Se of this chapter.' whether significant changes in the '

been other for the pwpose of it) Upon receipt and acceptance for beenen's activities or proposed )a dorkeung of the runnining poruons of activities have occurred since the |y commercia disposal by he waste' *'*" 8 h rashologi* esepletion of the previous antitrust ): beenese emosyt applicante * m8 heel saf W mWew la manecuon wie 6e

. oempi, wi et of this depter, who musttal.ma,tters, not ,,,of rec.e pt --imcam armit m -nos aan Ipart*

-,b w of is ,u oe ed in u,e ema . so,e,sa in.*;section, aball serve a copy of the eluding an appropriate nouce of hear- also state that persons who wish to beve

appbcation and environmental report. se lag;and their views on the antitrust a ofappropriate, on the chief executive of the application considered by NRCthe municipality he whid the activity is and presented to the Attomey Ceneralto be conducted er,if the activity le not for considerstlos abould submit and

views within thirty (30) days after* Per a construcuen sermit anoticadon in publication of the notice to: U.S. Nuclear

; four parta, part four shall te fined second intime sence it must precede both parts twoand three br a period of froaa 9 months to 3,

P'*'*-

Apfl M 1992 24

4

-- . ~ . . . - . - - . . _ _ _ _ _ _ _ _ _ _ _ _ _ . - _ _ _ _ . _

_- _ _

.

f 2.101(f)62.101(e) ,.

PART 2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS -~

8 Regulatory f%==taalan Washington. (f)(1) Each application for a license to assembled documents, identified by

j D.C. sages. Attention:Odef. Policy receive and possess high-level docket number. Subsequently,

a Development and Technical Support radioactive waste at a geologic { distributed amendments to theA Branch, repository operations area pursuant to e. application, however, may includeT.- Part 80 of this chapter and any g revised pages to previous submittels

(2)If the Director of Nuclear Reactor environmentalimpact statement g and,in such cases. the recipients will be-

Regulation or the Director of Nuclear required in connection therewith responsible for inserting the revised

Matedal Saf and Safeguards, as 5 pursuant to Subpart A of Part 51 of this pages.

appropdate, reviewlag any [ chapter shall be processed infthis

E ***r*g'd*"*' ""h 'h' ''ovi' ions (e)1s. iendered document will besomments or informatlas received inpa a raph. formally docketed upon receipt by thesospense to the published notice and

any comawats or laformation agarding 3 (2)To allow a determination as to Director of Nuclear Material Safety andthe applicant received from the Attorney whether the application is complete and Safeguards of the required additionalGeneral, concludes that them have been acceptable for docketing. It will be copies.The date of docketing shall beno significant changes since the imtially treated as a tendered document, the date when the required copies arecompletion of the previous antitrust and a copy will be available for public received by the Director of Nuclearmvlew la connection with the inspection in the Commission's Public Material Safety and Safeguards. Withinconstmetion permit, a Anding of eo Document Room. Twenty copies shall be ten (10) days eher docketing, thesignincent changes shall be published in filed to enable this determination to be applicant shall submit to the Director ofIbe Federal Register, together with a made. ; Nuclear Material Safety and Safeguards

-

notics stating inat any request for a written statement that distribution of-

2reevalestion of such Bnding should be(3)If the Director of Nuclear Material the additional copies to Federal. State.

-

subadtted within thirty ( days of Safety and Safeguards determines that " Indian Tribe, and local officials has; publication of the notice. no requests the tendered document is complete and * been completed in accordance with; for reevaluation are received within that acceptable for docketing. a docket requirements of this chapter and written

*

a time, the finding shall become the NRC's : number will be assigned and the instructions furnished to the applicanty Anal determination. Requesta for a : applicant w 11 be notified of the by the Director of Nuclear Material. reevelaation of the no signincant e determination. If it is determined that all Safety and Safeguards. Distribution of

hNds s n $$re . P'' "| or any part f the tendered document is the additional copies shall be deemed to

* incomP ete and therefore not acceptable be complete as of th,e time,the copies arerlRoding becomes final but before the

losuance of the OL only if they contain for processing. the applicant will be deposited in the mail or with a carner

p{ Paid for delivery to the designatedinformed of this determination and thenew infoemation, such as information a nosees.about facts or events of antitrust respects in which the document is _

deficient.significance that have occurred since (7) Amendments to the application-

that date, or information that could not '".i reasonably have been submitted prior to (4)[ Reserved]

and supplements to the environmentalimpact statement shall be filed and

that date. (5)If a tendered document is(3)If, as a result of a reevaluation of acceptable for docketing, the applicant { distributed and a written statement shall

the finding described in paregraph (e)(2) will be requested to (i) submit to the ;; be furmshed to the Director of Nuclearof this section,it is determined that Director of Nuclear Material Safety and c; Material Safety and Safeguards in the

'same rnanrier as for the smdalthere beve been no significant changes. Safeguards such additional co ies of the 3 application and environmentalimpactthe Director of Nuclear Reactor application and environmenta impact

statement.Regulation or the Director of Nuclear statement as the regulations in Part 60Material Safety and Safeguards, as and Subpart A of Part 51 of this chapterappropriate, shall deny the request and require. (ii) serve a copy of such -

shall publish a notice of finding of no application and environmentalimpactsignfReant changes in the Federal statement on the chief executive of the

- 'Register.The notice and finding become 3 municipality in which the geologicthe Anal NRC decision thirty (30) days [ repository operations area is to be

(8) The Director of Nuclear Materialsher being made and only in the event located, or if the geologic repositorythat the Commission has not exercised E operations area is not to be located Safety and Safeguards will cause to be

sua sponte review. M within a municipality, on the chief Pubbshed in the Federal Register a

(4} |f the Director of Nuclear Reactor executive of the county (or to the Tribal notice of docketing which identifies theRegulation oc the Director of Nuclear organization, if it is to be located rithin g State and location at which theMaterial Safety and Safeguards, as an Indian reservation), and (till make - proposed geologic repository operationsappropriate concludes that significant direct distribution of additional copies g area would be located and will givechanges have occurred since the to Federal. State. Indian Tribe, and local 3 notice of docketing to the governor ofcompletion of the antitrust review in officials in accordance with the that State.'Ihe notice of dv.keting willconnection with the construction permit. requirements of this chapter and written state that the Commission finds that athen the provisions of i 1102(d) apply- instructions from the Director of Nuclear hearing is mquired in the pubhc interest.

MaterialSafety and Safeguards. All Prior to issuance of a construction~

such copies shall be completely authorization, and will recite the matters,

specified in i 1104(a) of this part.i

|

|

|

i

27 April 30,1992

,

I

;- - , , . - - ,-

__ __ _ ___ __ . -

,

**

PW 2 o M OF PRACTICE FOR DOMESTIC LICENS#4G PROCEEDINGS . .-.

I h) Each application for alleense toh chief esecutive of the municipality in - | that State and other ofRdata listed la8888tve rensasuve weene from eher which the waew is to be disposed of or. . pareys (g)(3) of this section and,is apersons for disposal under part at af if the we.te le not to be disposed of 3

E envimasuntal report shaRh M, w thin a municipality, serve a copy onres period thereafter, publish lathis chaphe and thethe Federal Radster a metice pursuant to

% in accordance with the proeleiens af elsthe chief executive of the county in | G Llos o5ering opportunity to request awhich the waste is to be disposed of. hearing to the applicant and otherL****s'*ph. (iii) make direct distribution of

*

" (1) To aHow a demenino6es se to additional copies to Federal State. . Leffected pereceswhether the a tien er Indian Tribe. and local officials inenvironmen le complete and accordance with the reqmrements of

9 -- g, g ,gg w this chapter and written instructionsu

5 na''ia'ir '=='ad == a ''ad''** d===='a'- '''" '"' "'''''*' '' *"'a'*d (iv) serve a* ' " ' ' " ' ' '

Safety and Safeguards nE and a nepy wiu be svedeble for publicinspecdon la the Comuniesion's pubhc notice of asailability of the op lication

2 Docuennt Room 2no l, perest NW. . and environmental report on t chiefWash on. D.C. One and two 3 executives or governing bodies of the

.

copia H be Ned to dde municipalities or countin which havea

determination t i be made. E been identified in the application and* environmental report as the location of-

~(i Upon receipt of a tendered all or part of the altemative sites if

*

app ication, the t'a==tadam wel publiek . copies are not distributed under~ In the Federal ReWoler notice of the paragraph (g)(2)(lii) of this section to thehied application and wGl notify the executivu or bodies. All distributedgovernors,legialetures and other copies shall be completely assen: bledappropriate State. county, and municipal documents ident:f ed by docket number.officiale end tribal governing bodies of Subsequently distributed amendments.the States and areas containing er however. may include revised pages topotentially affected by the activities at previous submittels end. in such cases.the p ette and the alternative the recipients will be responsible foraltes. Commiselon wGIinform these inserting the revised pages. In complyingofficials that the Coounisolon staff wiu with the requirements of paragraph (8)be available for consultation pursuant to of this section the applicant shall noti 81.71 of this che .The Federal make public distribution of those parts

. Regleter notice note the opportunity ,of the application subject to i 2.790(d).* for interested persons to subenit views*

and comments on the hademg (3) b tendered document wiu be"

= application for consideration by &e f really docketed upon receipt by the* Commission and a licant. N Director of Nuclear Material Safety andM Commiselon wiB a not the U.S. 8"I'88.ards of ee requimd ad&uonal

Bureau ofIndian Affaire tribal copin.Distribudon of ee addidonalgoverning bodies are notiSed. : copies shaU be deemed to be complete

(ii) h Commission will also poet a as of the time the copin am depoonedpublic notice in a newspaper or in the mall w with a canier pmpaid fornewspapers of general circulation la the delivery to the designated addressees.affected States and areas summarising b date of docketing shall be the dateinformation contained in the applicant's when the. required copies am receivedtendered application and noting the . by the Dimekt of Nuclear Makstalopportunity to submit views and ; Safety and Safeguards. Within lea (10)

e eher docketing, the appucent shallcommente. e* su t to the Dimetw of Nuclear(iii) When the Director of Nuclear

Material Safety and Safeguarde : Material Safety and Safeguards adetermines that the tendered 6 -t wrinen stakmenW detreu6co of &ele complete and acceptable for additional copies to Federal State,docketing, a docket number wiB be Indian Tribe, and local officiale hasassi and the applicant wiu be bus complekd in accordance wthnoti ed of the detenninetion. Ifit is mquimments of &ls secdos and wrHtesdetermined that au or any part of the instructions furalahed to the applicanttendered document is Iwamptale eag the Dimeter of Nuclear Materialtherefore not a ble for procusing. and Safeguards.the appucant wGI informed of this (4) Amiendments to the applicationdetermination and the aspects in which and environmental report shau be Blodthe docuanent is delicient. and distsibuted and a wruun statement

shau be furnished to the Director of-

(2) With respect to any tendered Nuclear Material Safety and Safeguards-

document that is acceptable for la &e same meanw w fw b inidala cadon and environmental W2 docketing. the applicant will be

} line Director of Nuclear Material |3 requested to (il submit to the Director of Sai and Safeguards wGl came k kz Nuclear Material Safety and Safeguards pu in b Feeleral asuch addiuonal copies as the regulations i

g in (Nrt et and Subpart A of part M of nonce of dockedag which una t$s !

State and location of the proposedthis chap'er require. lii) serve a copy on waste disposal facility and wu! givenodce of docketing to the governor of ,

1

April 30,1992 28

i

- -. ,- _ ._ ___ - - .-

2.104(at-

2.102(a )

PART 2 RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS "~~

g g,ge Ad. gal ,auve review of appl 6ca. (3) The Director of Nuclear Reactor (b) If the Director of Nuclear Reac-Regulation or Director of Nuclear Ma- ter Regulation or Director of Nucleargen.terial Safety and Safeguards. as appro- Material Safety and Safeguards, as ap-

(a) During review of an application priate, will cause the Attorney Gener. propriate, finds that an applicationby the staff, an applicant may be re- ars advice received pursuant to para -does not comply with the require-quired to supply additional informa- graph (dM1) to be published in the O ments of the Act and this chapter heLion. The staff may request any one PtosaAL RactsTsa promptly upon re 2 may issue a notice of proposed dentalparty to the proceeding to confer with ceipt. and will make such advice a part [ or a notice of dental of the applicationthe staff informally. In the case of a of the record in any proceeding on . and inform the applicant in writing of:docketed application for a construc* antitrust matters conducted in accord * * (1)The nature of any deficiencies ortion permit or an operating license for ance with subsection 105c(5) and sec- the reason for the proposed dental ora facility. the statf shall establish a tion 189s of the Act. The Director of the dental. andschedule for its review of the applica- Nuclear Reactor Regulation or Direc- (2) The right of the applicant totion, specifying the key intermediate ter of Nuclear Material Safety and demand a hearing within twenty (20)steps from the time of docketing until . Safeguards, as appropriate. will also days from the date of the notice or

, the completion of its review. ' cause to be published in the PsssaAL such longer period as may be specified i.

(b) The Director of Nuclear Reactor " Racistra a notice that the Attorney~ Regulation or Director of Nuclear Ma K General has not rendered any such ,in the notice.a

terial Safety and Safeguards. as appro- I advice. Any notice published in the .,

& priate, will refer the docketed applica a PsDasAI. REGIsTsa pursuant to this HsAarmc ou Arrt.tcation-How,, Lion to the ACRS as required by law subparagraph will also include a notice g ,,, gay,,

and in such additional rases as he or of hearing, if appropriate. or will statea

the Commlaston may determine to be that any person whose interest may be 8 2. led Neuce of hearing.appropriate. The ACRS will render to affected by the proceeding may, pur- (a) In the case of an application onthe Commission one or more reports suant to and in accordance with which a hearing is required by the Actas required by law or as requested by 9 2.714. file a petition for leave to in- or this chapter, or in which the Com-

tervene and request a hearing on theantitrust aspects of the appilcation. ~ mission finds that a hearing is re-the Commission.The notice will state that petitions for :: quired in the public intenst, the Sec-(c) The Director of Nuclear Reactorleave to intervene and requests for : retary will issue a notice of hearing toRegulation or Director of Nuclear Ma.

be published in the PtosaAL Rocastsaterial Safety and Safeguards, as appro- hearing shall be filed within 30 days as required by law at least fifteen (15)priate, will make each report of theACRS a part n! the record of the dock, af ter publication of the notice. ~ days, and in the case of an applicationeted application, and transmit copies - " concerning a construction permit for a

facility of the type described into the appropriate State and local offi- i 50.21(b) or i 50.22 of this chapter or a F

cials' testing facility, at least thirty (30)days, prior to the date set for hearing'"'

'"',33,3,,,u.g ,,,,,,,,,,,,in the notloe.'gyp,, g,,,,,os spesias nussear meterial,e

. ,

(d)(1) Except as provided in paragraph and operator seenses. - In addition in the case(d)(2) of this section, the Director of (e)If the Director of Nuclear Reactor of an application for a constructionNuclear Reactor llegulation nr Director Reguletion or the Director of Nuclear permit for a facility of the type de-of Nuclear Material Safety and Material Safety and Safeguards, as scribed in i 50.22 of this chapter. or aSafeguards as appropriate, will refer appropriate, finds that an a lication for testing facility, the notice (other than

a notice punuarit to paragraph (d) ofand transmit a copy of each docketed a byproduct, source, specia uclear Wapplication for a construction permit or material, or operator license complies ,"I sh, gte e appicati has operating license for a utilisation or with the requirements of the Act, the been docketed Provided. That Lf theproduction facility under section 103 of Energy Reorganisation Act. and this Commission. pursuant to i 2.101(ax2),

*

the Act to the Attorney General as cbspter. he will issue a license. If the ' decides to determine the acceptabilityrequired by section 106c of the Act, license is for a facility, or for receipt of of the appilcation on the basis of Ita

(2)na requinments of paragraph waste radioactive material from other technical adequacy as well as com- r

(d)(1) af this section do not appfy to an : pleteness, the notice shall be issued asapplication for an operating bcense for a * persons for the purpose of commercialdispaal by the waste disposallicensee. soon as practicable after the applica-production or utilization facihty under ; or if it is to receive and possess high- tion has been tendered. ;

" section 1al of the Act for which the ' level radioactive waste at a geologic |_

E constnoction permit was also issued repository operstions area pursuant toE under section 10A unless the Director of Part 90 of this chapter, the Director of

| ~ Nuclear Reactor Regulation or the Nuclear Reactor Regulation or the'

* Director of Nsclear Material Safety and Director of Nuclear Material Safety andSafeguards. as appropriate, determines. Safeguards, as appropriate. willinformafter comeultation with the Attorney the State, tribal and local officialsGeneral and tn accordance with specified in 6 |L104(e) of the issuance of| 231(e), that such review is advisable the license. For notice ofissuance ,it the nouce of hearins conserntas an

on the ground that significant changes in requirements for licenses leeued appineauan for a construcuen persatt for athe licensee's activities or proposeo pursuant to Part et of this chapter, ese facility of the type desersted in I to.ticht er

Iso.2 of this chaoser or a tesuns rectutyactivities have occurred subsequent to ,5 2.106(d) of this part. een not specur the ume and p6 ace er iniual,

the previous review of the Attorneyr. hearens. a sutimeouent nouce will be pute

'

General and the Commission under ushed in the h hierse em win '

section 10$c of the Act in connection . provide at i.ast thirty (sei ears nouer of !

with the construction peran. * the tkne and place of that heartns. After; this nouce to seven the presistas effleur usay

reachedult the coaunencement of the knttalI hearing for a later date or reconvest a re- ,

esmsed hearing without asaan provtdingj- thirty (3s) days notice. .

29 APrH M 1992

|_ _ _ . . - . _

_ _ - . . - ~. _ _ --. - - - - - _

. - . _.

PART 2 o RULES OF MUCTICE FOR DOMESTIC LICENSING PROCEEDWGs ... ,

t

"''

'the nottee og (3)Thet. regardless of whether thestate: ,, proceeding 6e contested or uncontested.

*>

tt) The tiene, plass, and mature of a gthe prooiding omcer will. in accordancethe heerens and/or preheartas confer. 2 (iii) Whether the applicent le *with Subpart A of Part 81 of thisenee,if any: **8aascially quehfled to and [ chapter. -

43) The authority under wheek the e ,seestruct the proposed fa ty; li Determine whether the I

*requ)irements of section 102(2)(A). (C)e

is heed '

g 9, sensidered; and and (E) of the Etional Environmental

Pohey Act and Subpert A of Part 81 of=|- (4) The temme within which answers "

this chapter have been corr. plied with in ;; to the notees shall be filed. the p-"

> - -i

th) In the same of an appuention form;; a construeuen persait for a feellity en s=

-

-

which the Act requires a heartas, une (iv) Whether the issuanee of amouse of heartas wiu, essest es pre. 2. permit for the seestrueuen of the fa- '

veded in paragraph (d) of this escuen "eWty will be laiminal to the esenmen (ii) Independently consider the finaland unless the h= hema deteruninas adsfense and escurtty er to the health c halanne amans - T M feetere een- -;d r

otheretos, state, in haplearantatten of :;and safety of the gnabus; |||tained in the record of the pNesedias !parasraph(ex3)of thisescuen. 4 a with a view to determinans the appro-

(1) That, if the presseding is a serv !priate aetaan to be taken; ased ,

tested preessetas. the presidens offs. * (v)|f the opphcation is for a 2 (W) whether the coe. jeer will eensider the fenowing issuus:e coristruction permit for e nuclear power ,,8'""8 [ ~]. reactor, a testing facihty. e fuel ,te protect enetrenssental values.

W reprocessing plant. or other facihty|,

* whose construction or operation has- *

(1) Whether in accordance with the a been determined by the Commission toproviolons of I 80.3Na) of this chapter * ' have e significant impact on the (c) In the case of a4 appilastaos. for

(s) The applicant has described the I environment, whether.in accordance an operatens Heense in which a hear-proposed design of the faciHty,includ- with the requirements of Subpart A of tag will be taeld, time notice of heartasins, but not Hmited to, the principal 'E ''''8't as provided in parasmaharchitectural and enstneerins criterta Part 51 of this chePter* the construction

(d) o' f this emeteen and unless the Cesa- |for the design, and has identified the permit should be issued se proposed' . ahum deternhas ethrwho, atm bmajor features or components incorpo. I hapleenentataan of parasraph (ax3) ofrated therein for the protection of the * this asetion, that the proeidens offiserhealth and safety of the public; $>f 2) That,if the proceedmg is not a contested E stu eensider any matters in contrent.

(6) Such further technical or design proceedmg. the presidmg officer will ! ey annons the parues and unay, whereinformauon as enay be reeutrod to determme. he or she deterusines that a sorteussemplete the safety analysis, and safety, environsmental, or ensusnon do.which can reasonably be left for later (i) Without conducting a de novo. fense and escurtty matter has not beeneensaderauon will be supplied in the evaluation of the application. whether raised by the parues, consider ruehfinal safety analysis report; the application and the record of the pr matter within the purview of.

(c) Safety features or components. ii . proceeding contain sufficientgany, which require research and devel* mformation, and the review of the -- osunent, how bun desenbod by theO appucant and the appikant has identi- application by the Commission's staff (1) Whether there is reasonable as-

that omstrucum of LM 'acW-8 fled, and there wW be conducted. a r,. has been adequate to support Ly vlH be substanunur completec. er: asearch and development program res. affirmative findings on (b)(1)(i) through tassely basis, in confernsity with the

a,sormbly dentsned to resolve any safety (iii) specified in this section and a construeuen permit and the applien-!i

.euseuens associated with such fen-tures or components; and negative finding on (b)(1)(iv) specified in uen as assended the provisions of the 1

(d) On the basis of the foregoins, this section proposed to be made and . Act, and the msulauens m thh %g,,,,

there is reasonable assurance that (s) the issuance of the construction permit ;;; <s) Whether the feeHity wiu c. 6 rateauch safety questions wiu be osualme. f proposed by the Director of Nuclear - in conformity with the applicat on as

d

teruy resolved at or before the latest |;; Reactor Regulation or Director of | - the provtsions of the act.date stated in the application for com- Nuclear Material Safety ano Safeguards - and the meulauens la tah chapter;pletion of the proposed facility; and *

un taktns into considerauon the one as appropriate, and (3) Whether there is.reasona.11 as-suranse: to That the asuvtues t he

ertierta contained in Part too of thm (ii)If the application is for a autherteed by the oportuns ueenseshapter. the proposed factitty can be construction permit for a nuclear power en be conducted without ont as .trinsconstructed and operated at the pro- reactor, a testing facility. a fuel the health and anfety of U e rhue,pened location without undue risk to processing P ant, a uranium enrichment and un that such muss M * comlthe health and safety of the pubhe; r dueted in esmpHanee with the asub

(ill Whether the appucant is techn!- .crility, or other facility whose p a tah chapter-cany quanfled to deusn and construct coneruction or operation has beenthe proposed facihty; dete* mined by the Commission to have

a silnificant impact on the environment,whether the review conducted by theCnnmission pursuant to the National

.houes m te ovi are une emise pensioist k.nvironmental Policy Act (NEPA) hasne taie anemie mierer Asa et lose es amans been adequate.es. assue m a the moue puoment is une me, ._

unmal Emetrensmontal Pehey Act of tem.

April 30,1992 2 10

- . . . . . . _ _ _ _ _ _ _ _ _ . _ _. - .-. -- . -

.

2.104(e) PART 2 o RULES OF PRACTICE EOR DOMESTC UCENSING PROCEEDINGS .+

|1 Commission or by the Chief Adminis f-I trathe Judse of the Atomic Safety $ ra(2) Ahoenn forreceipt dwash"" 44) Whether the applicant le dioactive material hem other persons '

technically and financially quehfied to el.engage in the activities to be authorized LIjeying go,g, y oge ,, g g,

by &e week disposallicensee.,|, by the operating hcense in accordance consider and decide whether the activ a

I with the regulatione in this chapter, E Itles under the proposed license would licensesissued under Part et of thie I

3| emoept that the leeue of financial y create or maintain a situation incon- (chapter shall be oc noticed.with the antitrust laws de -s gealdication shell not be considered by

[sistentseribed in section 10Sa of the Act; and(3) An amendment of a license speel-the Freelding officer in an operating: lleense beenng if the applicant is an 2. fled in paragraph (a) (1) or (2) of this

electric utility seeking a license to 44 i That mattere of radiological health a section and which involves a signifi--

operate e utilization facility of the type and safety and common defense and . cant hazards consideration;S

described in | 50.21(b) of I 80.22; security, and mattere raised under the a

National Environmental Pohey Act of I~

I }$) Whether the applicable provlS 1900,willbe considered at another . (4) An amendment la an operaaiog*

license for a facility hcensed under3, sions of Part 140 of this chapter have a bearingif otherwise requiredorordered1502t(b) or I 50.22 of this chapter er forbeen natisfied; " to be held for which a notice wl!! be

(6) Whether issuance of the license published pursuant to paragraphs (a) a testing faciWty, se follows:om will be inimical to the common de- and (b) of thle section.unless otherwise (ilIf the Coevnission determines;; fense and security or to the health authorised by the Commiselon, under i50.58 of this chapter that the

amendment it:volves no significantgar.d safety of the public; and -

hasards consideration. though it will(e)He Secretary will give timely(7)If the appbcation is for an notice of the beertag to all parties and to provide r$tice of opportunity for a

operating license for a nuclear power other persosa,if any entitled by law te ; heanng pursuant to this section.11 may t

reactor, e, testing facihty. or a fuel notice, ne secretary will treasmit a ; make the amendment immediately

n tice of heanns on an application for o g effective end gram a hearing thereafteneo rat n a been det ned 12cente f f a production or utilisation or

*(tillf the Commission determinesa by the Commission to have a significant facility, for a license for receipt of weste *

impact on the environment. whether, in radioactive smetonal from other persasis under i 50.98 and I 50.tri of this diepter,

PwPeneef cmancial &sposal h an emqmcy he uMs off

bpar A o art 5 of t s c aFter the by the waste disposal heensee, for a that exigent circemetences exht and

operating jcense should be issued a'sliaanse unde Put et of this chapter.far that the amendment involves nog

_propo*ed- a heense to receive and posamme high., signincent hazarde consideration. M will

level radaeactive waste at a geologic provide notice of opportunity for a-

(d) In an application for a construc- repository opaestions aru pursuant to hearing purseent to i 2.106 (if a hearing

Part 60 of this chapter, and fore Boonsa. is requested, it wff! be held efter

quired by the Act or this chapter or in 5 undna Part 72 of thischapter toacquire. _ issuance of the amendmerrt):a f ac it o a i a cari g s re-

( which the Commission finds that a ;;; receive os possess opent fuelfor the m A lh M receive and possesshearing is required in the public inter- c: purpose of storage in an independant high level radioactive waste at a geo-

spent fuel storegs installation (18FSI) to logic repository operations area pursu-O est to consider the antitrust aspects of '2 the governee or other appropriatethe application. the notice of hearing ant to Part 60 of this chapter;

will unless the Commission deter- official of the State end to the chief ;a, (6) An amendment to a heensemines otherwise, state: esacutive of the menacipality la which"

(1) A tirt.e of the hearing. which mill the fecihty la toherlocated or the specfried in peregraph (s)[5) of this.

be na soon as practicable after the re- activity is to be coeducted er.if the ; section, or en amendment to a*

ceipt of the Attorney General's advice facihty is not to belocated or tha construction autherfzetion granted inand comphance uith sections 105 and activity ==Aramt within a E proceedmgs on en apphcation for such a189a of the Act and this part;* municipality, to the chief exscative of I license, when such an armendroent(2) The presiding officer for the the county (se to the Thbal osynnkmeum * would enthorire actions Miich may

hearing who shall be either an admin- if it is to be ao located or conducted significantly affect the health and safetyistrative las judge or an atomic safety within as kadies reservatten).ne of the pubhe:

~

and licensing board established by the Secretary will transart a nstice of M A heenee under W2 N--

hearing on an application for a licenas chapter to acquire, recaise r possensto the 1't$rn'ie$er' abet of N 'u" am'"e'n"d.under Part 72 of this chapter to acquire, sput ful for the purpose storage in

. ' '

ed. insue <7)is the issue pursuant to the Ns. receive or possess spent fuel. high-leveg an indepmanat spent ful ste8 agetional Environmental Pohey Act of 1969. radJoactive waste or todioactiva installation [lSFS([ or to acquire, receis e

*As permitted by subsection 10Sc of the material at sociated with high-level or posses & Spent hel. high-levelAct. sith respect to proceedmts in shich an radioactive waste for the purpose of

radioactive waste w radioectiveapplication for a construction permit sas atorage irl a monitored retrievable - material associated with high-leveffiled prior io December 19. 1970. and pro-storaI' instellation (MRS) to the same $. redsoective waste for the parpose EIceedmas in thich a sritten request for anthpef *ons who received the notice of n storage in a momtored retnevabjetrust revies of an application for an operat-

ing license to be issued under section 104b dodetmg under | 72.16(e) of this E storage bstaHahn WM)has been made by a person she intervened chapter'

Q (8) An amendment to a heenseor sought by timely sritten nottee to the-]2.105 Notice of proposed action. speciLadin paragraph (a)(F)of thsCommtssion to intervene in the construction

section when such an amendmentpermit proceeding for the facility to obtam (a) If a hearing is not required bypresents a genuine issue as to wbh,lla determinst6on of antitrust considerstnons

or to advance a jurisdictional basis for such : the Act or this chapter, and if the the health and safety of the public widetermination s'tthm 2$ days after the date a Cornmission has not found that aof publicatic > m the FEDERAL REC 1 STER or E hearing is in the public interest,it will, be alpi6amedy admcted; or

(9) Any other license or amendmentnottee of films of the appheatlon for an op [ prior to acting thereon, cause to beas to which the Commission deter-

r is laYeEtUe a\ ue$ ' published in the FEDERAL RrcisTra a mines that an opportunity for a publico iss notice of proposed action with respectconstruction permit or operstms license hearing should be afforded.shich contams the condations specified m to an application for;I S0 S$b of this chapter before the antitrust (1) A !! cense for a facility; 00)1n the case of an app!! cation for

an operating license for a f acility of aaspects of the appheation are fmally re-solved

2 41 APfil N E

-___-_ _ _ _ _ _ _ __-____ _ -- ___ . - . -_ .

. _ _ . . _ _- __. __ _ _ _ _ _

*iI

2.105(s)mRT 2 o RIA.ES OF PRACTICE FOR DOWSTIC LICENSING PROCEEDINGS . . .2.107(c) . .'

1

type described in i 60.21(b) or 150.23 (3)If a request for a hearing or a pe.~ (c) The Director of Nuclear Materialof this chapter or a testing facility, a tition for leave to intervene is fuednotles of opportunity for hearing shau within the time prescribed in the Safety and Safeguards will also cause

he lesued as soon as precucable after, notice, the prealding offleer who shall to be published in the Proamas. Raoss- 'ten notice of, and w!!! inform thethe appuestion has been docketed,

lii)1n the case of an application for be en Atomic Safety and Licensing - State, local, and Tribal officials speel-, a lleense to receive and possess high. Board established by the Commission 3 fled in i 2.104(e) of any action with re.3 level radioactive waste at a geologic re. .,, of the Atomic Safety and Licensing aor by the Chief Administrative Judge " spect to, an application for a license to2 peeltory operations area, a notice of 3 Board Panel. will rule on the request ' receive and possess high level radioac.

E *by this paragraph. shall be pubushed a the presiding officer will issue a nottee*portunity for hearing, as required ; and/or petition, and the Secretary or *. tive waste at a geologic repository op-erstions area pursuant to Part 60 ofIl this chapter or for the amendment toprior to Cammammion action author 6 of hearing or an appropriate order. auch license for which a notice of pro-leing receipt of such westes, this re-3 The presiding officer designated to posed action has been previously pub-eutresnent is in addition to the proce. rule on a request or petition concern- lished.dures set out la 13.10)(f MS) and lag the antitrust aspects of an applica. -

t 3.104 of this part, which provide for tion may be either an Administrative -

a hearing on the application prior to Iaw Judge or an Atomic Safety and (d) The Director of Neclear heaterialissuance of a construction authorisa. Licensing Board.and Safegeards will also coese totion. -

be la the FederalRedster ..

E .tf) Applications for facility licenses : motico ef, and wtB inform the State ande

2 (b) The notice of proposed action under section 103 of the Act and for ; locatedRcialsortribalgoverningbodyg will set forth: facility operating licenses under sec r speclRedia lt.104(eJ of eaylicensing

tion 104b of the Act as to which any * acticewith toepeat to alleense to.,,

't-. ; person intervened or sought by timely ; receive radioacuve waste bom other.

written notice to the Commission tointervene in the construction permit persons for disposal underpart 31 of,"*

gthis ter or the amendment of such a

* S proceeding to obtain a determination(1) The nature of the action pro. of antitrust considerations or to ad- Boones which a notice of proposed*

.

a posed. vance a jurisdictional basis for such acuan has been previoW pubhohed,'determination are also subject to the

E provisions of || 2.101(b) and 2.102(dL.N

8 2.107 Withdrawal of application.--

(a) The Commission may permit ang (2) The manner in which a copy of 8 2.138 Notice of issuance. applicant to withdraw an applicationthe safety analysis and of the ACR8; report. If any, may be obtained or ex. (a) The Director of Nuclear Reactor

hearing on such terms and conditionsprior to the issuance of a notice ofg

Regulation or Director of Nuclear Ma, a{asnimd. terial Safety and Safeguards, as appro. as it may prescribe, or may, on receiv-

priate, will cause to be published in g ing a request for withdrawal of an ap- (""

(c) If an application for a license is the ytormA1. Raorstaa notice of, and * plication, deny the application or dis- |S

complete enough to permit all evalua. , will inform the State and local offi. ~ miss it with prejudice. Withdrawal of |

tions, other than completion inspec. cials specified in i 2.104(e) of the issu- an application after the issuance of a ition necessary for the issuance of a notice of hearing shall be on such I

ance of. ' ense or an amendment of aterms as the presiding officer may pre- |

~

2 cons,truction permit and operating 11. ge (1) A lica conse, the notice of proposed issuance : license for which a notice of proposed - |

I of a construction permit may provide action has been previously published; ,,

that on completion of construction anda,

and inspection the operating Ilcense (2) An amendment of a license for a (b) The withdrawal of an application !,will be lasued without further prior facility of the type described in does not authorize the removal of anynotice. 3 50.21(b) or i 50.22 of this chapter, or document from the files of the Com. ,

6a testing facility. whether or not a(d) The notice of proposed action notice of proposed action has been { mission.(c) The Director of Nuclear Reactor* will provide that, within thirty (30) previously published. Regulation or Director of Nuclear Ma.

3 days from the date of publication of "|: gterial Safety and Safeguards, as appro.w

- the nottee in the FrosaA1. Reorstra, or (b) The nct[ ice of lasuance will set ; priate, will cause to be published in8 such lesser period authorised by 1sw as forth: the PEDamAr. Racistsa a notice of the;

I the Coenmission may specify: t

(1) The nature of the license or withdrawal of an application if notice.

(1) The appilcant may file a request amendment; of receipt of the application has been ;"

for a hearing; and ||| (2) The manner in which copies of oreviously published. ;;

f (t| Any person whose interest may be - the safety analysis, if any, may be ob-" Itained and examined; andt a!!ectet oy the proceeding may fue s (3) A finding that the app!! cation for !

t

a request for a heerify or a petition for the license or amendment compliesi leave to intervene N a bearing hos with the requirements of the Act and{already been . 2 this chapter.~ = .

(e)(1) If no request for a hearing or ,'

!petitles for leave to intervene is filed |within the time prescribed in the '

nottee the Director of Nuclear Reac.* ter Regulation or the Director of Nu-a clear Material Safety and Safetuards.E as appropriate, may take the proposed3 action, inform the appropriate State

and local officials. and pub!!ah in thePasemat Rooserna a notice of issuancegf the license or other action.

Apr5 30,1992 N2-

1

?

_ _ _ _ _

!

. - _ . . . . -

1-

"

MUTT 2 e RUL.ES OF PRACTEE POR DOMESTIC UCENSING PROCEEDINGS . . .'

t iune rm.g aw w.a.wrou e . rue. "is.se1 meses * *en on.g 3.148 Dental of asphaestem fw h to en embmeuela for desism retow e' (a)In response to an alleged violationW earty neew of she sahabesty I""" of any provision of the Act or this i

pe in O of 2 18 no r issued by the Co e on. the,,shall be subject to il 3.101(a) and Commission may serve on the licenseea prhie. may deny an appumiaan if an 2390 to the same entent as if it were8 appliennt fans to mayond to a request or other person subject to the

Ifar additional hfocusauen within an appilcauen for a permit er license. on of ee Commissin a Mteng M yM'' tWty (30) days ime the date of the gp y g Appen. notice of violation; a separate noticemenest, or within such other time as diz Q to Part $2 of this chapter, a sub. may be omitted if an order pursuant to

.may be specined mittal pursuant to Appendia Q shall l 2.202 or demand for informationbe subject to I 1.101(a) (3) through (4) pursuant to i 2.204 is issued thatto the same estent as if it were an ap- otherwise identifies the apparent

,ylicauon for a permit or license violation.%e notice of violation will=

concisely state the alleged violation and(b) The Director of Nuclear Reactor -

(b) Upon intuation of rev6ew by theRegulauon or Direcur w Nuclear Ma. will require that the licensee or anystaff of a submittal of a type describedtartal Safety and Safeguards, as appro-in a f p gg

cause he pu days of the date of the notice or otherpty e o

denial when neuce of reestpt of the Lion shall publish in the Fumanat Rao- 8Pecified time, a written explanation orappumanaa has previously been pub. totum a pouce of receipt of the submit- statement in reply inclu :

lished, but no nouce of hearing has tal. Anytting comments from interested (1) Cornctive steps whi have beenyet been pubushed. 'fhe mouce of persons within 60 days of publication taken by the licensee or other persondenial will provide that, within thirty or such other tima as may be specified. and the results achieved;(30) days after the date of publ6cauon for consideration by the staff and (2) Corrective steps which will be

- ACR taken; andE <c)S in their review' of review by th'. In the Passaat Rasterus (1) the appil.

upon completion (s) he date when full compliance will*: cant may demand a hearing, and ( >" any person whose interest may be af- ff staff and the ACR8 of a submittal ofa facted by the prooseding may file a pe- the type described in paragraph (aM1) be achieved. ,* lluen for leave to intervene. of this secuen, the Director of Nuclear (b) De notice snay mquin theS (c) When both a nouce of receipt of Reactor Regulation shall publish in licensee or other person subject to the

the application and a nouce of hearing the FrosaAL Racastsa a determtnation jurisdiction of the Commission to admitheet been published the prealding of* as to whether or not the design is ac- or deny the violation and to state thefleer, upon a modon anade by the staff ceptable, subject to such condluons as reasons for the violation,if admitted. Itpursuant to 01.'f80, will rule whether may be appropriate, and place in the may provide that. if an adequate reply isan appucauon should be denied by the Public Document Room an analysis of not mcehed MthM the h Wfled MDirector of Nuclear Reactor Regula. _the design in the form of a report. E the notice, the Commission may issue antaon or Director of Nuclear Maternal

E order or a demand for information as toSafety and Safeguards, as appropriate. 3 1.111 prehlb6tica et ses desertsnamousa.

No person shall on the ground of sex why the license should not be modified.8""""*I * 8"#*8 N "E be excluded from participation in, be suspended or revoked or why such otherE denied a license under. be denied the action as may be proper should not be'*

E benefita of, or be subjected to discrimi- taken. j-

g 3.100 Rffect et tasty renewal g nation under any program or activityam carried on or receiving Federal assist, j 1.302 Orders.

ance under the Act or the Energy Re* (s)he Commission may institute a(a) Except for the renewal of anreting hcense for a nuclear power -* * * * " ' " " * * Proceeding to modify, suspend. or

revoke a license or to take such other |t under 10 CFR 80.21(b) or 80.22. if. -lobpert E 4recedere for lanpningat least 30 days prior to the expiretion of Rewirements by Order, or fe, action as may be proper by serving on

the licensee or other person subject to |an existing license authorizing any Modificetion, Suspenslen, e,

activity of a continuing nature. the Revecetion of e License, or fe, the jurisdiction of the Commission animposing Civil Penelties order that will:licensee files an application for a g.

renewal or for a new heense for the (1) Allege the violations with whichII the licensee or other person subject toactivity so authorised, the existing

license will not be deemed to have E (a) We subpart prescribes W pro- the Commission's jurisdiction is"" " ted y charged. of the potentially hazardousI expired until the application has been I pon s u y y p,

conditions or other facts deemed to befinally dettrenined. Impose requirements by order, or to(b)If the hcensee of a nuclear power modify, suspend, or revoke a license. sufficient ground for the proposed

plant heensed under to CF1t 80.21(b) or or to take other acuon as may be action, and specify the action proposed.30.22 files a sufficient application for proper. seminst any person subject to (2) Provide that the licensee or otherrenewal of an operating license at least the jurisdiction of the commlaston. person must file a written answer to the5 years prior to the expiration of the r- (b) 't'hh subpart also prescribes the order under oath or affirmation withinexisting license, the existing license will procedures in cases inluated by the twenty (20) days of its date, or suchnot be deemed to have expired until the staff to impose etvu penalties pursuant other time as may be specifbed in theapplication has been finally determined. to secuon 234 of the Act and section order.

2 of the Energy Reorgantasuon Act(3) Inform the licensee or an otherb '

person adversely affected by orderof his or her right, within twenty (30)days of the date of the order. or suchother time as may be specified in theorder, to demand a hearing on all or partof the order, except in a case where thelicensee or other person has consentedin writing to the order.

243 May M M(toest)

--_ _ _ _ - - - _ _ _ __ __

._

.

PART 3 o nass w PRACTEE M DM LEENSMG MEDMGS m .

(4) Specify the issues for hearing; and immodate effectiveness. An order 32J03 Settisesse sad 1;(6) State the effective date of the setting aalde inunediate effectiveness

order;if the Commission finds that the will be referred promptly to the u ,y ,;,, g , ,w i,,,,,, g ,,

public health, safety, or interest so rhimaton itself and will not be order designating the time and place ofrequires or that the violation or conduct effective pending further order of the hearing in a proceeding to modify, sus-

pend.or revoke a license or for other sc-causing the violation is willful, the order Commission.tion.the staff and a licensee or other per;may provide. for stated reasons, that the

proposed action be immediately E mo(11) De prest officer may, on son may enter into a stipulation for thetion by the et or any otherparty to settlement of the proceeding or the com-

ieffective pending further order. De the proceeding, where good cause exista, promise of a civil pensity. The stipula- |(b) A Mcensee or other person to delay the hearing on the immediately || ties or compromise shall be subject towhom the % umi.aion has issued an effeective order at any times for such : approval by the design 6ted presiding

r

order under this section must twpond to periods as are conalstent with the due * omeer or, if none has been designeced.the order by fihng a written answer process rights of the licensee and other g

,

f under oath or amtmation.De answer affected parties. $8g* ' *i

g shall specifically admit or deny each k d Th Wg omcew if none"

allegation or charge made in the order, ha ban doisued, ik Chid M.and shall set forth the matters of fact minisirstive I,aw Judge, may order '

and law on which the hcensee or other such adpdication of the issues u he may' I

person telles, and if the order is not dean to be required in the public in-==consented to. the reasons as to why the (d) An answer may consent to the terest to dispose of the procee, ding. If ap-pg,g , g g ,, , , , , ;order should not have been tuned. entry of an order in substantially theExcept as provided in paragraph (d) of nn the wi pect se skihbwid in a dai-com

this section, the answer may demand a g , in 'I'" "' "'d'' **"Ii"8 ""d d i'**"'I""I"8_ he proceeding. jt

'' ggother written document, of the licensee

.

f'or other person to whom the order has g3Jed Demand for intermeGeekbeen leeued to the entry of an order (a)no Commission may issue to ashall constitute a waiver by the licens" licensee or other person subject to the ',,,

>(c)If the answer demands a hearing, or other perwn of a hearing. Andings of jurisdictim of the Comrnfulon athe Commission willissue an oger fact and conclusions of law, and of all

designating the time and place of right to seek Commission and judicial demand for information for the purpoosofdeterm whether an order under |. review or to contest the validity of thei 2.202 shoul be issued. or whetherhe .

;eMer in any forum u to those matters'

(1) the answer demands a hearing ohr acum skuld h taka, whichwith respect to an immediately effective E; which have been consented to or agreed demand will-order, the hearing will be conducted 3, to or on which a hearing has not been (1) Allege the violations with whichexpeditiously. giving due consideration roquated. An order that has been ,

consented to shall have the same forcethe licensee or other person is charged. '

to the e of the parties.and effect se an order made after

or the potentially hazardous conditions(2)(i) licensee or other person to or other facts deemed to be sumcient

whom the Commission has issued anburing by a prest omcor or theCommission, and sha be effective as ground for inuing the demand; and

immediately effective order may. in provided in the order. (2) Provide that the licensee must, oraddition to demanding a hearing, at the (ellf the order involves the the other person may, file a writtentime the answer is filed or sooner. move modification of a part so licenu and is a E nswer to the demand forinformationa

the presiding officer to set seide the backfit. the requirements of I 80.10s of 3 (under oath or amtmation within twentyimmediate effectivenen of the order on this chgpter shall be followed. unless 20) days of its date, or such other timethe ground that the order. including the the licensee has consented to the action as may be specified in the demand for

informade.need for immediate effectiveness. is not required.(b) A heensee to whom thebased on adequate evidence but on ~

E mere suspicion unfounded allegations, Comminion has inued a demand forg or error. ne motion must state with information under this section must

particularity the reasons why the order rapond to the demand by filing ais not based on adequate evidence and written answer under oath ormust be accompanied by amdevits or amnnation; any other person to whom

other evidence relied on. ne NRC staff the Commission has imuod a demandshall respond within (5) days of the for information may, in its discretion,receipt of the motion.De motion must twpond to the demand by filing abe decided by the presiding omcor wntten answer under oath orexpeditiously. During the pendency of amrmation. %e licensee's answer shallthe motion or at any other time, the specifically admit or deny eachpresiding omcer may not stay the ausgation or charge made in the demand

immediate effectiveness of the order.for information, and shall set forth the

either on its own motion, or upon motion saatters of fact and law on which theof the licensee or other person. De heensee rehes. A person other than a

presiding omcer will uphold the Bcenwe may answer as described

immediate effectivenus of the order ifitfinds that there is adequate evidence tosupport immedate effectivenen. Anorder upholding immediate effectivenesswill constitute the final agency action on

May 29,1992 2 14

.

e

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . .

above, or by settmg forth its reasons Director for Nuclear Materials Safety, tei if the person charged mith viole-tion rauests a heanns. the commissionwhy the demand should not have been Safeguards, and Operations Support

1 e snsuns W ume[n!issued and. if the requested information or the eo n

is not provided. the reasons why it is not Deputy's designee, as appropriate, shall afi If a heartns la held. an order 31:1provided sette a written notice of violation upon f be tasued after the heartna by the presid-

the pero n chargedAs notice may be g ins ofacer or the comrniasion distnissms(c) Upon review of the answer filed nc uded in a notice leeued pursuant to the proceedtns or imposins. mitisatms.Pursuant to aregraph(a)(2)of this i 2.301. The notice of violation shall or remnittins the elm penalty.ecction. or i no answer is filed, the specify the date or dates, facts. and theCommission may mstitute a proceedmg nature of the aheged act or omission ~ (s) Deputy Executive Director forpursuant to 10 CFR 2.202 to take such with which the person la charged. and Nuclear Materials Safety. Safeguards.g

g action as may be proper. shallindentify specifica the particular and Operations Support or the Deputy's(d) An answer may consent to the o provision or provisions the law. rul*- designee, as appropriate may

entry of an order pursuant to i 2.202 m g regulation. heenee. permit, or cease an compromise any civil penalty, subject tosubstantially the form proposed in the E desist order involved in the alleged the provisions of I 2.203.

demand for information. Such consent E Vi'I* tion and must state the amount of (h)!! the civil penalty is notshall constitute a waiver as provided m M each proposed penal .The notice of compromised. or is not remitted b the

violation shall also a vise the person Deputy Executive Direct for4 2 202(d)~ charged that the civil penalty may be . NuclearMaterials Safety. Safeguards.

paid in the amount specified therein, or and Operations Supportthe proposed imposition of the ctvil @ or the Deputy's designee, as

-

penalty may be protested in its entirety E appropriate, the presidmg officer, or theor in part. by a written answer, either g Commission. and if payment is not madedenymg the violation or showmg withm ten (10) days followmg either theextenuatmg circumstances.The notice service of the order desenbed inof violation shall advise the person paragraph (c) or (f) of this section. or thecharged that upon failure to pay a civil expiration of the time for requestmg apenalty subse vently determined by the hearing described m paragraph (d) ofCommission. i any. unless this section. the Deputy Executisecompromised, remitted. or mitigated, be Director for Regional Operations, or thecollected by civil action. pursuant to Deput 's designee,as appropriate may

, section 234c of the Act. refer t e matter to the Attorney Generalfor ecliection.

(b) Wuhin twenty (20) days of the 2date of a notice of violation or other time (i) Except when payment is made afterspecified in the notice, the person compromise or mitigation by thef

i charged may either pay the penalty in the .. Department of(ustice or as ordered by a, amount proposed or answer the notice of court of the United States, following

g violation The answer to the notice of ;;; reference of the matter to the Attorney*iolation shall state any facts, esplana. r General for collection. payment of civilftions,and arguments, denpng the 7, penalties imposed under section 234 ofg charges of violation, or demonstrating * the Act shall be made by check. draft. or

any estenuating circumstances, error m money order payable to the Treasurer ofthe notice of violation, or other reason the United States. and mailed to the

Director. Office of Enforcement.wh) the penalty should not be imposed"

and may request remission or mitigationLot 6e penalty

{ (c)lf the person charged withviolation fails to answer within the time

3 specified in paragraph (b) of this: section. an order may be issued

imposing the civil penalty in the amount:

; set forth in the notice of violation* described in paragraph (a) of this

L_'uti=.(d)If the person charged with

violation files an answer to the notice ofviolation, the Deputy Executtva Director

e for Nuclear Materials Safety, Safeguards.g and Operations Support or the Deputy'se designee upon consideration of the" answer, willissue an order dismissmsf the proceedmg or imposing. mitigatmg.

or remittmg the civil penalty.The person* i 2.2o5 CMI penarbes. charged may, within twenty (20) days of-

the date of the order or other time(a) Before institutmg any proceed ngto impose a cml penalty under section specified in the order. request a heanns

3 234 of the Act, the Deputy Executive__

.

2-15 April 30,1992

.

2.206(s) 2. WPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

,

~

l 2.300 Roguesta for ec#en uner 9ds ~

M 8 2.403 Notice of proposed action on appl 6(a) Any person may file a request to Subpart C |removedj $1 FR 7744

'''''"' I'' * P"'II "8 Ii''. "''' P"''"*''to Appendit N of Part $2Institute a proceeding pursuant toi 2.202 to modify, suspend. or revoke a In the case of applications pursuantlicense, or for such other action as may to Appendix N of Part 52 of this chap-~

g,g ,,, gy yggg,,,g p, m g ,,,, ter for operating licenses for nuclearpes e o e ecutiv or for "#8 n i fo th a et ng nOperations and shall be filed either (1) 388###8' 'I U8'a8*8 I* C*#8'r#8f public interest, the Director of Nucle-by delivery to the Public Document er Operste Nucleer Power Plents ar Reactor Regulation will, prior to

Room at 2120 Street. of DepH ete Design et Multiple acting thereon, cause to be published.,

Washington. DC. or (2) by mall or $ es in the Ftw.aA1. Rtotstra, pursuant totelegram addessed to the Executive i 2.105 a notice of proposed action5 2.400 Scope of subpart. with respect to each application asDirector for Operations. U.S. NuclearRegulatory Commission. Washington. T subp de ibes p oc soon as practicable after the applica-

tions have been docketed.pi e u sie and I cts which invo.ve the consideration in g 2.404 Hearings on applications for oper-2 that constitute the basis for the request. hearings of a number of applications. (* sting licenses pursuant to Appendia N6 The Executive Director for Operations filed by one or more applicants pursu- of Part 52

ant to Appendix N of Part 62 of this @ !! a request for a hearing and/or pe-E will refer the request to the Director ofchapter for licenses to construct andQ the NRC Office with responsibili for tition for leave to intervene is filedthe subject matter og ge request operate nuclear power reactors of es 3rtthin ther time prescribed in theappropriate action in accordance with sentially the same design to be located

paragraph (b)of this section. at dif ferent sites. notice of proposed action on an appli-cation for an operating license pursu-

(b) Within a reasonable time after a 8 2.401 Notice of hearing on applications ant to Appendix N of Part 52 of thisrequest pursuant to paragraph (a) of this pursuant to Appendix N of Part 52for chapter with respect to a specific,

section has been received. the Director constrwetion permits. reactor (s) at a specific site and theof the NRC office with responsibility for ,jg applic s pu - Commission or an atomic safety and 11-a ntthe subject matter of the request shall 3p , pa ,g censing board designated by the Com-either institute the requested proceeding G chapter for construction permits for miss on r by the Chairman of the

" nuclear power reactors of the type de. Atomic Safety and Licensing Boardin accordance with this subpart or shalladvise the person who made the request E acribed in i 50.22 of this chapter, thePanel has issued a notice of hearing orin writing that no proceeding will be 7 Secretary will issue notices of hearing other appropriate order, the Commis-instituted in whole or in part, with pursuant to i 2,104. ston or the atomic safety and licensingrespect to the request and the reasons (b) The notice of hearing will also

ard may o@ separate Mar @ on (for the decision. state the time and place of the hear- P"' hc

ings on any separate phase of the pro- d e ns i ate hear t orceeding. more proceedings in the manner de-

, scribed in i 2.402.B 2.402 Separate hearings on separate

-1 2.405 Initial decisions in consolidatedlasues; consolidation of proceedings.hearings.(a)In the case of applications pursu.

ant to Appendix N of Part 52 of this At the conclusion of any hearing(c)(1) Director's decisions under this chapter for construction permits for held pursuant to this subpart, the pre-

siding o!!icer will render a partial ini-"section will be filed with the Office of I " # D* * ""# " ##"cr in 22 of t is chapte ththe Secretary. Within twenty five (25)days after the date of the Director's Commission or the presiding officer S """"" Ideelslon under this section that no may order separate hearings on partic. E h fd

' # * "

proceeding will be instituted or other ular phases of the proceeding, such as I has been issued on all phases of thei an it decismatters related to the acceptability ofaction taken in whole or in part, the

, Commission may on its own motion the design of the reactor, in the con- hearing and all issues under the Actgg review that decision in whole or in text of the site parameters postulated and the National Environmental

for the design; environmental matters; Policy Act of 1969 appropriate to thea part, to determine if the Director has _or antitrust aspects of the application. , proceeding have been resolved.S abused his discretion. This review -I power does not limit in any way either 7 2.404 Finality of decisions on separate

the Commission's supervisory power (b) If a separate hearing is held on a issuca-

over delegated staff actions or the pa,rticular phase of the proceeding.the Commission or presiding officers Notwithstanding any other provision

Commission's power to consult with of each affected proceeding may, pur. of this chapter, in a proceeding con-the staf f on a formal or informal basis suant to i 2.'J16, consolidate for hear- ducted pursuant to this subpart andregarding institution of proceedings ing on that phase two or more pro- Appendix N of Part 52 of this chapter,under this section. ceedings to consider common issues re- no matter which has been reserved foro-

consideration in one phase of theE lating to the applications involved in E hearing shall be considered at another

~

O the proceedings, if it finds that sucha action will be conducive to the proper gphase of the hearing except on the

2 (2) No petition or other request for *I dispatch of its business and to the basis of significant new information,

that substantially affects the$ Commission review of a Director's de- ends of justice. In fixing the place of

conclusion (s) reached at the otherany such consolidated hearing duea cision under this section will be enter-[ tained by the Commission. regard will be given to the convenience phase or other good cause,

and necessity of the parties, petition-'

ers for leave to intervene or the attor-neys or representatives of such per-sons. and the public interest.

__

-

April 30,1992246

- . .- _ .- -. - -- - . . --

-,

,

|

' ' #PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

'

e3 2.407 Applicability of other wetions. nuclear power reactors to be manufac- (2) That, if the proceeding is not a-

The proves ons of Subparts A and G tured will be located,and operated. Ex- contested proceeding, the presidingcept as the Commission determines officer will determine (t) without con-

1 relanns so construction permsts andoperaung licenses apply. respectively, to otherwise, the notice of hearing will ducting a de novo evaluation of the ap-construction permsts and operating state.. plication, whether the application and

E incenses subject to this subpart.eacept as the sec rd f the proceeding containS qualified by tht provisaous of this sub- tested P e i 8.i e Pres na f r sufficient information, and the review of i

. art- will consider the following issues 9 the application by the Commission's staff !p

III. Wheiher ahe applicant has has been adequate to support affirmative i

Tobrart E--Additiesel Procedores Ap- described the proposed design of, and findings on paragraphs (b M I)(in through I

pliemble to Proceedings for the is, the site Parameters postulated for, the c (v)of this section and a negative finding |asance of Licenses To Menefactere react r(s) including. but not timited to. !

the principalarchitecturaland engineer. ? on paragraph (b)(1)(vi) of this sectionproposed to be made and the issuance ofNoeleet Power Reesters To Be FOpeessed at Sites Not identified is ing criteria for the design, and has iden- the license to manufacture proposed bythe Licesse Applicaties med Rel- tified the major features or components the Director of Nuclear Reactor Regula-sted Licensing Pressedings incorporated therem for the protection t on, and (ii) whether the review con- *

of the health and safety of the public; ducted by the Commission pursuant to -

i 2J40 Scope of subpers. (ii) Whether such further technical the National Environmental Policy Act

applicable to licensing proceedings quired to complete the design report and-(NEPA) has been adequate.This subpart prescribes procedures or design information as may be re-

which involve the consideration in which can reasonably be left for later - (3)That. regardless of whether theseparate heatings of an application for a consideration, will be supplied in a sup- proceeding la contested or uncontested.

license to manufacture nuclear power plement to the design report; the presidmg officer will. in accordance :

reactors pursuant to Appendix M of Part (iii) Whether safety features or com- with Subpart A of Part 51 and para 8raphu

a of this chapter, and applications for ponents, if any, which require research p 3 of Appendia M of Part 52of this ,

construction permits and operating end development have been described v1 chapter,licenses for nuclear power reactors by the applicant and the applicant has E (i) Determine whether the

requirements of section 102(2)(A). (C)which have been the subject of such an identified.and there will be conducted a g* and (E)of the National Environmentalapplication for a license to manufacture research and development program

Policy Act and Subpart A of Part $1 ofsuch facilities (manufacturing license) reasonably designed to resolve any safety this chapter have been complied with m

questions associated with such features the proceedingh ( 2.541 Notice of bearing es applics- or components.

tien perseest to Appendis W of $ (iv) Whether on the basis of the,

( [ Part 52 for a license to mesefecture R foregoing, there is reasonable assurance ~~ (ii) Independently consider the final-

3 eseleer power reactors. E that (A) such safet) questions will be balance among conflictmg factors con-tained in the record of the proceeding

In the case of an application pur- { satisfactorily resolved before any of theproposed nuclear power reactors are re- with a view to determining the appropri-(a)

suant to Appendix M of Part 52 of this movedfrom the manufacturing site, and ate action to be taken; and |

chapter for a license to manufacturt (B) taking into consideration the site cri- (iii) Determine whether the ;

nuclear power reactors of the type teri: conte;ned in Part 100 of this % manufacturing license should be issued,described in i 50.22 of this chapter to be chapter, the proposed reactor (s) can be R denied or appropriately conditioned tooperated at sites not identified in the constructed and operated at sites having e protect environmental values.license application. the Secretary will characteristics that fall within the site (c) The place of hearing on an ap-*

Iissue a notice of hearing to be published parameters postulated for the design of plication for a manufacturing licensein the FtDE R AL REGISTER at least thirty the reactor (s) without undue risk to the mill be Washington. D C., or such other

(30) days prior to the date set for hearing health and safety of the public; location as the Commission deems ap-

in the notice > The nottce shall be issued (v) Whether the applicant is tech- propriate. {

as soon as practicable after the applica- nically and financially qualified to""~

tion has been docketed. The notice will , design and manufacture the proposed { 2.542 Notice of beerlag om appl 6en- ,

'

sloe for a permit to seestreet al state: reactor (s),

(1) The time, place.and nature of the (vi) Whether the issuance of a license seclear power resetor naamfee--

hearing and/or the prehearing con- for manufacture of the reactor (s)will be tered perseest to a Comadasies*

. . ference; inimical to the common defense and lleesse lassed perseast to Appen-

(2) The authority within which the security or to the health and safety of the dis M of Part 52 of abis chapter etthe alte et wbleb the remeter is to behearing is to be held. public; and

[ (3) The m:.tters of fact and law to beoperated.*

?g considered;and

P (vii) Whether. in accordance with the h The issues stated for ccasideration in(4) The time within which answers to requirements of Subpart A of Part 51 E the notice of hearing on an applicationthe notice shall be filed. and Appendix M of Part 51of this E or a permit to construct a nuclear powerf(b) The issues stated in the notice of chapter, the license should be lasued as nectogs) which is the subject of an ap- ihearing pursuant to paragraph (a) of thissection will not involve consideration of DroPosed- plication for a manufacturing license

i

pursuant to Appendix M of Part 52 ofthe particular sites at which any of the this chapter, will be those stated in i2.104(b) and, in addition. whether the'i n. mm om do ,cq,.,<.<, .. , n n %,es i,i ..o no m n, ni n pon... . ,n,site on which the facility is to be oper-p.esuen n.a. ppis.wie .....u ,,,iheame A anus Ences> At.. tvv .s .mcaded .e

S rIiIer",I.'.IdI.7# = ine nave evn..ai ia the Nia.n.i En r..nmen. sted falls within the postulated site##

.u n. nn nyt p ns.nco ""8 2*'""'*P''"J.asd'"'"* ''' P" M A ' "' " parameters specified in the relevant ap-plication for a manufacturing license.

2 17 Apr# 30,1992 j1

|

.- , - -- - _ , __ _ _ - - _ ___ _ _. _ _ _ _ _ _ _ _

__ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ . __ . _ _ _. _

2.503 2.6051 b)PART 2 o RULES OF PRACTICE FOR DOMESTC LCENSING PROCEEDINGS m .

gg g* 1 1.664 Mesies of beertas se appleameenefee enrer en6re et she esiaehmerg 3.eet - med of heeen.

=

P 88"d** I*' ** '"''' 'II **-

8""*' <ai Where an appucant for a een.I 2.543 FlaalitI of decisions on seEa,. strucuan pensit for a uun==uan facmtr

ta) Bach part et an applicauen sub. subject to em subpart requests na earlyale lasses, y alsted m accordance via 5 3.101(a-18 ' rettew and hearing and an earty partist

Notwithstandmg any other provision % er tNs part om to Smittelty treated as adecastem en leeues et atte suitabstr pur.etendered appiacateen. It it a detemined euant to $ 3108ta-1), the provistens la

of ehis chapter, no matter which has bcen a est aar see et me paru as decreed W neues et heartag setting form the* m 9 3.101(a-ll D incomplete and not mattere et fact and law to be eensideredresolved at an carher stage of the licens. a meseptahne for presensing, the Difestee as reestred tr 9 3.104, shaR be amamaaseing process which involves a manufac. et leuclear Reacter Regunstaan wm m. se as to reiste only to me alte suitabetyturang hcense, a permit to construct a form the appucent et has delsmanause tuseo er leseas ander restow.reactor for whach a manufacturin8 and W respect in wMeh h document M After dameter et part two et the

to deoctent. Such a determinatten at agensatsen. as provided m it s.19tta-1)license is sought, a hcense to operate conspietanees wm generant he made and 3.808, a rr ====r asuso etssuch a reactor, and any amendment to wlthan a period at thirty (se) days. hearing we he pubished pursuant tosuch permit or licenses shall be deter. 8 3.104 wie respect to es sensemans un.mined to be at issue in any subsequent , (b)(1) The Director of Nuclear Reactor reestved tesues in the proceeding withinstate of the hcensing process except on Regulatios will accept for docketing an the esame et 0 3.1e4. such supplementary

the basis of significant new information op gPe modes et hearms wm provtdo est any,

pareen wenose storest mar be aspeted tr8 8 8g 8 n 8%F WM h su$ct 2 the presseding and who destres te par.that substantially affects the conclu.sion(si reached at the earher stage or i 51.20(b) of this chapter and is of the sacapste as a party a the rendution Wother good cause. type specified in || 50.21(b) (2) or (3) or the mamm teues chan als a peuteene

50.22 or is a testing facility where part for leave to notervene pureumat to I 3.714one of the application as described in h W as preserted a W neu w.I 2J04 Applicability of other sec*| 2.101[a-1) is complete. Part one of an ,te, " M'' "" '''' tumbpw."*

y apphcation will not be considered teetpataan by a representative et an m.-

g complete unless it contains proposed terested state under 13.715tel and rerThe provisions of Subparts A and G "a findings as required by 5 2.101[a- timated appearanees pursuant to 0 3.71ssc

* relating to construction permits apply to E 1)(1)(i) and unless it describes the ''''I

to matters of {. specifies the extent to which thatsppbcant's site selection process.^",# g g''"ge s jmanufacturmg hcenses subject to this '** 8 #tted, ,,,gysubpart, with respect

amt motsee et heartas en atte euttahotty Iradiological health and safety, environ. ' process involves the consideration of tasues and who was not dismissed or didmental protection and the common alternative sites, explains the act withdraw as a party mar osmtinue todefense and security. e cept that i 2.104 relationship between that process and ,,,,g , ,88'$88 *** * *(a) and (b) do not apply to manufactur. t e apphcation for early review of site ,

,

tsum preended est within W tameIso-| ing hcenses. The provisions of Subparts suitabihty issues, and bnefly desenbesa

scribed for Altas of petitions for leste te (! A and G relating to construction permits the appbcant's long. range plans for Intervene in the supplementary nessee etI and operating hcenses apply. respec. ultimate development of the site. Upon .beartas be Was a notace of his tatons to

tively. so construction Permits and assignment of a docket number, the sentinue ab a party, along wt2 a sup.i

,2 ,*,'u'g ,8888','',,38',",8#FI",,E Ih* 888*AA*| operating hcenses subject to thn subpart, procedures in I 2.101 (a)(3) and (a)(4) 8 8

, , g ,,,,,encept as quahfied by the prousions of relating to formal docketmg and the g g g,,,,,,,,,=,a,diu as to which be wishuthis subpart submission and distnbution of i

to continue to partscapote as a party, and Iga= additional copies of the application shall * settang forth with partsculartir the basis3 Subeset F--Additional Prueedores App 46-g cette to farty Part6al ometsaene en sete .J. e (otlowed, gfor his contentions with regard to ancha Su8tehMy feeuse in Connectlen mth on such aspect er aspects. A party who Ales

(3) AddMaanal parts of to appu. a pontimely notace of intact to comunueI; Aspacassee for a permet To consenset cation wm be da=* dad upon a esterms. as a party may be dia-t=ad frem as* ,,, C8't*6a Ut6H888e'' reciumee nauon by the Enreeter of Nuclear Bene. pr=amew, atment a determinsuon that

f"53000 Scope of subpart tar Regulation that her are ma=P a*= the party has made a substantaal show.l

(c) Ir part ens of the apetionnen is he of good cause for failure to Ale onThis subpart presenbes procedures docketed, the Derester W Nestmar me, tanw. and wtm particular referscoe to h'

apphcable to hcensmg proceedmgs actor Regulatsam wS sause to tw pub. factors =P=M in il 3.714(a)(11-(48f which involve an early submittal of site ushed in the Puenas Rasemmi and sang and 3.714@. 'Ibo nessee wSI be ruled

" suitabihty information in accordance to the Govereer er other appropriate upon by 2e C===t= san or stamic anfety

$ with i 2.101(a-1). and a hearms andnedal of the State h wttlek to sie and heenstag teard deutsnated to rule on.is taratad a asume et doekstias at the peutsons for leave to totervandt

[ early partial decision on issues of site appuestina which status to porpose g ada Tb the mammisa estant practs., suitabihty,in connection with an a h applantion,eastes to tomatise of to enkle. me naamberskap of the stamic

| beartog wtB to W sagessts esm.' apphcation for a permit to construct a proposed atte, states hat a astles of safstr and m=aatar board designated to

utthsation facihty which as subject to prende in to proceeding on h remain.I 51.20(b) of this chapter and is of the [ ments w thi de ersash W nd [ eyeg ,,,, astenstype specified in || 50.21(b) (2) or (3) or g o,ukeam W an @ ath review fra saan as h membernhap designated to50.22 of this chapter or is a testm8 Federal, state, and least assache and presses to the misal nouco of bearing on.facihty. tolerested passen, and h to ease W elle auttahGity lasusa,

3$401 Applienbihry of eeber amueleen. appucettans Blod under sostasa les of 93.405 Addhinnal asumideestimen.the Act, states that a perses who vitasg 'Ibe preetsions of Sutiparts A and O to have has vesse en the amtstreet aspects g,3 .Ibe hemaan wW pot oseduct

g renatans to apptkations for cometruettom af the appliestica presented to to At- encro Man ene reekw W ath sultabultya permita and preesedings thereen apply, torney Osmeral for saasteeratism shau hsum wtm regard b a parucular site

E *reisisc%tvetr. to applacatlans and peo, subeati such genes tapasoordanes with a .preer to Sung and revlow of part twoa=Ma= in secordance with this subpart, subsequent mottee met we he pelished of the appDestion desertbed in 5 3.101

f ' escept as specta ally provided otherwise he the Pseamat Raeures. Is the ease er M W h putby me provlatone W mis autgiart, a nuclear power reacter, such scheoguset

untim er apen m"e monen of any partyM ' '"" #88" " "' I"I*

9 Lees Milasfema- nottee wS to pettshed foDowhg sub-<

mheson W um 3Wormation twuered Dr te ma proceeding Raad at least utsty (006Bach appunt&on which ocatains a r,. I 80.B3a. days prior to the date W the ---- -

quest for early revnee of aste suitabuttr snent of the evidentiary bearing on altelarues under the procedures of 21s sie. sultah08ty tusues, anar dochne to infu.rart shan tw anomplanled by any fe, sie an early bearing or render en earlyrequired Dr 154J0(e) and Part lie of parnal d=* se any issue er testam of

,,atte suttabutty:April 30,1992 248

.- -

--

- - - - - - - - . - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ------------------------------;

- - - . . . . .

.

2.605(b) - 2MO)'* ,

~

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS. .

(1)In cases where no partial decision (2) Following completion of Commis. ' (b) All documents offered for filtr.g~

on the relative merita of the proposed alon review shall be sceompanied by proof of serw

site and alternative altes under Sub- of the partial initial decision of the Ice upon all parties to the proceedir.gpart A of Part 51 la requested. upon Atomic Safety and Licensing Board, or their attorneys of record as re.determinabon that there is a reasons- after hearing, on the site suitability E eutred by law or by rule or order of

{ the Commission. The staff of theble likelihood that further review lasues, the partial decision shallCommisalon shall be deemed to be a,, would identify one or more preferable remain in effect either for a period of ,

t

3 alternatise sites trad the partial dect- five years or, where the applicant for party.* slon on one or more site suitability the construction permit has made

[ lasues would lead to an irreversible timely submittal of the information f (c) Filing by mail or telegram will be ,

g and irretrievable commitment of re- required to support the application as deemed to be complete as of the time !asources prior to the submittal of the provWd in I L101(a-1). until the pro. m of deposit in the mall or with a te.e- ;

remainder of the information required eseding for a permit to construct a f a. 2. graph company,by I 50.30'fl of _ this chapter that *

would prejudice the later review and [ ellity on the alte identifled in the par-tial deciolon has been concluded' 8 -

decision on such alternative sites; or R unless the Commission. I2J02 DockdThe Secretary shall maintain a docketAtomic Safety and Licensing Board

early partial decision on any issue or upon its own initiative or upon motion for each proceedmg subject to this part.(2) in cases where it appears that an

issues of site suitability would not be by a party to the proceeding. finds commencing with me issuance of the ,

in the public interest considering (1) that there eulsta significant new infor- @ initial notice of hearing, notice ofmation that substantially affecta the ' consideration of issuance of facihtythe degree of likelihood that any earlyearlier conclusions and reopens the E operating license or other proposedfindings on those issues would retain

their validity in later reviews. (ii) the hearing record on site suitability 3 action specified in i 2.105. or order.Theissues. Upon good cause shown. the Secretary shah maintain aH Nes andet objections !! any. of cognir. ant state or Commission may extend the five year[ local gosernment agencies to the con. records. mcluding the transcripts of

' dact of an early review on those issues, pedod during which a partial decisionand filt) the possible effect on the shall remain in effect for a reasonable testimony and exhibits and all papes,

_ eriod of time not to exceed one year. correspondence, decisions and orde'sput,hc interest and the parties of phaving an early,if not necessarily con- f led or issued.clustre resolution of those issues. $wbpert b Sules of Sonopel -

- AppEemb50ty ,

9264 Partial decisions on site suitability -

issus | 2.700 Seepe of subpart.(as The provisions of || 2.754. 2.755. The general rules in this subpart

2.160. 2.761. 2.762. 2.363. and 2.764(a) 80Vern Procedure in all adjudicationsshall apply to any partial initial dect.

sion rendered in accordance with this initiated by the issuance of an order ';~

subpart. Section 2.764(b) shall not pursuant to i 2.202, an order pursuant to 0 2.703 Notice of hearing.(a) In a proceeding in which the

en ered i eco ce t ub * Proposed actionissue pursuant to terms of a notlee of hearing are not !

part. No limited work authorizationmay be issued pursuant to i 50.10(e) of 5 I 2.105. or a notice issued pursuant to otherwise prescribed by this part, thePart 50 of this chapter and no con- $ $ 2.102(d)(3).The procedures apphcable order or notice of hearing will state:

struction permit may be issued with. to the proceeding on an application for a (1) The nature of the hearing, andits time and place. or a statement that

out completion of the full revies re- license to receive and possess high-level the time and place will be fixed byqu. red by section 102(2) of the Nation- radioactive waste at a geologic . subsequent order.al Er.vironmental Policy Act of 1969' repository operations area are set gorth ;; (2) The legal authurity and jurisdie-as amended, and Subpart A of Part 51

h of this chapter. The authority of the in Subpart [ a tion under which the hearing is te be' held;

K Commission to ~-7. (3) The matters of fact and law as-er revien such a partial initial decision 9 2.700s Esceptions. serted or to be considered; and* suc spoe.!c. or to raise sbo spoe.te an

E ssue that has not been raised by the (a) Consistent with 5 U.S.C- (4)The time within which an answeri 554(ax4) of the Administrative Proce- shall be filed.parties, st!! be exeretsed within thesame time period as in the case of a g dure Act.the Commission may provide (b) The time and place of hearmsfull decision relating to the issuance of ; alternative procedures in adjudica- will be fixed with due regard for the

g tions to the extent that there is in- convenience of the parties or theira construction permit. * volved the conduct of military or for- representatives, the nature of the pro-(bHI) A partial decision on one or

more site muitability issues yJrsuan. to eign affairs functions, ceeding. and the public interest.(b) This rule shall apply to prxeed. -

the app! sble provisions c1 Part 50Subpart a of Part St. and Part Lt.; cf ings in progress where hearings have -

this chapter issued in accorcans wit:, already been requested or ordered as $ 2.194 Designation of presiding eNicee,this subpart sha!! (il clear;y ioentify well as to future proceedings- disqualefication. unavallebility.the site to shich the petaal dedston (a) The Commission may provide in

: m 'a"'a'rs = a;inte= Ar-"> -- - the nottee of hearin thai one or moreE (as Documents shall be filed with E members of the Commission, or an ;

and additional review msy be requiredto enable the Commission ta deter. the Coenmlaalon in adjmthswas sub- ;; stomic safety and beensing board, or a ,

named officer who has been delegated i

mine in accordance sith the 1,r :nsions ject to this part either:(1) By dehvery final authority in the matter. shall lof the Act and the appin hble provi- to the Public Document Room at 2120 preside.sions of the regulations in his chapter L Street NW Washington. D.C., orwhether a construction permit for a (2) by snail or telegrass addressed to -

f acilit) to be located on the site identi- the Secretary, UA Nuclear Regula-fled in the partial decision should be tory r%mmWlan Washington. D.C.Issued or denied. 20665. Attention: Chief. Docketing and

Service Section.~

.

*Tre parual dec'.slon on alte suitabilityissues shall be incorporated in the Occialonresarding lasuance of a construction permitto the extent that it serves as a basis for thedecision on a specific site nasue(s).

2 19 April 30,1992

_ _ _ _ . _ _ _ _ _ __ ..

_ _ _ - _ _ _ - .

_

2.704(a) PART 2 o RULES OF PRACTEE FOR DOMESTC UCENSING PROCEEDINGS ... 2.709.~

If the CcmmisslIn does not so 0 L7M Answer.- ~

gEfes Formal regelrements for does-provide, the Chairman of the AtomicSafety and IJoensing Board Panel wul ta) Within twenty (30) days after swam.

Issue an order designating an atomic servlee of the notice of hearing, or (a) Each document fued in an adju.safety and lloonsing board appointed such other time as asay be specified in dication subject to this part to which a

the notles of hearing, a party may file docket number has been assigned shallg pursuant to section 191 of the Atomic an answer which shall concisely state; bear the docket number and title ofi

| r Energy Act of 1964, as amended, or, if(1) The nature of his defense or other the proceeding.Q the Commission has not provided for

a the hearing to be conducted by an position: (3) the items of the speelfica- (b) Each document shall be boundtion of issues he controverta erHI those on the left side and typewritten, print-g atomic safety and licensing board, the he does not controvert; and (3) wheth. ed or otherwise reproduced in perass-Chief Administrauve Iaw Judge wul

issue an order designating an adminas. or he proposes to appear and present : nont form on good unglesed paper ofevidence.trauve law judge appointed pursuant a standard letterhead sise. Esch page

to section 3106 of Utle 8 of the United (b) If facts are alleged in the specifi. | shall begin not less than one and one-_ States Code. cation of issues, the answer ahau - quarter inches from the top, with side

admit or deny specifically each matert. " and bottom margins of not less than- (b) If a designated presiding officer al aHegation of fact; or, where the one and one<nuarter inches. Test shauor a designated member of an atomic party has no knowledge or informa- be double. spaced. except that cluota-safety and licensing board deems him. Lion sufficient to form a belief, the Mons may be single.apaced and indant-1,,,' self disqualgled to preside or to par, answer may so state and the statement ed. The requirements of this para-Licipate as a board member in the shall have the effect of a denial. Mate-* hearing, he shall withdraw by notice : rlal aDesations of fact not denied shall graph do not apply to original docu.

* on the record and shall notify the ; leged as affirmative defenses or post-be deemed to be admitted. Matters al-ments or admissible copies offered as2

I Commission or the Chairman of the Sexhibita, or to spectany prepared es.hibata.Atomic Safety and IJeensing Board *- tions shan be separately stated and -

Panel. as appropriate, of his withdraw. Identified and, in the absence of a - (c) The original of each documental reply, shall be deemed to be contro- shall be signed in Ink by the party or

kc) If a party deems the presiding of, urted. his ahlsed wresentatM. w W anfleer or a designated member of an (c) If a party does not oppose an attorney having authority with re-atomic safety and licensing board to order or proposed action embodied in spect to it. The capacity of the personbe disquallfled. he may move that the or accompanying the notice of hear. signing, his address, and the date shanpresiding officer or the board member ing, or does not wish to appear and be stated. The signature of a persondisqualify himself. The motion shall present evidence at the hearing, the , signing in a representative capacity isbe supported by affidavits setting answer shall so state. In lieu of ap g a representation that the documentforth the alleged grounds for disquali. pearing at the hearing, a party may a has been subscribed in the capacityfication. If the presiding officer does request leave to file a statement under S specified with full authority, that henot grant the motion or the board oath or affirmation of reasons why has read it and knows the contents,the proposed order or action shouldmember does not disqualify himself,the motion shall be referred to the not be lasued or should differ from that to the best of his knowledge, in-Commission that proposed. Such a statement, if ac- formation, and belief the staramants /

made in it are true, and that it is not \cepted, will be accorded whateverwhich will determine the suffi welsht is deemed proper. interposed for delay. If a document is

not signed, or is signed with intent tociency of the grounds alleged. ;- defeat the purpose of this section, it#(d) If a presiding officer or a desig : 5 2.706 Reply. , may be stricken.nated member of an atomic safety and '.

h, Ilcensing board becomes unavailable e A party may file a reply to ani during the course of a hearing, the ' answer within ten (10) days after it is (d) Except as otherwise provided by

e Commission or the Chairman of the 0 served.O this part or by order, a pleading (or

' Atomic Safety and Licensing Board " ; other document) other than corre-w spondence shall be filed in an originalS Panel, as appropriate, will designate f 2.7e7 Delsult ; and two conformed copies.another presiding officer or atomic

safety and lleensing board member. If On failure of a party to file n [he becomes unavailable after the hear-

answer or pleading within the time 2 (e) The first document filed by anying has been concluded: prescribed in this part or as specified 2 person in a proceeding shall designatein the notice of hearing or pleading; to S(1NI) The Commission may desis. appear at a hearing or prehearing con- the name and address of a person onnate another presiding officer to make ference, to comply with any prehear- (whom service may be made.the decision; or ing order entered pursuant to i 2.751a - (f) A document filed by telegraph(11) The Chairman of the Atomic R or i 2.782, or to comply with any dis. need not comply with the formal re-Safety and IJunsing Board Panel or si covery order entered by the presiding quirements of paragraphs (b), (c), andthe Commission, as appropriate, maydesignate another atomic safety and 11- { mission or the presiding officer * may 3 copies otherwise complying with all ofofficer pursuant to i 2.740, the Com- 2 (d) of this section if an original anda

censing board member to participate ;; make such orders in regard to the fall. E the requirements of this section are.in the decialon; ute as are just, including, among S mailed within two (2) days thereafter'thers, the following. t to the Secretary, U.S. Nuclear Regula-,,,

(a) Without further notice, find the tory Commission Washington, D.C.(2) The Commission may direct that fiets as to the matters regarding 20555. Attention: Chief, Docketing andthe record be certified to it for decision. wt leh the order was made in accord- Service Section.gor anu with the claim of the party ob. ",,,talnias the order, and enter such t 2.709 Arreptance for filing.

I (3) The Commission may designate order as may be appropriate; orA document which taih to contorm toanother presiding officer. (b) Proceed without further notice O the requirements of

'

to a e proof on the issues specified. 4 2.70N ms3 hek pr(es)idingIn the event of substitution of a

e

officer or a designated % ref used acceptance lor tiling and ma) bereturned unh an indicesson of the reason| In member of an atomic safety and 11 'Nhen a reference is made to the com- ;;; sur non.cseptance

m

E censing board for the one originally ml:sion or the prealding officer in this suts Any mailer so ten.^ dered but not ac6cpied for filing shalldealsnated, any motion predicated

na the s w not he entered on the Commmion'supon the substitution shall be madewithin five (5) days thereafter. the presiding offleer, unless otherwise pro .

|

-docketviced.

|'

Aprd 30,1992 2 20

e

_ _ _ _ _ _

. - .- - . ~ .-. . _ - - . - . - _ - . - - . -.-----

..

P

2.71 AcI'

2.710 , ART 2 o rut.ES OF PRACTICE POR DOMESTIC LICENSING PROCEEDINO3...',

It PC Casiputemen of smo. received by the tribunal to which the l unless the poenidies esser pseendesetiserwined * ;

|In sempeting eey period of time, the plesding le directed.

(2) When pleedin g 3.yss As,es,anse one ,,sease gese,o i~

delivered to tribuna$e are personallyday of the act. event. er default eherle while they ero tie commiessen tiesquaestery |which the doelpeted period of time

begine to run is not included.1he lost conducting proemdings outside the r'essesmes, ,

(*) Stendesde of practice.In the" day of the period so competed laincluded uniese it le a Saturdey. Sunday. R Weehington. DC ares. service en the -enemise of their functione under ele i

g Secretary may be accomplished byer laget beliday at the place where the overnight mail, subpast, the Commission. :

U eenen er ewst le to escur.le which E *e i(s) Service of pm aied iestimen and Atomie Soloty and Boards.,g,,_ 3 ovest the period runs until the end of the & demonstrati*e evideno8 (80 maps and eng gg,g,g,,,,g,, g,, g g,,,* aent der which is melther a Saturday. C8 " 8" e8esNia'Y in a quesitudicial especity. Aeosedingly.E Sundey, mer holiday. Whenever a party may w made by Aret close mallin all p.,ge, e.g meer ,ey,oesegg,o, ge* hoe the right er le required to do eene * * * " ' pmosodinge subiest to this embpert areact within a prescribed period after the (4) The addresses for the Secretary espected to esaduct themselves with

't

oorvice af a metice or other paper uposhim er w/ tad the aetice or papr le _ sm: homer. dignity, and deserum se they ;

served by melt, five (s) doye ehet! - (1) First close melb Of5ce of the ebeuld before a seurt oflaw. |

be e to the prescribed per6ed.Only Secretary. U.S. Nuclear Resulatory (b)Repressotation. A porosa may

to 0) days shall be added when a Commiselon. Washington.DC 30555, appear in se adledicottes en his or her

,,,,dm. ant is served by express mail Atiention: Docketirts and Serviceown behalf er by. en etterney et-law. A ;

_ earporation er ,Branch. r- -.g R.111 Botemeten and sedeseien of tiene (11) Express mell: Office of the r wd association may be :.,

>MPNeesk duly ev&ortedhaies, g Secretary. Sixteenth Floor. One White member er r. er by en attorney-et-

(a) heept en otherwise provided by Flint North.11555 Rockville pike,law, whenever an act is required or al I Rockville, Maryland 30852, Attention: lew. A party may be represented by en

enorney.et.lew provided the ettorney 6e ;loved to be dione at or within a speci- Dockening and Service Branch

I" 8 ''*"'"8* ' " * * Ig fled time, the time fixed or the period (111) Telecopter: (301) 492-1872; (301) M prochee befwe any Coud eMe ',

g of time picthed snay for good emuse 492-0275: and (301) 492-1977 United States, the District of Columble. |g be estended or ahortened by the Coen.m mission or the presiding officer, or by =(verification)'(e) When eertdce complete. Service | or the highest court of any State. territory, or possession of the United"

~

R etipulation approved by the Cosamis- ,

upon a party is complete: 3 States. Any person appearing in aenon or the presiding officer.(b) In any instance in which this (1) By personal delivery. on handing a representative cepecity shall file with |'

part does not prescribe a time limit for the paper to the individual, or leaving * the Commission a written notice of r

an action to be taken in the proceed. R lt at his office with his clerk or other E appearance which shallstate his er hername, address and telephone number,

ing the r%=me== ton or the presiding g person in charge or,if there it no oneofficer may set a time li-stt for that in charge, seaving it in a conspicuous the name and address of the person on

( action. E place therein or,if the office is closed whose behalf he er she appears: and in !

E or the person to be served has no the case of an ettermey.et law the beeis

[$1.712 Servlee of papers, smothede, proof- office, leaving it at his usual place of of his or her eligibility se a

; in (a) Seridce cif papers by fAe Commis- residence with some person of suitable representative er. In the cose of emother !

o age and discretion then residing there; representative, the basis of his ce her

| edon. Deept for subpoenas, the Com.-

mienion will serve all orders, decisions, (3) By telegraph, when deposited authonty to act en behalf of the party. ,

g notices, and other papers lesued by it with a telegraph company, properly (c) Reprimand Censure er Suspenseen ,

Lydon all parties, addressed and with charges prepaid; from the pmceeding; ;

(3) By mall, on deposit in the United (1) dk pmeiding omcer. er ;,

Sta properly stamped and ad- t Commie may if noosses,ry for jto be serv po

hhim (4) When service cannot be effected repnme censure or eu'apend freen f"" ' *y,presenta in a manm prWded by paragraphs penicipeHon in he peM6cular ;

a by law to receive service of *- (d)(1) to (3) inclusive of this section in proceedmg pend before it any party" When a party has appeared by to"mey, service must be made upon the at, any @w mans au wised by law. m mpmeentok a pony who shah-

(f) Proof of strides. Proof of service, eefuse to comply with 6ts direct 6ene, or >

I torney of record' stating the name and address of the who shall be guilty of desonderly.' =

(c)How Service moy be mode. Service person on whom served and the disruptive, er conteisptueue conduct.'

manw and date of service, shd be (2) A mynmend a eeneum er aI may be snede by personal delivery, by shown for each document filed, and suspmion wbch is ordered to run for !first clees, certified or regtetered mail may be made by: one day orlesa shaB be sedend wie'

includi by tel ph. 'ett mail'aed by I . e

(1) Written teknowledgment of the grounde stated on the seosed of the ;

E otherw authori party served or his counsel; .--- x _ and shall advies the peroom(3) The certificate of counsel if he disciphne3 of the right to appealgg "" "'

,

i ns. [C mm selon may meke has made the servloe; or pursuant to parayaph (c)(3) e tblari s special provis6on ragardi the service section. A suspension wt@ uterd' (3) The affidavit of the perece; for a longer priod sheh %of papers.The presiding o icer may anaking the service.

require service by expmes mail upon shall siete the ' n.nca u ;rsome or allparties and the presiding (g)Moe esprisy ensfeervisa Buept to beoed.and she 1 edvise he preen

en in suspended of the rtsht to appeel and toJ officer.

'(d) Service on the Secretary. (2) A11 appb eliameyg,,,g -

k pleadings must be served on the " N' "I "O" 0" **3ecretary of the Commissionin the appilaans, wig espy"and scree wisheetq some or equiva;ent menner,le., telefex, east to set pe9 mes party's testeepy *

express mail. personal dehvery, or -

ta ~

g cou-ser, that they are served upon the ofInst and aflow,and se thesonary segnosta

I edjudicatory tribunale end the parties to ,mus oresreph is suspended until furtherthe proceedinge so that the Secretary These should be Blod wie

ecuan ofthe Gmnuosionasm nuaead Somte est less then Seewill receive the pleading at *' _ *'a

approximately the same time that it le s mined bard,2 21 April 30,1992

.

1 r-w - w r ~ *-- ~r. - - - - - - -

____

.

2.713(c)PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS . . . 2.714(f)

,

request a stay pursuant to paragraphs -8 2.714 Intervention. (b)(1) Not later than fifteen (15) days~

(cM3) and (c)(4) of this section. A p*osoding ;nay be stayed for a reasona. (a)(1) Any person whose interest prior to the holding of the special

ble time in order for an affected party may be affected by a proceeding and prehearing conference pursuant to

to obtain other representation if this who desires to participate as a party 12.751a. or if no special prehearingshall file a written petition for leave to conference is held. fifteen (15) days priorwould be necessary to prevent injus-

tice. intervene. In a proceeding noticed pur. to the holding of the first preheanng(3) Anyone disgiplined pursuant to suant to i 2.105, any person whose in- conference, the petitioner shall file a

this section may within ten (10) days terest may be affected may also re- supplement to his or her petition toafter issuance of the order file an quest a hearing. The petition and/or intervene that must include a list of theappeal with the request shall be filed not later than contentions which petitioner seeks to

the time specified in the notice of have litigated in the heanng. A,

! k'g,, *$,"*preal petitioner who fails to file a supplement' Coalon, as appropriate. The appe aof Mbe in writing and state concisely, with 2 * ** " #'*'"*atomic anfety and licensing board des-

supporting argument, why the appel E gnated to rule on the petition and/or paragraph (b)(2) of this section withilant believes the order was erroneous. re8pect to at least one contention willeither as a matter of fact or law. The % request, or as provided in i 2.102(dM3).

Commission Nonumely filings wul not be enter- not be permitted to participate as a

shall consider each appeal tam ahnt a determin&Wn W W party. Additional time for filing theomn on, pre o ice supplement may be granted based uponon the merits, including appeals in a balancing of the factors in paragraph,, , gcases in which the suspension period

has already run. If necessary for a full designated to rule on the petition and/ (s)(1) of this section.,

and fair considerat n e facts, the or request, that the petition and/or re. (2) Each contention must consist of aquest should be granted based upon a 8pecific statement of the issue oflaw or

"balancing of the following factors in fact to be raised or controverted. In

den'tlary hea ng or my ef r he addition to those set out in paragraph addition. the petitioner shall provide thematter to another presiding officer for (d)(1)of this section: following mformation with respect todevelopment of a record. In the latter - (1) Good cause, if any, for failure to each catenhon.event, unlets the file on time. (i) A brief explanation of the bases ofCommission, provides (11) The availability of other means the catendon.specific directions to the presiding of- whereby the petitioner's interest will (ii) A concise stateinent of the allegedficer, that officer shall determine the be protected. $ facts or expert opmion which support

8 procedure to be followed and who [* (iii) The extent to which the ped 2 the contention and on which theg shall present evidence, subject to ap. tioner's participation may reasonably Petitioner intends to rely m proving the,. pitcable provisions of law. Such hear. - be expected to assist in developing a contention at the beenng. together withw ing shall commence as soon as posal. g sound record. references to those specific sources andS ble. In the case of an attorney, if no ,, (iv) The extent to which the peti. documents of which the petitioner is fappeal is taken of a suspension, or, if ' tioner's interest will be represented by aware and on which the petitioner (tht suspension is upheld at the conclu- existing parties. intends to rely to establish those facts orsion of the appeal, the presiding offi- (v) The extent to which the petition. expert opinion.

cer, the Commis- er's participatJon wil; broaden the (iii) Sufficient information (which mayalon, as appropriate, shall notify the issues or delay the proceeding include information pursuant tostate barts) to which the attorney is :(paragraphs (b)(2)(i) and (ii) of thisadmitted. Such notification shall in. (2) The petition shall set forth with

section) to show that a genuine disputeclude copies of the order of suspen. particularity the interest of the peti-sion, and, if an appeal was taken tioner in the proceeding, how that in- exists with the applicant on a matenalbriefs of the parties, and the decision terest may be affected by the results }sm of Iaw or fact 31s showing mustof the Commission. g of the proceeding, including the res- include references to the specific

(4) A suspension exceeding I day portions of the application (includmg theshall net be effective for 72 hours h sons why petitioner should be permit,ted to intervene, with particular refer- applicant s environmental report andfrom the date the suspension order is u ence to the factors in paragraph (d)(1)of safety report) that the petitionertasued. Within this time a suspended 1 this section, and the specific aspect or , disputes and the supporting reasons forludividual may request a stay of the aspects of the subject matter of the ' .each dispute, or. if the petitionersanction from the appropriate review. proceeding as to which petitjoner oelieves that the application fails toing tribunal pending appeal. No re . wishes to intervene. contain information on a relevant mattersponses to the stay request from other - (3) Any person who has filed a peti. as required by law, the identification ofpart.les will be entertained. U a timely Lion for leave to intervene or who has each failure and the supporting reasonsstay request is filed, the suspension been admitted as a party pursuant to for the petitioner's behef. On issuesshall be stayed until the reviewing tri- this section may amend his petition arising under the Nationalbunal rules on the motion. The stay for leave to intervene. A petition may Environmental Policy Act. the petitionerrequest shall be in writing and contain be amended without prior approval of shall file contentions based on the

the information specified in i 2.788(b) $ fifteen (15) days prior to the holdingthe presiding officer at any time up to applicant's environmental report. The(1). (2), and (3) of this part. The* Commtmon petitioner can amend those contentions

shall rule on the stay re 3 of the special prehearing conference or file new contentions if there are datag pursuant to l1.751a, or where no spe- or conclusions in the NRC draft or finalquest within 10 days after the filing of' cial prehearing conference is held, fif-the motion. The 7 teen (16) days prior to the holding of environmentalimpact statement,Commtazion shall consider the factors the first prehearing conference. After environmental assessment or anyspecified in 5 2.788(e) (1) and (2) of this time a petJtion may be amended supplements relating thereto' that differ

f #* 1I th* * *this part is determining whether to only with approval of the prealding of- c nelusi na in the applicant.' document.grant or deny a stay application. ficer, based on a balancing of the fac- e

tors specified in paragraph (a)(1) of (C) Any party to a proceeding may file_ ,

this section. Such an amenoed petition an answn to a peudon for leave to i

for leave to intervene must satisfy the intervene or a supplement thereto withinrequiretnents of this ps.rsgraph (a) of ten (10) days after service of the petition

, this sectlas perta tning to specificity. or supplement, with particular attention

April 30,1992 2 22

-

_ _ _ _ - _ - - - - - - - - - - - ---

4 ..n--. J &J.---e 4 4 ahf .a.L 'd.J -: h4 J-- L A--.-.+1-mm a.m . m. -h%.-,J L .e a.E+

.

2.714(c) PART 2 o RULES OF PRACTICE-FOR DOMESTIC LICENSING PROCEEDINGS . . .- *

to the factors set forth in paragraph (1) Unless otherwise espressly pr0- participate and to introduce evidense.(d)(1)of this section.ne staff mey file vided in the order aDowing intenen- laterrogate witaamma, and advise thesuch an answer within fifteen (15) days a tion, the granting of a pudon foe Namassaan without mquiring the rep- ,

z leave to intenene does not change or resentative to take a poaluon with re- |after service of the petition or R anlarge the inues specified in the spect to the lasue. Such parucipants '

supplement- g nouce of hearing , may also fDe proposed findings and es- i

d)De insion e pres ding t eepuona pursuant to || 3.'fH and 3 733 i

cer, or t e tom c ety an 0 and peuuons for review by the Com- |IJcensing Board designated to rule on asiselon pursuant to 13.'fsg. The pre- .'potations to intervene and/or requests docketed under subparO of this part. s

k siding Wfloor may require such repre- i

for hearing shall permit intervention, in O sentauve to indicate with reasonable"

any hearing on an application for a 12.714e Pseuene ser restow of eartsen specificity, in advance of the heartag,license to receive and ponen high-level neige en poumons ter Isove to bitervono the subject matters on which he de- i

radioactive weste at a geologic ens /or roguests ter heemis, sires to parucipate. ;

repository operations area, by the State (e) Notwithstanding the provisions of :'

in which such area is located and by 9 2.730(f). en order of the presiding (d) If a matter is taken up

any affected Indian Tribe as defined in officer or the atomic safety and licensing by the Ca==i== tan pursuant to |

part 80 of this chapter. In all other board designated to rule on petitions for i 3.78g or sua sponte, a person who iscircumstances, auch ruling body or leave to intervene and/or requests for not a party may, in the discretion of ;

officer shell,in ruling on- hearing may be appealed. in accordance the Commission,,

(1) A petition for leave to intervue or with the provisions of this section, to the respecuvely. be permitted to fue a >

a request for a hearing. consider the Commission within ten (10) days after brief * amicus curiae **. A person who isfollowing factors, among other things: E service of the order. De appeal shall be not a party and desires to fue a brief |

must submit a motion for leave to do !

(i)The nature of the petitioner's naht R asserted by the filing of a notice ofso which identifies the interest of the |under the Act to be made a party to the appeal and accompanying supporting

proceedmg- brief. Any other party may file a brief in g person and states the reasons why a .

(ii)The nature and extent of the support of or in opposition to the appeal g brief is desirable. F.xcept as otherwiseprovided by the Commissionpetitioner's property, financial, or other within ten (10) days after service of the

E (i ossibfe ef cf of any order'* " within the um w to h

petitions nd/o requests for hearing whose postuon the brief win support.@ that may be entered in the proceedmg 8 ' * * * - A motion of a person who is not ag on the_ petitioner's interest. pany to participate in oral argument(2)The admissibility of a contention.

before or the Com-E refuse to admit a contention if.(i)The contention and supporting - (b) An order whony denying a peti. aussion wul be granted at the discre-

material fail to satisfy the requirements uon for leave to intervene and/or re- tion of the Com-

sph b)(2)of this section: or quest for a hearing is appealable by mission.of pershe con (tention. if proven, wouldthe petitioner on the question wheth gt.?lla Conse16dation of perdes la een-I (ii) Tbe of no consequence in the proceedmg 2 er the petition and/or hearing request strueden permit er operadag l6 censebecause it would not entitle petitioner to ; should have been granted in whole or y,,eeedings.''I''I On motion or on its or his own iniu-Ar order granting a petition forn

(e)If the Commission or the presidmg I leave to intervene and/or request for a suve, the Commission or the presidingofficer determines that any of the a hearing is appealable by a party other offlew may orde any parues in a pro-admitted contentions constitute pure eseding tw the issuance M a omtruc-issues of law, those contentions must be than the pettuoner on the question ,t uon permit or an operating Ilcense fordecided on the basis of briefs or oral

whether the peution and/or the re a producuon or utillaation facility who ,quest for a hearing should have beenargument according to a schedule whony denkd' a have substantiany the same interest I

determined by the Commission or :- S that may be affected by t,he proceed-presidmg officer. 8 1.715 Participation by a person not a ting and who raise substantially the ;

part7- same questions, to consolidate their '

(f) An order permitting interventionand/or directing a hearing may be (a) A person who is not a party may, presentation of evidence, cross-exami- ,

conditioned on such terms as the Com. .in the discretion of the presiding offi. nation, briefs, proposed findings of

anission, presiding officer or the desig. R eer, be permitted to make a limited ap- fact, and conclusions of law and argu- i

mated atomic safety and licensing pearance by maktnr oral or written ment. However, it may not order anyboard may direct in the interests of: e statement of his position on the issues consolidauon that would prejudice the

' at any sendon of the hearing or any rights of any party. A consolidation(1) Restricting irrelevant, duplicative,7 prehearingor repetitive evidence and argument, .enverence within such under this section may be for all pur.(3) having common interests repre. limits and on such conditions as anny peces of the proceeding, all of the

sented by a spokesman, and (3) retain. be fixed by the presiding offleer, but issues of the proceeding, or with re- |ing authority to determine priorities he Inay not otherwise parucipate in spect to any one or anore issues there-

i

and control the compass of the hear. the proceeding of.Ing. ::- (b) The Seerstary wul give e M $ I.716 Consolidation of proceedings.

(g) In any case in which, after con- a hearing to any person who mouests On motion and for good cause shownsideration of the factors set forth in or on its own inittauve, the Commis-paragraph (d)(1)of this section, the; it prior to the issuance of the nottee of sion or the presiding offloers of eachhearing, and will furnish a copy of theCammt= ton or the presiding officer E nouce M hearing to any Demon who . affected proceeding may consoudatefinds that the petitioner's interest is requests it thereafter,When a commu. t for hearing or for other purposes twolimited to one or more of tl.e issues in g alcauon bears more than one signa '.; or more proceedings, or may hold jointvolved in the proceeding, any order al = ture, the r%= =l==lan wul stre the a hearings with interested States and/orloving intervenuon shall limit his par a other federal agencies on matters ofmouce to the person first mient,w aticipauon neoordingly. unless the comununsantian clearly indi.; concurrent jurisdiction, if it is found(h) A person permitted to intervene

estes otherwise. that such action wiu be conducive tot I ta o posed (c) The presiding officer wDI afford me peu em M Hs bushs and

pursuant to paragraph (f) of this sec. representatives of an interested State, to the ends of justice and w1U be con.

Hon. county, municipality, and/or agencies ducted in accordance with the otherthereof, a ramaanahle opportunity to _provisim M this subpart.

2 23 April 30,1992

|

|_ _ _ _ _ _ __- __________________ _ _- -- - - - - - -

i

_ . _ ._ _ . _ . _ _ _ _ . _ _ _ _ _ _ _ _ .. _____ _

.

2.717PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS . . . .

,

"$ g.7tf Cominemeement

and terminosion | sion for its determination. either in hiswhom the witness is required io testify or(i) Certify questions to the Commis-of)metodienten of prestding eineer.

produce evidence or with the Secretary. I

(a) Unless otherwise ordered by the$ discretion or on direction of the Com- Failure to make proof of service shallComasission, the jurisdiction of theg mission. not affect the validity of the service.

g presiding offleer designated to conduct U) Reopen a proceeding for the (f) On motion made promptly, and isNa a hearing over the proceeding. Includ [ reception of further evidence at any time

,

any event at or before the time specified ;* Ing mouons and procedural matters.

a commences when the proceeding com- { prior to initial decision.in the subpoena for compliance by the ;

*g asoness. If no presiding offleer has (k) Appoint specialeastatants hoa the Person to whom the subpoena isbeen designated, the Chief Adminis- Atomic Safety and ucensing Board directed, and on notice to the party attrauve law Judge has such jurisdie-3 Panelpursuant to l LFat g whose instance the subpoena was :ssued ;Mon or, if he is unavailable, another; (1) Issue initial decisions; and the Presiding officer or.sf he is unavallaadmittistradve law Judge has such Ju s (m)Take an other action conalsteeg [ ble. the Commission may (1) quash or j

,

s

.r. iedletion. ', with the Act, t is chapter, and sections modify the subpuena ifit is unreasonable[I A proceeding is deemed to * 551-458 of title 5 of the United States or requires evidence not relevant to any

3 commmence when a pouce of hearing or bCode. maner in issue,m W conhn deniaM[E a nouce of proposed action purpuant 8 2.719 (Removes) s3 en osso the motion on just and reasonable terms.;a to 3 2.103 is lasued. (g) On appLcation and fw good ;

-

g i 1.724 5ebyeenes. cause shown, the Commission will seek1 When a notice of (a) On applicaten by any party, the judicial saforcement of a subpoeta ,hearing provides that the presiding of-fleer is to be an admirtistratJve law deugnated presiding officer or, if he is issued to a party and which has not been

not available, the Chairman of the quashed. !Judge, the Chief Administrative lawAtomic Safety and Licensing Board I

tra ve uds wh la p $ Panel, the Chief Administrative LawIside. The presiding officer's jurtadic *3 Judget or other designated ofncer will h, (a)(h)(Il The provmons of paragraphsthrough tg)of this section are not ap- iN uon in each proceeding will terminate .- issue subpoenas requiring the attendance O P ecable to the attendance and testimonyl

"upon the espiration of the period f and testimony of witnesses on :he pro f of the Commissionersor NRCpersonnel.,

E within which the " 'nmlashon may - ductinii of evidence. The. officer to e or to the production of records or docu-!

;;;for final decision, e ' certified to it " mhom .spphcation is made may require a Lments in the custody shereof.direct that the traen the Com- showing of general relevance of themission renders a final decision, or

when the presiding officer shall have testimony or evidence sought, and maywithdrawn himself from the case upon withhold the subpoena il such a showing Iconsidering himself disqualified, is not made, but he shall not attempt to

'

whichever is earliest. determine the admissibility of evidence.

2 (b) The Director of Nuclear Reactor (b) Every subpoena will bear the (~

Regulation or Director of Nuclear Ma- name of the Commission the name and_ terial Safety and Safeguards, as appro- ofGce of the issuing of5cer and the titlepriate, may issue an order and take of the hearing. and will command the* any otherwise proper administrative person to whom it is directed to attend.

, acuon with respect to a licensee who is4

m a party to a pending proceeding. Any and give testimony or proouce specifiec.I

' Order related to the subject matter of documents or other thin 8s at a desi8-*

the pending proceeding may be modl- noted time and place. The subpoena will tfled by the presiding officer as appro- also advise of the quashing procedurepriate for the purpose of the proceed- Provided in paragraph (f)of this section.ing. (c) Unless the service of a subpoena

is acanowledged on its face by the wit-) 1.718 Power of presiding efflat. '

ness or is served by an officer oremployee of the Commission,it shall beA presiding officer has the duty to

conduct a fair and irnpartial hearing ac. served by a person who is not a party to '

oording to law, to take appropriate ac- ;; the hearing and is not less than eighteen~

18) years of age. Service of a subpoenaf (hall be made by delivery of a copy oftion to avoid delay and to rnanntain

sorder. He has all powers necessary to i

* the subpoena to the person named is itthose ends, including the powers to: "g ggg g(a) Administer oaths and affirma.g

e- (b) Issue subpoenas authorized by law. When the subpoena is issued onR g,% behalf of the Commission, tees andf (c) Rule on offers of proof, and mileage need not be tendered, and the ,

rg; receive evidence, subpoena may be served by registered(d) Order depositions to be taken. mail.(c) Regulate the course of the hear. (d) Witnesses summoned by sub. ~

(2)(i) In is procecoing in which theing and the conduct of the participants. poena shall be paid, by the party at NRC is a party,the NRC staff will mese(f) Dispose of procedural requests or whose instance they appear, the fees and,

available one or more witnesses desig-similar matters mileage paid to witnesses in the district R(g) Enamine witnesses courts of the United States. 2 noted by the Enecutive Director for

Operations for oral esamination at the(h) Hold conferences before or dur-(e). The person serving the subpoena [ hearing or on deposition regarding anying the hearing for settlement.

shall make proof of service by filing the U matter, not privileged. which is relevantsimphfication of the issues or any other subpoena and affidavit or acknowledge * to the issues in the proceeding. The et.PtoPer purpose. ment of service with the officer before tendance and testimony of the Commes.

P

April 30,1992 2-24

r

I-- -- --.

l*

2M2.720(h) PART 2 e rut.ES OF PRACTCE FOR DOMESTIC UCENSING PROCEEDINGS . . ..

~

sioners ano named NRC personnel at a be designated from the Atomic Safety appointment may occur at anyhearing or on deposition may not be re- and thensing Board Panel established appropriate time during the proceedingquired by the presiding omcer, by sub- _by the Commission. but shall, at the time of the appointment,poena or otherwise: Provided, That the - fb) N Casaisiwann er me Chairman be subject to,the notice andpresiding omcer may, upon a showing of af the Atomae Safety and Moensing disqualification provisions as describedesceptional circumstances, such as a case Board Patel assy desis1oate an alternate in i 2J04. Such special assistants may

gn which a particular named NRL trua11aed in the conduct of pAminhtyg. fungtjon gg;

employee has direct personal knowledge teve peneaadhe oc an alternate having (1) Technical laterrogators in theirtloos oc

of a material fact not known to the wit- ", Nd individual fields of expertise. Suchwlaterrogators shall be required to studymesses snede available by the Executive estabushed pursuar.t to paragraph tan of

Director for Operations require the at- thse asetsen. If a amassber of a board be. the written testimony and sit with the

tendance and testimony of named NRC comes unavailable, the Pa==i=ian oc presiding officer to bear the presentata,anthe chairman of the Atomic Safety and and cross-examination by the parties of

PCtsonnel- m-ing Board Panel may constituta all witnesses on the issues of the(it) In addition, a party may fiIe with the alternate trualtsad in the conduct of intestogators''espertise takir:g a leadmgthe presidmg omcer written interrogato p2 nate having techalmloc ether ayuannen.role in examiniUS such witnesses to

uimintatrsuve pe~aadins=. or the alter-ries to be answered by NRC personnel . ensure that the record is as complete as

n with knowledge of the facts designated '" taone, as appropriate,as a saember of the Possible;k by the Eaccutive Director for Opera. [ board by notifying the alternate who wn!. (2) Upon consent of all the parties,as of the date of such nottncation, servee lions Upon a findmg by the presiding p u w of the M h h event SW WW Mm WWWomcer that answers to the interrogato- hat an alternate to unavailable or no Web b b Mu u pk' rics are necessary to a proper decision in n!ternates have been designated, and a t lmember of a board becomes unavailable, h echnical matter.s, and, upon comp etionthe proceeding and that answers to the

the Commission or the Chairman of the f ,7 g8 Presentation og evidence. tointerrogatories are not reasonably ob. Atomic Safety and Lt= mtng Board prepare a report that would become parttainable from any other source, the Panel may appoint a member of the E of the record.SpecialMasters may rulepresadmg omcer may require that the Atomic Safety and Ucensing Board Panel 0 on evidentiary issues brought beforestaff answer the interrogatories who is qua11 Bed 1ss the conduct of ad- them, in accordance with il U43 and

(iii) No deposition of a particular ministrsuve proceedings or a member 2.757. Appeals from such rulings may benamed NRC employee or answer to m. having technical or other stual1Scauons, taken to the presidmg omcer interrogatories by NRC personnel pur. ma appropriate. as a member of the accordance with procedures which shallatomic safety and licensing board by be established in the presiding omcer'ssuant to paragraphs (h)(2)(i) and (ii) ofthis section shall be required before the not.tfying the appointee who wn!. as of order appoinW 6e Special Me

the date of such not1Scation, serve as a Special Masters' reporta are advisorymatters in controversy in the proceedinghave been identified by order of the ,, member of the board only; the presiding omeer shall retainCommission or the presiding omcer. - (c) An atomic safety and beensing final authority with respect to the issues

(,pursuant to i 2.751a, or after the begin- board shall have the duties and may en- beard by the Special Master.orning of the prehearing conference held ercise the powers of a preudmpmur as (3) A!fernafe At mic Safety and

U''"5ing Board mernbers to sit with thepursuant to i 2.752 except upon leave of granted by t 2 718 and otherwise in this Presiding omcer. to pstlicipate in the.

the presiding omcer for good cause part At any time when such a board is in evidentiary sessions on the issue for-shown casstence but is not actually in session,a

" " "*'~ (iv) The provssions of { 2.740(c) and 6 any powers which could be exercised by d ".ated by ekaminmg witnesses and(e) shall apply to interrogatories served $ a presiding officer or by the Chief Ad- Sf the Presiding officer of their8E pursuant to this subparagraph mmistrative Law Judge * may be caer-E (3) Records or documents in the cased with respect to such a proceeder.g [ '8 *" " "'

[ custody of the Commissioners and NRC by the chairman of the board basanj r si ing ff c r hallret in mg personnel are available for inspection jurisdiction over it- authority on the issue for which the

and copying or photographing pursuant Two eurmocrs of an atomic satet c . et alternate rnember was desPated.tr. H 2 744 and 2.790. licensing bustd constitute a quoren.. it [ (4) Discovery Master ts, rule on the~ 2.721 Atomic safety and licensing one of those members is the mcrr.ber gg

boards. qualified in the conduct of admihistra- g matters specified in i 2.1018(s)(2) of thispart.teve proceedings

'b~

(s) The Commission or the Chair.man of the Atomic Safety and Licensing

"'

Board Panel snay from time to time (b) The presiding omcer may, as aestablish one or more atomic safety and matter of discretion, informally seek thelice ising boards, each comprised of assistance of Members of the Atomicthree members, one of whom will be Safety and ucensing Board Panet top

* qualified in the conduct of admmistra- brief the presiding omcer on the generalR eve proceedmgs and two of whom shall " technical badground of subjectstf have such technical or other qualifica- involving cornplex issues which theg tions as the Commission or the Chairman g presiding officer might otherwise have

p imculty in quickly grasping. Suchof the Atomic Safety and Licensms di py2 specAal Mstants tm presidinginformal briefings ahall take place priorBoard Panel deems appropriate to the otocor,

issues to be decided, to preside in such 3 k mdtdion a b PM to the hearing on the subject involvedand shall supplement the readmg andproceedings for granting, suspendmg *a Chairman. the presid. meer may, at study undertaken by the presidingretokseg. or amending licenses os

authorizations as the Commission sney ' Wa asmtion. appoint m ee Atomic officer. ney are not subject to thedeugnate, and to perform such other ad ; Safety and Ucensing Board Panel Procedures described in i UO4.

.

established by the Commissloo.

| yudicatory functions as the Commissiondeems appropriate The members of an | persormel to assist the presiding omcerin taking evidence and preparing a~

stomic satei) and licensmg board shall sultable record for review. Such

2 25 April 30,1992

- - - - - - - . - . =- - - - . .- _. --_ __ - _- _ - . _ _ .

.

2.730(al PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS m W a).

(h) Where the motion in question is a enamination n conducted and his at-Mortons --

motion to compel discovery under 8"rney shall be responsibic for the con.

. IN | L730(h)(2) or $ 2.740(f). parties may file duct of e a a minat son or cross. IM *'0****

g (a) Presentation and disposition. All answers to the motion pursuant to eadmination bs such andneduals.I motions shall be addressed to the parayaph (c) of this section.The i23 m to hopen., Commission or, when a proceeding la presiding omcer ja his or her discretion,E pending before a presiding officer.18 order that the answer be given (a) A motion to reopen a closed record I

g the prestding officer. All written mo- mafly during a telephone conference or Ito consider additional evidence will notoretions shall be filed with the Secretary, e other prehearing conference.rether than be granted unless the following critena

*" 8" ** * * 3 in writing. If responses are given over are satisfied:a the telephone the presiding othcer shall (1) The motion must be timely. except !

*-

(b) Form and content Unless made E issue a written order on the motion i that an exceptionally grave issue may'~

orally on the record during a hearing, . which summarties the views presented ; be considered in the discretion of thepresiding officer even if untimely !or the presiding officer directs other * by the parties.This does not preclude w

wise, a motion shall be in writing, shall the prestding OMcer from issuing a pelor || presented. |state with particularity t.he grounds oral ruling on the matter which is (2)The motion must address a |and the relief sought, and shall be ac- effective at the time of such ruling. sigmficant safety or environmental '

companied by any affidavita or other provided that the terms of the ruhng are issue. |evidence relied on. and, as appropriate. I

a proposed form of order. Incorporated in the subsequent written (3) The motion must demonstrate that_ order. a materially different result would be or'"

~would have been likely had the newly(c) Anewers to motiona. Within ten -

(10) days after service of a written fL731 Order of procedure. proffered evidence been considered" *b'motion, or auch other period as the The presiding officer or the Commis- -

Secretary or the Aaslatant Secretary alon will designate the order of proce. (b) The motion must be accompanied-j, or presiding officer may prescribe, a dure at a hearing. The proponent of by one or more affidavits which set forth <

party may file an answer in support of; or in opposition to the : notion, accom ;,. an order will ordinarily open and the factual and/or technical bases for |

" close. the movant's claim that the criteria of '

a panied by affidavita or other evidence, f paragraph (a) of this section have been iHowever, the staff may file auch an I I'7h g#'d'" ag P'**g-S

, answer within fifteen (IS) days after N ggggg9gg. competent individuals with knowledgeservice of a written motion. The Unless otheru ne ordered by the .

pr..h "en[.'.f nIer p eapo a eu.r en t as permi by e pre h Ie ur en f raised. Evidence contained in affidavitssiding officer or the Secretary or the eAssistant Secretary. P'""' s must meet the admissibility standards

;; set forth in i 2.743(c). Each of the~

Enaminasian a) capols.|~ (d) Oral argumental brie /a. No oral criteria must be separately addressed. f; argument will be heard on a motion with a specific explanation of why it ha(" unless the presiding officer or the A party me) requeu the Presidini been met. Where multiple allegations& Commission directs otherwise. A writ- "H8CC' 8" Permit a qualified indwidua* are involved, the inovant must identify i

* Len brief may be filed with a motica or who has scienistic or technical training withparticularity each issue it seeks to i

"g an answer to a motion, stating the ar. or caperience to participate on behalf"I litigate and specify the factual and/orLguments and authorttles relled on. that part) in the enaminaison and technical bases which it believes

crossesammation of e apert w itnesses support the claim that this issue meets[ (e)The Board may dispose of wntten The presiding ottaccr may permit such the criteria in paragraph (a) of this '

; motions either by wntten order or by indn edual to participaic on behall of the , section. I

(c) A motion predicated in whole or in |* ruhng orally dunng the course of a party ah the eannunation and cross ea -.,

s preheanng conference or hearing The amination ut esper mitnesses, where it part on the allegations of a confidential |* Board should ensure that parties not . would serve the purpose of turthering informant must identify to the presidmg,

- present for the oral ruling are notified y the conduct of the proceeding. upon g officer the source of the allegations and{promptly of the order. g landing ias that the andn edwal is ; must request the issuance of an

% qualified by scientific or sechnical train. ; appropnate protective order. |,.

(d) A motion to reopen which relates(f) Interlocutory appeals to fAe Com. " ing or eaperience to contribute to the 6,

mtaston. No interlocutory appeal may deielopment of an adequate decisional ;; to a contention not previously in i

be taken to the Comminaion from a re$ord in the proceeding by the conduct controversy among the parties must alsoruling of the presiding officer. When of such casmination or crong. satisfy the requirements for nontimely

; in the judgment of the presiding offt- eaaminanon. (bt ihn ene individual has contentions in i 2.714(a)(1)(1-v).cer prompt deciabn is necessary to i,a

{ prevent detriment to the public inter, re.ad any armen scisimon) on which he , DaroerTrops AND Wa:Tr3N IfrTEaROGA.est or unusual delay or expense, the intends to caemine or crou cammine and roatss; Dracorsar; Amaussion; Evt-

** presiding offleer may refer the ruling an) documents to be used or referred to ogNem

promptly to the Commisalon and in the course of the esamination ornotify the parties either by announce- cross-casmination, and (c) that the si,. I I.740 Genarmi ymisions smrales b |

ment on the record or by written dn adual has prepared himself to conduct E 8'"ef. '

,, notice if the hearing is not in session- a meaningful and capedmous taamina. * (a) Diseooery methods. Partaes may'

g.- (g) E//cet of Nina a motion or cerfg. tion or cross-eammination. Enamination e obtain discovery by one or more of thefollowing methods: Depositions upon 1

$crossI aamination conducted pur.-fication of gucation to (Ac Commte. tora oral eramination or written interroga-ston. Unless otherwtae ordered nel. suant en this section shall be limited to tories (8 MM written inn* ther the filing of a motion nor the cer- areas within the capertise of the in-.

{ tification of a question to the Commia- dividual conducting the esaminanon or rios ($ MW pmduction of der".mente or things or permlesion to em. anon shall stay the proceeding or

c rou.c aa minanon. pany on behaH upon land or other property, for w'' extend the time for the performanceLof any act. of whom such caamination or cross- spection and other purposes ($ 3.141);

, and requesta for admtmaion ($ 2.743).

April 30,1992 2 26 ||

1-

_ __ _ _ _ _

-

,

1

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...-

!- ,

4

.

*

I.

t

3 (b) Scope of discotery. Unless other.- wtae limited by order of the presiding

( [ officer in accordance with this section,the scope of discovery is as follows:g

L(1) /n generol. Parties may obtain

discovery regarding any matter.notprivileged, which is relevant to the

*

subject matter involved in theproceeding, whether it relates to theclaim or defense of any other party,including the existence, desenption,nature, custody, condition. and locationof any books. documents, or othertangible things and the identity andlocation of persons having knowledge of,

any discoverable matter. Where any3 book, document or other tangible thing

sought is reasonabl available fromN another source, sue as from theE Commission's S blic Document Room ora

3 local Public Document Room, asufficient response to an interrogatoryinvolving such materials would be thelocation, the title and a page referenceto the relevant book, document ortangible thing. In a proceeding on anapplication for a construction permit oran operating license for a production orutilization facility, discovery shall beginonly after the prehearing conference

lprovided for in i 2351a and shall relateonly to those matters in controversy |which have been identified by the i

Commission or the presiding officer in j, the prehearinforder entered at the i

conclusion of that prehearing

127 April 30,1992 ;

|)

!-- - -- -_-_--__-__-__-__-________a

.

PART 2 o RULES OF PR ACTCE FOR DOMESTC LICENSING PROCEEDINGS m

conf;r:nci ln auch a proceeding. na discovIry be conduffed wuz nd one pre. request. the response er objection af the,,

discovery shall be had after the sent escept persons designated by thenning of the prehearing conference Presiding ofGrcr:(6) that. subject to the P8 tty WPon whom the request was served.

e

g e d pursuant to i 2.752 except upon provisions of H 2.744 and 2.790,a trade and arguments in support of the motion.For purposes of thss paragraph, an-

R leave of the presiding officer upon good secret or uttrer confidential research.g cause shown It is not ground for development, or commercial informa- evasive or incomplete answer org objection that the information sought tion not be disclosed or be ilisclosed response shall be treated as a failure to

er answer or respond. Failure to answer orwill be inadmissible at the heanns if the only in a designated way;(7)that studies be escused on theinformation sought appears reasonably and evaluations not be prepared. if the hrespond shall not

the discovery of motion for a protective order is denied ground that the discovery sought is ob.*' '

i e ide ' in whole or in part,the presiding ofncer sectionable unless the person or party". dm failing to answer or respond has applied

(2) Tnalperparorsne matenols. A par. may,on such terms and conditions as are for a protective order pursuant toty may obtain discovery of documents just, order that any party or person pro.and tangible things otherwise discovera. vide or permit discovery, paragraph (c) of this section.

ble under subparagraph (1) of this (d) 5eguenre end saming of distuvery.paragraph and prepared in anticipation Unless the presiding officer upon mo. (2) In ruling on a motion made pur.of of for the hearing by or for another tion, for the convenience of parties and suant to this section.the presiding officerparty's representative (including his at. witnesses and ir the interests of justice, may make such a protective order as hetorney. consultant, surety, indemnitor, orders otherwise, methods of discovery is authorized to make on a motion made

~ insurer. or agenti only upon a showing may be used in any sequence and the fact Pursuant to paragraph sc)of this section.y that the party seeking discovery has sub. that a party is conducting discovery. (3) This section does not preclude an

stantial need of the materials in the pre. *hether by deposition or otherwise shall independent request for issuance of a.

g* paration of his case and that he is unable not operate to delay any other party's Subpoena directed to a person not a par.N without undue hardship to obtain the discov ery. ty for production of documents and

substantial equivalent of the materials by tel SWPpirmrruutam of rrspvmsrs A things This section does nnt apply to re-party who has responded to a request forother means in ordering discovery ofdiscovery with a response that was com.~ quois for the tutunony or intmogato-such materials when the required show.plete when made is under no duty to sup t* ries of the regulatory staN pursuant to iing has been made, the presiding officer 0 (h) ( or roducti of NRC

shall protect against disclosure of the piement his tesponse to include informa gmental impressions conclusions, opin. tion thereafter acquired, encept as" 2 790, encept for paragraphs (c) and (c)~

sons, or legal theories of an attorney or follow s- nof this section.

other representative of a party concern. (1) A party is under a duty seasona.

gng the proceeding g bly to supplement his response with t 2.740s Deposidons upon oral es-e respect to any question directly ad- gg g

(3) While interrogatories may seek5 ressed to (i)the identity and location ofd

to elicit factual mformation reasonably ~ Persons having knowledge of discovera-related to a party's position in the " ble matters, and (ii) the identity of each gproceedmg. inclading data used.assumptione made, and analyses Person capected to be called as an c apert testimony of any party or other person by

*8tness at the hearing.the subject matter g g,,$ performed by the party, such on which he is espected to testify, and ,ginterrogatories may not be addressed to,

or be construed to require:(A) Reasons the substance of his testimony. gg g gg for not usmg alternative data. (2) A party is under a duty seasona.E assumptions, and analyses where the bly to amend a prior response if he ob- to every other party, to the person to be

alternative data, assumptions, and tains information upon the basis of which cammined ,and to the presiding officer ofanalyses were not rehed on in (O he knows that the response was encor- the proposed time and place of takingdeveloping the party's position: or (D) rect when made,or (ii) he knows that the the deposition, the name and address ofPerformance of additionalresearch or response though correct when made is no each person to be rnamined,if known,oranalytical work beyond that which is longer true and the circumstances are 'I' ' h' "" * # ' ' " " ' h""*"' * I#"#''ineeded to support the party's position such that a failure to amend the response description sufficient to identify him oron any particular matter. is in substance a knowing concealment. the class or group to whgh he belongs;

(c) Prurcrme order. Upon motion by (3) A duty to supplement responses the matters upon which each person willa party or the person from whom discow. may be imposed by order of the presid- na n and na ne or c P ''ery is sought, and for good cause shown. ang officer or agreement of the parties , g , g 9{ e re

the presiding officer may make any orderIII M"""" '"(umpel daruerry. (1) If _whom the deposition is to be taken.-

which justice requires to protect a partyor person from annoyance, embarrass. a deponent or party upon whom a re- tto (Deleted 37 FR 15127.]

ment, oppression, or undue burden or 9unt for Production of documents or (c) Within the United States, a~

ansmus to interrogatories is served fails deposition may be taken before anyempense, including one or more of thefollowing:(Il That the discovery not be . to respond or objects to the request. or officer authorized to administer oaths byhad. (2) that the discovery may be had g any part thereof, or fails to permit in- the laws of the United States or of theonly on specified terms and conditions. $ spection as tcquested.the deposing party 0 place where the enamination is held.including a designation of the time or 's or the party submitting the request rnay n Outside of the United States, a deposi-

5 son may be taken before a secretary ofplace;(3) that the discovery may be had I m ve the preuding officer.mathan ten t l01 t* dan after the date of the response or E an embassy or legation, a consul general,only by a method of discovery other than afin failure of a party to respond to the vice consul or consular agent of thethat selected by the party seeking discov- request for an order compelling a United Staics, or a person authoriaed tocry; (a) that certain matters not be in,

quered into, or that the scope of discow, r"Ponte or inspection in accordance administer oaths designated by the Com-[ery be limited to certain matters;(5) that with the request. The motion shall set ,,,,,n,

forth the nature of the questions or the -

April 30,1992 2-28

- _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _

_

-_ . . _ __

2.742MPART 2 o RULES OF PRACTCE FOR DOMESTC UCENSING PROCEEDINGS...'

(d) The deponent shall be sworn or 01 The provisions of paragraphs (a) 2.740.*~

(b) Service. The request may beshall afGrm before any questions are put through (i) of this acetion are not ap- served on any parsy without leave of the j,to him. Easmination and cross-cammina- plicable to NRC personnel. Testimony of Commission or the presiding ofncer. Es.toon shall proceed as at a hearing. Each NRC personnel by oral esamination and

cept as otherwise provided in i 2.740,question propounded shall be recorded written interrogatories addressed toand the answer taken down in the words NRC personriel are subject to the provi- the request may be served after the pro-

of the witness.Objectionson questionsof sions of i 2.720(h).ereding is set for hearing

(c) Crmernts. The request shall act i.

j evidence shall be noted in short formwithout the arguments. The ofLcer shall g 2 744b lateeregatories se parties,

forth the items to be snspected either byindividual item or by category, andc6 mot decide on the competency, describe each item and category with

E materialit).ser relevance of evidence but (a) Any party may serve upon any reasonable particularity. The requestshall record the evidence subject to ob- other party (other than the staffP written I

section. Objections on questions of evi- interrogatories to be answered in writing shall specify a reasonable time, placc,

dence not made before the officer shall by the party served.or if the party servedand manner of making the inspection |

.

'

not be deemed waived unless the ground is a public or private corporation or a and performing the related acts.(di Arspmse. The party upon whom

of the objection is one which might have partnership or association, by any ofncer the request is served shall serve on thebeen obviated or removed if presented at or agent, who shall furnish such informa-that time. tion as is available to the party. A copy part) submitting the request a written

response within thirty (30) days after the~. of the interrogatories, answers, and all

service of the request. The response shall(e) When the testimony is fully related pleadings shall be filed with thetranscribed, the depositien shall be sub* Secretary of the Commission and shall state, with respect to each stem ormitted to the deponent for examination be served on the presiding ofDeer and category,that inspection and related ac-

tivities will be permitted as requested,; and signature unless he is ill or cannot be upon all parties to the proceeding, be , unless the request is objected to,m which(b) Each interrogatory shallp found or refuses to sign.The ofncer shal; answered separately and fully in writmg g case the reasons for objection shall be. certify the deposition or, if the deposi-g lion is not signed by the deponent, shall under oath or afGrmatton,unless it is ob stated. If objection es made to part of an

certify the reasons for the failure to sign, fected to,in which event the reasons for E stem or category, the part shall beand shall promptly forward the deposi* objection shall be stated in lieu of an 4 specified.tion by registered mail to the Commis. animer. The answers shall be signed by (c) NRC remeds ond documents. Trie

the person makmg them, and the objec. provisions of paragraphs (a) through (d)_ ' * " - of this section do not apply to the pro.

Where the deposition is to be smns by the attorney making them. Thet? party upon whom the interrogatoriesduction for inspection and copymg or-

(f)taken on written interrogatories,the par.C were served shall serve a copy of the photographing cf NRC records or docu-

ty taking the deposition shall serve af answers and o5;ections upon all parties ments. Production of such records orcopy of the interrogatories, showing eachE to the proceeding within 14 days after

documents is subject to the provisions of

interrogatory separately and con- service of the mterrogatories, or within {{ 2.744 and 2.790secutively numbered, on every other such shorter or longer period as the

j party with a notice stating the name and presidmg officer may allow. Answers t 2.742 Adminions,

g address of the person who is to answer may be used in the same manner as Apart from any admissions madethem, and the name, description, title, depositions (see t'2.740a(g)). (a)

; and address of the officer before whomd,: ring or as a result of a prehearing con-,

they are to be taken Within ten (10) 6 2.741 Production of documents andference, at any time after his answer has

,

days after service, any other party may things and entry upos land for in. been filed, a party may file a written re-quest for the admission of the genuine-serve cross mterrogatories. The inter- spection and other purposes. ness and authenticity of any relevanttogatories, cross-interrogatories, anddocument described m or attached to theanswers shall be recorded and signed * ls) Request for discovery. Any partyrequest,or for the admission of the truthand the deposition certified, returned, may serve on any other party a requestof any specified relevant matter of fact.and filed as en the case of a deposition on to.

, oral e nemination. (1) Produce and permit the party A cupy of the document shall bedelivered with the request unless a copy

ensking the request,or a person acting on~

(g) A deposition will not become a his behalf, to inspect and copy any desig- has already been furnished.part of the record an the hearmg unless nated documents.or to inspect and copy.

_-

(b) Each requreceived m evidence. If only part of a test of samP e any tangible th.ngs which be deemed made unless, within a timeldeposition is offered in evidence by a are within the scope of t 2.740 and which designated by the presiding officer or the

are in the possession, custody,or contro] Commission, and not less than ten (10)th parts ar sh Il not be deeme of the party upon whom the request is days after service of the request or such

' to make a E'rson his own witness for an# served; or further time as may be allowed on mo-% purpmc by taking his deposition. (2) Permit entry upon designatedE (h) A deponent whose deposition is land or other property in the possession g, tion, the party to whom the request isdirected serves on the requesting party" taken and the officer taking a deposition or control of the party upon whom the g . denying

.

E shall be entitled to the same fees as are request is served for the purpose of in. g esther (1) a sworn anatementsPecifically the relev ant matters of whichpaid for like services in the district sPection and measuring, surweying re an admission is requested or settmg forthto be paid bycourts of the United States'e the depose.P otographing, testing, or sampling the en detail the reasons why he can neitherhthe party at whose instanc Pf0 Petty or any designated object truthfully admit nor deny them, or (2)

orsoon as taken operation thereon, within the scope of g written objections on the ground that(i) The witness may be accompanied.represe n ted, and ad vised by legal ,,,,,,,,,,,,,,m,,,n,,,,,,,,,,,,,,e** some or all of the matters involved are.

privileged or irrelevant or that the re.w ' '""'* I ri m t : Dah ::e sas

2 29 April 30,1902

_ _ . _ - _ . - - _ _ _ . -

.

2.742(b) PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS. -2.744(cj

p eat *

la otherwise improper in whole or in g (3) P ragt:phs (b)(1) and (2) cf this | subparagrrph shall be specifiId in thea record with sufficient particularity to

part. Answers on matters to which g section do not apply to proceedings j advise the parties of the matterssuch objections are made may be de- h under subpart B of this part for which have been noticed or brought tomodification, suspension, or revocation gferred until the objections are deter.C of a Iicense or to proceedings Ior * the attention of the parties before

d, snined. If written objections are made gto only a part of a request the remain. L mposition of a civil penalty.| affected by the decision shall te given* final decision and each party adverselyi a

der of the request shall be answered - (c) Admissibility. Only relevant. ma- Lopportunity to controvert the fact.gm within the time designated. terial, and reliable evidence which is

.(|1 (c) Admissions obtained pursuant to not unduly repetitious will be admit. (2) If a decision is stated to rest inthe procedure in t.his section may be ted. Immaterial or irrelevant part4 of whole or in part on official notice of aused in evidence to the same extent an admissible document will be segre.2 fact which the parties have not had aand subject to the same objections as gated and excluded so far as is practi. N prior opportunity to controsert, aother admlasions. cable. *

(d) OWections. An objection to evi-| party may controvert the fact by filingC an appeal from an initial decision or al 2.743 Evidence'

(a) Cenerol Every party to a of objection. The transcript shall in." petition for reconsideration of a finaldence shall briefly state the grounds e

decision clearly and concisely settingproceedmg shall have the right to k clude the objection, the grounds. and forth the information relied upon topresent such oral or documentary the ruling. Exception to an adverse show the contrary.a

evidence and rebuttal evidence and to f ruling is preserved without notation ""

conduct. in accordance with an g on the record. I 2.744 Production of .NRC records andapproved cross. examination plan that (e) O//cr of proof. An offer of proof documents.contains the information specified in made in connection with an objection (a) A request for the production ofparagraph (bH2) of this section if so to a ruling of the presiding officer ex- an NRC record or document not avail-directed by the presiding officer. such cluding or rejecting proffered oral tes- able pursuant to i 2.190 by a party tocross-exammation as may be ter.ind timony shall consist of a statement of an initial licensing proceeding may befor full and true disclosure of the facts. the substance of the proffered evi- served on the Executive Director for

(b}(1) Testmony ond eross. dence. If the excluded evidence is writ- Operations, without leave of the Com-examination. The parties shall submit ten, a copy shall be marked for identi- mission or the presiding officer. Thedirect testimony of witnesses in written fication. Rejected exhibits, adequately request shall set fcrth the records or

marked for identification, shall be re-form. unless otherwise ordered by the document.s requested. either by indi-tained in the record.presiding officer on the basis of vidual item or by category, and shan-

objections presented. In any proceeding * (f) Exhibits. A wntten exhibit wdl not describe each item or category with

in which advance wntten testimony is to be received m evidence unless the reasonable particularity and shan

be used each party shall serve copies of original and two copies are offered and state why that record or document is

its proposed wntten testimony on each a copy is furnished to each party, or the relevant to the proceeding.(b) If the Executive Director for Op-other party at least fif teen (15) days in parties have been previously fumished

advance of the session of the heanns at with copies or the presiding officer nueste$ recoYor dNumen''

gonthe(- which its testimony is to be presented. g directs otterwise.'Ihe presiding officer, ground that (1)It is not relevant or (2

R The presiding officer ma) permit the may permit a party to replace with a it is exempted from disclosure underE introduction of wntien testimony not so E true copy an original document admitted M i 2.790 and the discicsure is not neces-g served. either with the consent of all g in evidence. Exhibits in the proceeding ;; stry to a proper decision in the pro-

parties present or after they have had a on an application for a license to receive E ceeding or the document or the infor.reasonable opportunity to examine it. and possess high-level radioactive g mation therein la ressonably obtain-Wntten testimony rnust be incorporated waste at a geologic repository able from another source, he shall soa

into the transenpt of the record as if operations area are govemed by advise the requesting party,read or,in the discretion of the presidmg i 2.1013 of this part. (c)If the Executive Director for Op

officer, may be offered and admitted m erstions objects to producing a record.

evidence as an exhibit. (g) Proceedings involving oppitca- or document, the requesting party

(2) The presidmg officer may require a fions. In any proceeding involving an may apply to the presiding officer, mapplication, there shall be offered in writing, to corapel production of thatparty seeking an opportunity to cross-

. evidence by the staff any report sub- record or document. The applicatio .examme to request permission to do so 3 mitted by the ACRS in the proceeding shall set forth the relevancy of thein accordance with a schedule in compliance with section 182b. of the record or document to the issues 1:-a

established by the presiding officer. A | Act, any safety evaluation prepared by the proceeding. The application sha2request to conduct cross exammation E the staff and any environmental be processed as a motion in accordanceshall be accompanied by a cross- 0 impact statement prepared by the Dl- with 1 2.730 (a) through (dL Theexamination plan that contams the rector of Nuclear Reactor Regulation record or document covered by the apfollowing information: or Director of Nuclear Material Safety plication shall be produced for the "in

(i) A brief desenption of the issue or and Safeguards, ks appropriate, or his camers" inspection of the presiding of-issues on which cross-exammation will designee in the proceeding pursuant to ficer, exclusively, if requested by the

be conducted. Subpart A of Part 51 of this chapter. presiding officer and only to the-

extent necessary to determine:(ii) The objectis.e to be achieved byf (h) Offtetal record An official record (1) The relevancy of that record crcross-exammation; and of a government agency or entry in an document;a

(iii) The proposed line of questions E official record may be evidenced by an (2) Whether the document is exemptthat may logically lead to achievmg the a official publication or by a copy attest- from disclosure under i 2.790;objective of the cross-exammation. * ed by the officer having legal custodF (3) Whether the disclosure is neces-The cross-examination plan may be of the record and accompanied by a stry to a proper rfecision in the pro-

submitted only to the presiding officer certificate of his custody. ceeding;and must be kept by the presidmg (4) Whether the document or the in-officer in confidence until issuance of (D Ometal notice- (1) The Camis- formation therein is reasonably ob-

the initial decision on the issue bein8g al n r the prealding officer may take tainable from another source.e official notice of any fact of which a

litigated. The presidmg officer shall then e court of the United States may takeprovide each cross examination plan to * judicial notice or of any technical orthe Commission's Secretary for R scientific fact within the knowledge of ~

inclusion in the official record of the the Commission as an expert body.proceadms- Each fact officially noticed under this

2EApril 30,1992

|,

.

2.744rd) PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . .*

d

(dt Upon 3 determination by the pre - (g) No request pursuant to this sec- as provided in this section, a party oppos--

aiding offices that the requesting tion shall be made or entertained before ing the motion may not rest upon thethe matters in controversy have been

o he record o um nt d tha i ,

mere allegations or denials of his answer;

e production 14 not exempt from disclo.g identified by the Commission or the his answer by affidavits or as otherwis.gf j'

f aure under i 2.790 or that, if exempt.c presiding officer, or after the beginning of provided in this section must set forth j

its disclosure is necessary to a propero the prehearing conference held pursuant specific facts showing that there is ara decision in the proceeding. and the" to i 2.152 except upon leave of the genuine issue of fact,if no such answer is

. residing officer for good cause shown.filed, the decision sought,if appropriate,pn r ably ob able fror .

shall be rendered.other source. he shall order tlie Execu -tive Director for Operations. to| (h) The provisions of 9 2.740(c) and (c) Should it appear from the affida-

_ roduce the document. @ (e) shall apply to production of NRC vits of a party opposing the motion thatprec a u n e cann r reas ns s ated, preseM h~

.

(e)ln the case of requested docuseasta 6 section. affidavit facts essential to justify hisand records (laclung SafeguardaInformation referred to in sectiona lay E SUMM ARY DISPOSITION ON opposition, the presiding officer may

PLEADINGS refuse the application for summary deci-and1st of the AtorrJc Energy Act.as { or may order a continuance toamended) exempt from disclosure under_I a.7ae Authertry of preeks6ng omeer to $ sionpermit affidavits to be obtained or makei 2.790, but whose disclosure la found by

the presiding of$cer to be necessary to a dispose of certa #n leaves on the pleadings. E such other order as is appropnate and aproper decision in the proceeding, any (a) Any party to a proceeding may 6 determination to that effect shall beorder to the Executive Director for

move, with or without subporting g made a matter f record.Operations to produce the document or affidavits, for a decision y the (d) The presiding officer shall renderrecords (or any other order issued presiding officer in that party's favor asordering production of the document or to all or any part of the matters involved the decision sought if the filings m therecords) may contain such protective in the proceeding. The moving party proceeding, depositions, answers to inter-terms and conditions (including shall annex to the motion a separate. rogatories, and admissions on file, toget-affidavits of non-disclosure) as may be short.and concise statement of the her with the statements of the parties andnecessary and appropriate to lim!! the material facts as to which the moving the affidavits. if any, show that there isdisclosure to parties in the proceedmg. party contends that there is no genume no g:nuine issue as to any material factto interested States and othee issue to be heard. Motions may be filed and that the mourg party is entitled to agovernmental entities participating at any time. Any other party may serve

decision as a matter of law. However.input susnt to | 1718(c), and to their an answer supporting or opposing thequahfied witnesses and counsel When motion, with or without affidavits. any proceeding involving a constructionSafeguards Information protected from within twenty (20) days after service of permit for a production or utilization

$ answer opp. The party shall annex to anyfacility, the procedure described in this? disclosure under sect >on 147 of the the motion

} Atomic Energy Act, as amended. is osing the motion a separate. section may be used only for the determi-,

recch ed and possened by a party other R short, and concise statement of the nation of specific subordinate issues and,:

* than the Commission staff,it shall also E material facts as to which it is may not be used to determine the ulti-,

.

* be protected according to the y contended there exists a genuine issue mate issue as to whether the permit shallrequirements of i 73.21 of this chapter. to be heard. All material facts set forthThe presiding officer may also prescribe in the statement required to be served _.be issued.such additional procedures as will by the moving party will be deemed toeffectively safeguard and prevent be admitted unless controverted by thedisclosure of Safeguards Information to statement required to be served by theunauthorizedpersons with m!rdmum opposing party. The opposing party may.Impairment of the procedural hts within ten (10) days after service,which would be available if Sa eguards respond in writing to new facts andInformation were not involved. la arguments presented in any statementaddition to any other sanction that may filed in support of the motion. No furtherbe imposed by the presiding officer forviolauon of an order issued pursuant to p

thereto may be entertained. Thethis paragraph. violation of an order presidu s officer may dismiss summarilypertaining to the disclosure ofSafeguards information protected frorn or hold in abeyance motions filed

disclosure under section 147 of the shortly before the hearing commences or

Atomic Energy Act, as ausended. may be during the hearing if the other parties or

i subject to a civil penalty imposed the presiding officer would be required

pursuant to i 2 205. For the purpose of to divert substantial resources from the-

impesing the crimiest penalties hearing in order to respond adequately HEARINGS

contained in section 223 of the Atomic to the motion and thereby extend the 0 2.750 Official reporter; transcript.

Energy Act, as amended, any order proceeding. (a) A hearing will be reported underinued pursuant to this paragraph with . the supervision of the presiding officer,

(b) Affidavits shall set forth such factsrespect to Safeguards Irdormation sha!!be deemed an order issued under as would be admissible in evidence and_g g

shall show affirmatively that the affiant as asection181b of the Atomic Energy Act. g

f (f) A ruling by the presiding officer *g competent to testify to the matters stated 6e therein. The presiding officer may permit h "'Y.be a regular employee of the Com-mtssion. The transcript prepared by the

% I affidavits to be supplemented or opposed i

S or the Commission for the produc " by depositions, answers to interrogatories reporter shall be the sole official tran-,

script of the proceeding. Except as h,m-J tion of a record or document will specify or further affidavits. When a motion forited rursuant to Section 181 of the Act$ the rune, place, and manner of produc- summary decision is made and supported

Lien.'

23 April 30,1992

I,

_ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

_ _ _ -

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ....

'or order of the Commission, the trans. I 2.751a Special prehearing conferencesuch manerscript will be open for inspection at the in construction perinit and operatingg raised in the objections as it deemsPublic Document Room. Copies of tran* * license proceedings.

E appropriate. The order shall control thescripts are available to parties and to the ;;;public from the official reporter on pay- g su quent c urse i the proceeding-

ment of the charges fixed therefor. I""*** ' ' " " " '~

I" "'T ##" 8 ""(b) Transcript corrections. Corree-application for a construction permat ortions of the official transcript may be an peratins license for a production or -

made or.ly in the manner provided by this (a) The Commission or the presiding

paragraph. Corrections ordered or ap- {,, utilization facility, the Commission or thepres ding officer will direct the parties officer may, and in the case of a proceed-proved by the presiding officer shall be ing on an application for a constructionincluded in the record as an appendix, ; and any petitioners for intervention, or

N and when so incorporated the Secretary S their counsel, t appear at a specifiedpermit or an operating license for a

g shall make the necessary physical conec O me and place, within ninety (90) daysfacility of a typc described in"

I tions in the official transcript so that it a ter the notice of hearing is published, or 6 $ 50.21(b) or 50.22 of this chapter or a

such other time as the Commission or the testing facility, shall direct the parties or" will incorporate the changes ordered. In

presiding officer may deem appropriate, thetr counsel to appear at a specified timemaking corrections there sha!! be nosubstitution of pages but, to the extent Jor a conference to: and place for a conference to consider:7

(1) Simplification, clarification, andpracticable, corrections shall be rnade byrunning a line through the matter to be (1) Permit identification of the key specification of the issues;""

changed without obliteration and writing issues in the proceeding; (2) The necessity or desirability of

the matter as changed immediately above. (2) Take any steps necessary for fur. , amending the pleadings;Where the correction consists of an inser, the identification of the inues; j (3) The obtaining of stipulations and

tion, it shall be added by rider or interlin. (3) Consider allintervention petitions e admissions of fact and of the contentsestion as near as possible to the text to allow the presiding officer to make g and authenticity of documents to avoidwhich is intended to precede and follow such preliminary or final determination as unnecessary proof;

it. , to the parties to the proceeding, as may (4) Identification of witnssses and theD be appropriate;and limitation of the number of expert wit--

[ (4) Establish a schedule for further nesses, and other steps to expedite them actions in the proceeding. presentation of evidence;

(c) Free transcr:pt. Except in an (b) The presiding officer may order (5) The setting of a hearing schedule;E*

antitrust proceedmg. in any adjudicatory any further informal conferences among and

proceedmg on an application for a the parties, including telephone confer. (6) Such other matters as may aid in(bcense or an amendmeni thereto, the ences, to the extent that he considers that the orderly disposition of the proceedmg.

presidmg offaer may arrange for such a conference would expedite the, provision of one free transcript to a proceeding. A prehearing conference held under this

j party.other than the opphcant.upon (c) A prehearing conference held pur. section in a proceeding involving a con-. request by that party. The transcript will suant to this section may be stenograph. struction permit or operating license shall

be made assilable to a party at the sametime and location as it is made asallable ically reported- be held within sixty (60) days afterS

discovery has been completed," or such.

to the NRC staff. If a transcript is mailed other time as the Commission or the- -

to the ataft it will also be mailed to the (d) The presiding officer shall enter anrequestmg part). A presidmg officer has rder which recites the action taken et-.> residing officer may specify.

the discretion to control th.e distnbution the conference. the schedule for furtherof transcnpts to parties. e actions in the proceeding. any| agteements by the parties, and which

identifies the key issues in theproceeding makes a prehmmary or fmaldetermination as to the parties in the

I 2.751 Hearings to be public. proceedmg. and provides for thelk Except as may be requested pursuant submission of status reports onE to Section i61 of the Act, all hearings discovery. The order shall be served

will be public unless otherwise ordered by upon all parties to the proceeding.

e Comnussion. E Objections to the order may be filed by 'This conference may be omitted in pro.a party within five (5) days after sersice ceedines other then contested proceedinsi-

| g of the order, except that the staff may e Disconry, as used in this sect 6an.does notj,

(10) days after service. Parties may not sarety evaluation prepared by the resulatoryfile objections to such order withm ten include the production or the AcRs repnrt, the

file replies to the objections unless the stafr. or any detailed statement on environ.

* 'This paragraph is suspended until further Board so directs.The fihng of objections mental cons 6derations prerared tiy the Directoraction of the Commission. 4s FR 136s! sha]} not stay the decision unles8 the of Resutstion or his designet in the proceeding

|presiding officer so orders. The board pursuant to Appendia D or Part 50 or this

may revise the order in consideration of ch * Pter-i

the objections presented and as'

permitted by 12.718(i). may certify fordetermination to the Commission

| April 30,1992 2 32

.

N *IPART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ...,

..

r I 2J54 Proposed fmd6ngs andconclusaons.

p(a) Any part) to a proceedmg may. or

'[ (b) Prehearing conferences may be if directed by the presidmg officer shall. I 2.756 Informal procedures.

In, stenographically reported. file proposed findings of fact and The Commission encourages the use of-

conclusions of lew. briefs and a Sinformal procedures consistent with theI ct, sections $51558 of title 5 of thee,

proposed form or order of decision Ar8

withm he time provided by the f United States Code, and the regulationss

|b followmg subparagraphs. escept as lQin this chapter, and with 'the orderly

otherwise ordered by the presidmg conduct of the proceeding and the neces- ,

', II'C# sity for preserving a suitable record for(c) The presidmg officer shall enter anorder which recites the action taken at

(1)The part3 who has. he burden of ,,,j,,*t

* proof shall. withm thirty (30) da)s afterthe conference, the amendmentsallowed to the pleadings and * the recprd is closed. file proposed

.,

agreements by the parties. and which a fmdmgs of fact and conclusions of law ,

'

hmits the issues or defmes the matters i and bnefs.and a proposed form of orderin controversy to be determined m the * or decision.proceedmg. Objections to the order may (2) Other parties may file proposedbe filed by a part) within five (5) days findings. conclusions of law and briefsafter service of the order. escept that the withm forty (40! days after the record is

B regulatory staff may file objechons to closed Howeser. the staff may file such

g such order within ten (101 days after proposed fmdmss, conclusions of law

g service. Parties may not ble rephes toand br.efs withm fifty (50) da> s after the i 2.757 Authority of presiding officer to

the objechons unless the board so record :s closedregulate procedure in a hearing.

E directs. The himg of objections shall not (3) A party who has the burden of To prevent unnecessary delays or an-stay the decision unless the presidmg proof nay reply withm in e (5) da)s unnecessarily large record, the presidmg

ofhcer so orders; The board may retise after f Img of proposed fmdmps and officer may:the order in the ught of the objections conclusions of law and bnefs b other (a) Limit the number of witnesses3

presented and, as permitted b) i 2118(i) partas whose testimony may be cumulative;may certify for determination to the (b) Strike argumentative, repetitious,

-

Commission cumulative, or irrelevant evidence;- (b) Failure to file proposed findings (c) Take necessary and proper meas-gsuch matters raised m the objections as

deems appropriate. The order shall g act, c nc un ns law r bMs when ures to prevent argumentative, repeti-directed to do so may be deemed a tious, or cumulative cross <xamination;r

control the subsequent course of the E'

proceedmg unless modified for good ; default, and an order or initial dectston and

j',may be entered accordingly. (d) Impose such time limitations on,cause.arguments as he determines appropriate,

(c) Proposed findmss of fact must be ,;; having regard for the volume of theclearly and concisely set forth in @ evidence and the importance and com-numbered paragraphs and must be e plexity of the issues involved.confmed to the materialissues of fact Ii 2 758 Consideration of Commusionpresented on the record. with exact "I rules and regulations in adjudicatorycitations to the transcript of record and { p,g,

{ 2.753 Stipulations. $ exhibits in support of each proposed~~

Apart from any stipulations made dur- 5 fmdmg Proposed conclusions of law .

(a) Except as provided in paragrapnsing or as a result of a prehearing confer * g must be set forthin numbered

paragraphs as to all material lasues of (b). (c). and (d) of this section. any ruleence, the parties may stipulate in writing E law or discretion presented on the or regulation of the Commission or anyat any stage of the proceeding or orally

record. An intervenor's proposed g provision thereof, issued in its programduring the hearing, any relevant fact or findmgs of fact and conclusions oflaw for the licensing of production ando'

R the contents or authenticity of any docu- must be confmed to issues which that E utilization facilities. source material.y ment. Such a stipulation may be received party p aced in controversy or sought to E 8pecial nuclear material or byproduct-

et in evidence. The parties may also stipu- place in controversy in the proceeding. E materialis not subject to attack by way

' late as to the procedure to be followed in * of discovery, proof, argument. or othermeans in any adjudicatory proceedingN the proceeding. Such stipulations may, on -

wallicensingmotion of all parties, be recognized by 6 2.755 Oral argument before presiding I",'

*Ing i tial or te, ct

the presiding officer to govern the con- officer.

, duct of the proceeding. R When, in the opinion of the presiding" officer, time permits and the nature ofw the proceeding and the public interestS warrant, he may allow and fix a time for

the presentation of oral argument. He willimpose appropriate limits of time on theargument The transenpt of the argumentshall be a part of the record. .

A ril30,1992P2 33

1

-- __ - _ - - - - _ - _

_. _ . _ . - _ .. . - _ _ . _

,.

..

)' 2'758(b)RUtT 2 o RULES OP PRACTICE POR DOMESTIC UCENSING PROCEEDINGS ". 2.%0(b)

'

|*

,

{(b)(1) A party to an adjudicatory (B)Noncomplianos with the current of the peutlen, affidsvita and any re- '

F _ -_ _ " '- involving initial licensing liceaslag basis durlag the period of ananas detamine whomw the app 4|

estended operation. L ' plant's currentM,*I '8''"M$ L"8"I", jesbject to this subpert may petiuon that '

--te inaddition to those in the

gthe applicauen of a specined s,ed or an eseepuan he made. or ;Cossaiselon rule or regulation or any licensing basis or otherwise needed for the commission may direct such fur- i

prownsion thereof, of the type described consplianos with to CPR M.as must be ther proceedines as it deems appropri- 1la paragraph (a) of this section be imposed to provide aampi'a.a= with the ate to and its determinauen. .waived or an eaception made for the current licensing basis or to ensure thal (e) m er not me procedun in .

,

fe*r'",e"laion for waiver w e e,tio. is"r proceeding. De sole groundhenieHon le not inknical to the public $g,3oper * ''$

e.d seiety.mmmon defense y,eed,n, ma, ,,e a ,euu.n ,o, ,use ;lbst special circumetences with respect and security during the period of mandne pursuant to e s.aos,to the subject matter of the particular extended operation.

proceeding are such that the application ' De petition must be accompanied byof the rule or regulation (or provienoa en amdevit that identines thethereof) would not serve the purposes g circumstances, explains how they will

i

,

for which the rule or regulation wasg result either in operation that is ini=leat , m uw ,, m % , .adopted. De petition must be to public health and esfety or ===ani

accompenned by an ofRdevit that E eew s.,defense and security or noncompliance i

-

identines the specinc subject matter of R E! pu Ee 7ra't may"with the current licensing basis.

the proceeding as to which the describes what additional requirements setuement of pwueular issues in a 1application of the rule or regulation (or must beimposed, and explains why the A proceeding or the entire proceedens. Iprovision thereof) would not swwe the requirements are necessary for Thwefore, to the estant that it is not .Jpurposes for which the rule or regulation compliance with the current licensing inconalstent with hearins reeutre- 1was adopted, and must set forth with basis or to ensure that operation will not I*

L*it' ' '*

particularity the special circumstances be inimical to the public health and setuement of contested talual Meens- ;23 d se bk i

alleged to justify the waiver orsafety or ra==an defense and security ins proceedings is encouraged. It is es. iexception requested. Any other party

may file a response thereto, byduring the pwled of extendec' operation. poeted that the presidans Officer and i

"" "'"h* 8"'" '* "h'" 8 "****'"8'counteraffidavit or otherwise. (3) AnY other P8rty may file a will take appr"opriate steps to carry

(2) A party to en adjudicatory response to a petition submitted out this purposeproceeding involvi issuance of a pursuant to regraphs (b)(1) or (2) of -

i

this section y countereffidavit ori may petition that the requirements

renewed license r 10 CFR part M otherwise' -

Inh :rtat Dscistop ano CouvissionE $ tie "

(c)If, on the basis of the petition af- Reviewu i d r3exception made for the particular floavit and any response thereto pro-

;;; vided for in paragraph ab) of this sec- f /proceeding.The sole grounds for the @ uon. the presidins officer determines n \

p"tition must be one or both of the that the peutsonine party has notJ- * made a prima facie showins that the

(i)W3 t to the subject matter applicauon of the specifle Commission i s.yes ensam esseman ane ns elesst.

Cu r pmceeding, special rule or regulation or provision thereof (el After hearing. the. officer

'

to a particular aspect or aspects of the will render en initial decision willcircumstances pertaining to age-related subject matter of the proceedins I constitute the Anal action of thedegradation unique to hcense renewalwould not serve the purposes for g Commission forty (40) days after its date(as defined in 10 CFR part M) or which the rule or regulation was g unless any party petitions forenvironmental protection are such that adopted and that appileation of the Comasieston revire in accordsace with

the application of specific requirements rule or resulation should be waived or 3 12Jeg or the t'a==i= ion takes rev6ewof to CFR part M or to CFR part Slin an neepuon granted. no evidence maF sus sponte or the decio6en is subject toquestion would not serve the purposes $v .the provleions of 9 2 Jet."

saminau or sumfor which the rule or reguletion wasdirected to the matter will be permit- f (b)Whose to pubbe bessest seadopted. The petition must beted, and the presidins officer may not : seguirem, the Comademies may dheataccompanied by an affidavit that further consider the matter. = g:e q ego, seidentines the specific section (or portion adi If, on the basis of the petition. 8 semesd is a wghout asledeel

thereof) of either 10 CFR part M affidavit and any response provided . andmor-addressing -related degradation or 10 for in paragraph ab) of this section. L. |

jCPR part 81 or which a waiver or the preending officer determines that - e-

exception is sought, the subject matter such a prima facie showing has been B )

A (llbecome Analunless &e"'"8'""'*""d'*'''*"""''made. the presidins officer shall-

of the proceeding as to which the . before ruling thereon, certify directly wiapplication of the identified requirement to the Commission' for determinsuon E N='aien erants a petH6en fwwould not serve the purposes for which the snatter of whether the application R reconsideration pursuant to i 2.771: or

ithe rule or regulation was adopted. and of the ca=='=taa mie w regulauen t-

|must set forth with particularity the or provision thereof to a parucularaspoet or aspects of the subject matter j

special circumstances alleged to justify of the proceeding in the context of-

the walver or exception requested. this escuen should be waived or an(ii) Because of circumstances unique emospuen usade. De Commission

to the requested term that result in: **y. amons other thinsa, on the basis(A) Operation that is inimical to the

public health and safety or common 'The matter wtn me arsariw te saw cas-'

defense and security or '"g''Q" ""*"h"*"d'"' '8" ''""*" "

April 30,1992 2-34

-

*

UPART 2 o RUtNS OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS -

.

f (2) Omit an initial decision on a find. (2) No unresolved substantial issue prehearing conferences as provided in::ing that due and timely execution of ; of fact, law, or discretion remains, and il 2.740,2.740s. 2.740b. 2 741. 2 742.

the record clearly warranta granting 2151a. and 2 752. shall be sdeduledalta functions imperatively and unavoi* r8fda * the relief requested; andI (bly so requires. accodng4 pWons M H 2 M

c) An initial decision a-ill be in writ. % (3) The presiding officer finds that

" Ang and will be based on the whole dispensing with the issuance of the 2M. 2M 2.762. 2183. end 2 764|a)record and supported by reliable, pro. Initial dectston is in the public interest. Shall apply to any proceed.ng conductedbative, and substantial evidence. The (H An order entered pursuant to and any initial decision rendered ininitial decision will include: paragraph (al of this section shall be E occordance with this section. Paragraph

(13 Findings, conclusions and rulings. sub,ect to review by the Commission % 2.764(b) shall not apply to any partial[i ,$'g"'g,',$', ["3[', dis " U "" "A" ** thiny (30) initial decision rendered in accordanceth ' "*

dap after its date..

with this section. This section shall notcretion presented on the record;(2) All facts officia!!y noticed and - preclude separate hearings and

relied on in making the dectsion;_

decisions on other partictJar issuet

(c ) An innialdecision may be madegr"g (3) The appropriate ruling, order or ., effecth e immediately. subject to reviewa denial of relief with the effective date; gg gg g 4 ggg

g g withm thiny t)0) days eher its date.- (4) The time within which a petition 1| esupt as othusise provided en this

for review of the decision may be filed. L daptu when:the time within which answers insupport of or in opposition to a petition _

for review filed by another party may be (1) All parties stipulate that the initialf filed and,in the case of an initial decision may be made effectiveg decision which may become final in immediately and waive their rights tog

accordance with paragraph (a) of this u file a petition for review, to request oralsection, the date when it may become $. argument, and to seek judicial review;

_ final. -

C*""*" '" # '"'M N'"' *""'p2.160s Inittel decision in contested pro.

ceedings on applications for facilits ep- g nf faci. lam,or discre: ion remesis and in its discretion the Commission mayersting Ilcenses. ei the record thearfy wetrants granteng allow oral argument upon the request of

E the rel'ef re4uelted; ##d a party made in a petition for review orIn any initial dectsion in a contestedproceeding on an application for an g ()) The presiding officer fends th6t brief on review.or upon its ownoperating license for a production or et es in the public interest to make the initiative.utilization factlity, the presidmg offi- initial dec esson effective immediately.

; cer shatt make findings of f act and j 2.764 Imenodlete effectNeness of initial' conclusions of law on the matters put I (d) The provisions of this section decision directing naeuence or amendment

, into controversy by the parties to the h not apply to na initial decision of constructen pennu or operating Ilcense.I'

e rm ned t h I ues t 5 direcong the issuenee or amendment (a) Except as provided m paragraphsE been* the proceeding by the Commission or a of a construction pennit or construc. (c) through (f) of this secton. or as* the prealding officer. Matters not put " tion authoruation of the issuance of otherwise ordered by the Commission in: into controversy by the parties will be E en operating hccase or provisional special circumstances, an initial

examined and decided by the presiding operating authorisation. decision directing the issuance orofficer only where he or she deter- amendment of a constructon permit. a

j 2.76te Separate hearings and doolaiena- construction authorizatien or anen or co n de ea

rity matter exista. Depending on the in a proceedir.g on an application for operating license shall be effectiveresolution of those matters, the Direc- a construction permit for a utilization immediately upon issuance unless the

residing officer finds that good causetor of Nuclear Reactor Regulation or facility which is subject to i 51.20(b) of aDirector of Nuclear Material Safety this chapter, and is of the type specified 8 as been shown by a par'v why the

[ in || $1.21(b)(2) or (3) or 50 22 of this initial decision should noibecomesking e e tatt i din s.

issue, deny, or appropriately condition c.hapter or la a testing facihty. the immediately effective, subject to review

the ueense. presiding officer shall unless the parties thereof and further decision by theagree otherwise or the rights of any Commission upon petition for review

8 '7s1 Espedited decisional procedure. party would be prejudiced thereby. filed by any party pursuant to i 2386 or| (al The presiding officer may deter- commence a hearing on issues covered upon its own motion.,

g. m by I 50.10(e)(2)(ii) and Subpart A of Part (b) Except as provided m paragraphs! fh conc us r of hear g thou

E suing an initial decision, then: E 61 of this chapter as soon a6 practicable (c) through (f) of this secoon, or as$ efier issuance of the staff ofits fmal otherwise ordered by the Commission in

L environmentalimpact statement. but no special circumstances, the Director of,

later than thirty (30) days after issuance Nuclear Reactor Regulat:on or D: rector~

(1) All parties stipulate that the initial of such statement. and complete such a of Nuclear Material Safe y anddecision may be omitted and waive their hearing and issue an initial decision on Safeguards, as appropriate.rights to file a petition for review, to

E request oral argument. and to seek such matters. Pehearing procedures notwithstanding the filing or grantmg ofE judicial review; regarding issues covered by Subpart A e petition for review, shall issue a

of Part $1 and i 51.10(e)(2)(ii) of this construction permit. a construction-

chapter. includmg any discovery and authorization. or an operating license, orspecial prehearmg conferences and amendments thereto. authorized by an

initial decision, within ten (10) daysfrom the date ofissuance of the

! decision.*

_

,2 35 April 30,1992

1

.

2 M c) ''PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS...

.

~ ~4s) As initialdenisias diseasleythe additsee to taking generic rulemeldagleseence of as lettellienneslos abe actions, the Co=='a=% wSI be,construction end opeewuse of est providing case-by case guidance on

,

'-i tI opent feel story changes in regulatory poucles in l-

Instagetion (ISFSt) or monitored conducting its reviews la adjudicatorysetrieveble storage installation (NRB[ i.;--n '' , he Boards shau,in turn,under 10 CFR Part 72 shall become apply these revloed regulations and

g effective only goe erdes of ee polides la cases then pending before;; Comminion.He Director of Nuclear them to the extent that they amE weierial s.fety and safeguards sh.il applicable.n. tw-i ion e the

not lesoe an initiallicense for the Licenslag Boards to pay partiI construction and operation of an ettention la their dedstons to analysing

's

independent spent fuel stomass : the evidence on those safety andlastellation (ISFSI) or a aseoitered : environmentalissues arising under !

estrievable storaga lastallation thES) e applicable Commisaloc, regulations and |under 10 Cf1t Part 72 until expressly I policies which the Boeide believe 1

authorised to do so by the Com:nisseen present serious, close < uestions and |which the Boards believe ussy be crucialto whether a license s%Jd beoosseeffective before full aallate reviewiscompleted. Forthermore, the Boardsshould identify any spects of the case <

'

which in their judgment. present lesueson which prompt Commission policyguidance is called for.no Boards mayrequest the assistance of the parties inidentifying such policy issues but,absent specific Comminion directives,

(d) removed (54 FR 14925) such policy issues shall not be thesubject of discovery,au mination,or

, oes-examination.m

~ (2) Commission. Within sixty days ofthe service of any Licensing Boarddecision that would otherwise authorizeissuance of a construction permit, the (Commission will seek to issue adecision on any stay motions that are

p timely filed. Such motions shall be filedas provided by 10 CFR 2.788. For the.

] (e) Nuclearpower ryoctor purpose of this policy, a '' stay" motion isa construction permits g one that seeks to defer the effectiveness

g of a Licensing Board decision beyond'*1 c. the period necessary for the CommissionL- ' action described herein. If no stay

E papers are filed, the Commission will.-

(1) AlomicSafety andLicensis:g within the same time period (or earlier ifboards. Atomic Safety and IJcensing possible), analyze the record andBoards shall hear and decide allissues construction permit decision below onthat come before th m. Indicating in its own motion and will seek to issue a

$ their decisions the type oflicensing decision on whether a stay is warranted.g action. If any.which their decision It shall not, however, decide that a stayg would authorire. ne Boards' decisions is warranted without giving the affected

concerning construction permits shall parties an opportunity to be heard. neI not become effective until the initial decision will be considered

Commission actions outlined stayed pending the Commission'sin paragraph (e)(2) of this decision. in deciding these staysection have taken place, quesf!cns, the Commission shall employ

the procedures set out in to CFR 2.788.-

-

(ii)ln reaching their decisions the: Boards should interpret existing

regulations and regulatory policies witha due conalderation to the implications forI those regulations and policies of the

Dree Mile Island accident. As provided*

in paragraph (e)(3) of this section in

April 30,1992 2 36

. _ _ _ _ _ _ - _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ _ ___ _

m.,,.e. s- & ..~ 4 .n_+- 4 } - >J_S da m .,4, m. 4..g.J.,._me,-

., ,,

I

2.7640)f ' 7t:5 t~

PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ~,

llicense application and may alter thosewhich the Boards believe may be uucial .to whether a license should become 8 regulations and pohcies.

j e(termination is entirely without3)De Commission's effectivenesseffective before full appellate review isdcompleted. Furthermore. the Bcerds

E rejudice to proceedings under i 2.786 |Z-should identify any aspects of the cue p3 which in their judgment, present issu- T or i 2.788.

=c4- , on which prompt Commission polic3 -

s guidance is called for.The Boards th-

; request the assistance of the parties n. ( !

identifying such policy inves but.absent specific Commission directive,such pohey issues shall not be thesubject of discovery,esamination.orcross.enomination.

- -,

(f)Nuclearpower reactor operating "~

licenses- (2) Commission. (i) Reserving the ;

. . ,power to step in at en earlier time, the

(1) Atomic Sufc!y andl.ircasms Commission will. upon recelpt of the |: !Acory/s. Atomic Safety and ucensing Ucensms Board decision authorizing '

Boarde shall heer and decide allissues issuance of an operating license, otherthat cnine before them, indicating in than a decision authorizing only fueltheir decisions the type of licensing loading and low power (up to 5 percentection,if any, which their decisinn of rated power) testing. review thewould authorize. A Doard's decision matter on its own motion to determine

5t cuthorizing issuance of an operating whether to stay the effectiveness of the

g license may not become effective insofar decision. An operating heense decision y

will be stayed by the Commission.E es it authonzes operating at greater than insofar as it authorites other than fuel5 percent of rated power uritd theI Commission actions outlined below in loading and low power testing. ifit

pirograph (f)(2) of this section have determines that it is in the pubhcinterest to do so. based on ataken place. Insofur as it authorizesconsideration of the gravity of the i

operation up to 5 percent, the decision is substantive inue, the likelihood that it -

cuective and the Director shellinue the has been resolved incorrectly below, thecppropriate hoenac in accordance with degree to which correct resolution of thecaragraph (b) of this section. issue would be prejudiced by operetion

( pending review. and other relevant,

,

public interest faetors. I 2.793 ImmesEste aflocevenees of infuel',,

; (ii) For opereting license decisions desisten aerectne Iseuanse er amendment r

g other than those authorizing only fuel of toeneesunderPart31of edsshapter. !=

(ii)In reaching their decisions the S loading and low wet tuting Aninidal duisim diruung to '

Boards should interpret existing consistent with t e target schedule set imace of a Smudw Part 61 ofcomments with ($arties may file briefthis chapter (relating to land disposal offorth below, theregulations and regulatory policies with

e Commission pointing radioactive waste or any amendment todue consideration to the implications forthose regulations and policies of the out matters which. in their view, pertain

newe hitle Island accident. In this to the immediate effectivenus issue. To ,, sucla a license au acdone which

regard it should be understood that as a be considered. such omments must be : may signl8cantly a5ect health and,

result of analyses still under way the received within to days of the Board ;; safety of the public, willbecomeefective only upon ostler of the

Commiselon may change its present decision. However, the Commission may e

regulations and regulatory policies in dispense with comments by so advising * Comuniselon.De Director of Nuclear

important respects and thus compliance the parties. No extensive stay shall be neaterial Safety and Safeguards miay not

wie enfating regulations may turn out to issued without giving the affected issue a license underpart et of this i

% nolonger warrant approval of a license parties an opportunity to be heard. chapter, or any amendment to euch asisalScanti affectlicense which mafety of the public. until=l tion. As provided in paragraph (iii) The Commission intends to issue

the health and sa i

E( f this section. in ad<htion to taking a stay decision within 30 days,of receiptof the Ucensing Board's decision.The expressly authorised to do so by the i

' bneric rulemaking actions, themiselon will be providing case-by,Ucensing Board,s initial decision will be Commission.i

3'

case guidance on changes in regulatory considered stayed,pending the ,,

Commission s decision insofar as it maypoi 6cies in conducting its reviews in authonse operations other than fuel ;

,

adjudicatory proceedings.The Boards loadmg and low power (up to 5 percent ,

shell. in turn. apply these revisedregulations and policies in cases then .of rated power) testms.

pending before them to the extent that (lv) In announcing a stay decision, thethey are applicable.The Commissioncapects the Ucensing Boards to pay Commission may allow the proceeding

perticular attention in their decisions to to run its ordinary course or give

c.nalysing the evidence on those safety instructions as to the future handling of

Cnd environmental issues arising under E the proceeding. Furthermore, the

applicable Commission regulations and gCommission may in a particular casewl6cles which the Boards believe determine that compliance with existing

regulations and policies may no longer

| jresent serious, close questions andbe sufficient to warrant approval of a

2 37 April 30,1992

.

- _ - __ - _ _ _ _ _ - _ _ _ _ _ _ _ _ _ -_--

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -.

Final Decasion ohtre such schedults m y diff:r irrm knowingly causes to be made a-

those elsewhere prescribed in these commumcation prohibited by thisrules or where these rules do not pre- section shall ensure that n and any8 9 2M % decea6on. acr!be a schedule;

responses to the communcahong (ns)ider the whole record on review,a The Commission will ordinarily(b) Rule on motions for extensions promptly are sersed on the parties andg of time; placed in the pubbe record of theco 'gbut may limit the issues to be reviewedS (c) Reject motions. briefs, pleadings*

roceedmg in the case of oral$ to those identified in an order taking 2 and other documents filed with the' [ommunications. a wntten summaryreview' a Commission later than the time pre- -

I scribed by t.he Secretary or the Assist- must be sersed and placed in the publica ant Secretas/ or established by an record of the proceedmg-

(b) The Commission may adopt. order, rule, or regulation of the Com- Idl Upon receipt of a communicationmodify. or set aside the findings, con- mission unless good cause is shown for knowmF y made or knowmpy caused tolclusions and order in the initial dect- the late filing; be made by a pany in violanon of this

: sion, and will state the basis of its (d) Prescribe au procedural arrange- section. the Commission or otheraction. The final decision will be in ments relating to any oral a.rgument adjudicatory employee presidmg in a" sTiting and will include: to be held before the Commission; proceedmg may. to the extent consistent, (1) A statement of findings and con- ! with the Imerests of justice and theclusions, with the basis for them on all (e) Extend the time for the Commis- pohcy of the underly ng statutes, requirematerial issues of f act. law or discre , sion to rule on a petition for review 2 the parts to show cause whvits claim ortion presented; under 10 CFR 2.786(b);

_ 2) All f acts officially noticed; (f) Extend the time for the Commis. 8 interest'm trie proceedmg s$ould not be(dismissed. demed. disregarded. or

a sion to grant review on its own motion { otherwise adversely affected on accountg

material ~ under 10 CFR 2.786(a).Commission . of the v,olation.,

. .R (3) The ruling on each (g) Extend time for i

i issue: and review on its own motion of a Direc. (e)(1) The prohibitions of this section; _tcr's denial under 10 CFR 2.206(c); apply-L, (i) When a notice of heanng or other7c- comparable order is issued in; (4) The appropriate ruling, order, or (h) Direct pleadings irnproperly filed

accordance with (| 2104(a). 2.105(e)(2)." dental of relief, with the effective a before the Commlulon to the appro-2.202(c). 2.204. 2.205(e). or 2.703: or

(date. ; priate adjudicatory board for action; (ii) Whenever the interested person orL.

f -Commission adjudicatory employeeresponsible for the communication has(i) Deny a request for hearings, knowledge that a notice of heanns or| 2.nt Petmon for recorWderatkn uhere the request fails to comply with other comparable order will be issued in

(a) A petition tor reconsideration of a the Commission's pleading require-E ' final decision may be filed by a party ments set forth in this part, and falls accordance with il 2.104(a). 2.105(e)(2).

2.202(c). 2.204. 2.205(e). or 2J03.

, to set forth an arguable basis for fur f (2)The prohibitions of this section$ within ten (10) days after the date of the

: ther proceedingLdecision'; (j) Refer to the Atomic Safety and cease to apply to ex partea Licensing Board Panel or an Adminis--

communications relevant to the merits- ' trative IAw Judge, as appropriate, re* of a full or partialinitial decision when.(b) The petition for reconsideration ' quests for hearings not falling under E in accordance with I 2386 the time hasshall state specifically the respects in i 2.104 of this part, where the request- .

which the final decision is claimed to er is entitled to further proceedings; E expired for Commission review of the,,

[ decision.: be erroneous, the grounds of the peti- and

tion, and the relief sought. Within ten (k) Take action on minor procedural -

a (10) days after a petition for reconsid-' cration has been filed, any other party -matters. (f) The prohibitions in this section do

apph W@(1) Requests for and the provision of

may file an answer in opposition to or -

in support of the petition. However, Restricted Communicationsthe staff may file such an answer status reports;within twelve (12) days after a petition { 2.780 Es parte communecations. (2) Communications specifically

,

for reconsideration has been filed. In any proceeding under this Permitted by statute or reFulation;''

subpart- (3) Communications made to or by(c) Neither the filing nor the grant- (a) Interested persons outside the Commission adjudicatory employees in

; ing of the petition shall stay the dect- agency may not make or knowingly the Office of the General Counsel; sion unless the Commisalon orders caust to b< made to any Commission reFardmg matters pendmg beiore a courii otherwise, adjudicalc s employee. any ex parte or another agency; and '

S commemr.,ition relevant to the ments of (4) Communications reganiir g generic-

8 2.772 Authority of the Secretary to rul' E the teoncedmg. issues involving pubhc heahn and safetyon procedurst matters.(b) Comnmston adjudicatorv or osu statutory responshilities of the

When briefs, motions or other * emplovees may not request or'entertam aFency (e g mlymakmgs. c,ongressional,

;- papers listed herein are submitted to 2 from any interested person outside the heanngs on legislation, buogetary: the Commluion itself, as opposed toe officers who have been delegated au- agency or make or knowingly cause to planmng) not associated with the

,

1 thority to act for the Commisalora, the be made to any interested person resolution of any proceedmg under this

re t Assistant Secretary outside the agency. and ex parte subpart pending before the NRC.a

communication relevant to the ments of { 2.781 Separation of functions.,

(a) Prescribe achedules for the filing the proceedinF (a)In any proceedmg under this| of briefs. motions, or other pleadings. (c) Any Commission adjudicator) subpart. any NRC officer or employeet employee who receives. makes. or eng' aped in the performance of any

,

l1

April 30,1992 2-38'

.

_ _ . _ _ _ _ _ _ _ _ _ _ _ _ _

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS m.

im entipative or litigating function in that paragraph (a) of this section shall ensurethat 61 and any responses to the

proceeding or in a f acionlly related communira' ion are placed in the pubbrprocerdmg may not partiripete in or record of the proceeding and scrs ed onadunc a Commission adindicatoryenspinyce about the intitial or fmal the parties. In the case of oral

decision on any disputed issue in that comnmnications. a written summaryrnusi he served and placed in the pubbc

proceeding, except- record of the prorceding. '

(1) As witness or counselin the (d) {l) The prohibitions in this scotionprecceding:

(2) Thronph a written communicatinn appleserved on all parties and made on the (il When a notice of heating or other

record of the proceeding: or comparable order is issued inacentdance with il 2.104(al. 2.105(ell 2).(3) Through an oral communic.atinn i

made both with reasonable prior notice g 2.202(c). 2.204. 2.205(el. or 2.703: or,

(ii) Whenever en NRC ofheer orto all parties and with reasonaldea employce whois or has reasonableo

opportunity for all parties in respond.Ih)'I he prohibition in paragraph (a) of i cause to beheve he or she will he

e ecpaged in the performance nf ani

,

this section does not apply to-(1) Communications to or from any

investigative or htipating function or a <

Commission adjudicatory employee' Commission adjudientnry employee hasknowled e that a notice of hearing orFregardmg- other comparable order will be issued in

(i)The status of a proceeding; accordance with il 2.104(a). 2.105(e)(2).lii) Matters with iepard to which thecommunications specifically are _2.202f cl. 2.204. 2.205|c). or 2.703

(2)The prohibitions of this sectionpermitted by s'atute or regulation: r-

(iii) Agency participation in matters will cease to apply to the disputed

pendmp before a court or another issues pertinent to a full or partial initiala decision when.in accordance withagency:or i 2.786. the time has exphed forg Commission review of the decision.liv) Generic issues involving public ;

health and safety or other statutory ,

$ responsibilities of the agency (e.g..{ le) Communications to. from, ando

rulemakings. congressional hearings on

| between Commission adjudicatory- legislation, budgetary planning) not employees not prohibited by this section" associated with the resolution of any . may not serve as a conduit for a

roceeding under this subpart pendmg g communication that otherwise would bea*

( efore the NRC. g prohibited by this section or for an ex ,

(2) Communications to or from a parte enmmunication that otherwisc |Commissioners. members of their L would be prohibited by i 2.780personal stafis. Commission '

adjudicatory employees in the Ofhce of (f)If an initial or final decision isthe General Counsel. and the Secretary stated to rest in whole or in part on factand employees of the Office of the or opinion obtained as a result of a ,

Secretary, regarding- communication authorized by this

li) Initiation or duection of an section, the substance of theinvestigation or initiation of an communication must be specified in the

,

enforcement proceeding: record of the proceeding and every party(ii) Supervision of agency staff to must be afforded en opportunity to

ensure comphance with the Feneral controvert the fact or opinion. lf thepohcies and procedures of the agency: parties have not had an opportunity to

(iii) Staff priorities and schedules or a- controvert the f act or opinion prior tothe allocation of agency resources;or "- the filing of the decision, a party may

E controvert the fact or opinion by filing aliv) Gencs al s epulatot v. scientihc. orcopinevrmg piinciples that are useful for petition for review of an initial decision,an undrrstanding of the issues in a or a petition for reconsideration of a

pmrcedmp and are not contested in the final decision that clearly and conciselysets forth the information or argumentproceeding relied on to show the contrary. If

(3) None of the romrcunicationspermitted by parngraph (b)l2)(il-liii) of appropriate, a party may be afforded thethis section is to be associated by the opportunity for cross-examination or to ,

Commission adjudicatory employce or present rebuttal evidence.

the NRC elhtci or employee performinc -

inves'icatis e or litigating hmetions witbthe resolution of any prnr.cedmt undetthis enhpart pandmg before the NRC-

Ir) Any Cnturmssion adpnhcator3cmployce u ho tercis es arommunicalion prohibited under 12.7sl Iftemoved! 56FR29403

January 29,1993 (teset)2 39i

. _ _ _ _ _ _ _ _ _ _ _ _ . _ - _ _ - _ _ _ _ _ _ - _ _ _ _ _ - _ _ _ - _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ - _

\2.786PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS -

I~l s.Fes Review of escasions and act6ona (v) Any cther consid;r tion which th2 6 2. Fee staye of docte6 ens of posteng

*

8'8 P*eising emoor. Commission may deem to be in the emoera ponens rev6ew.(a) Within forty (40) days after the public interest.

(a) Within ten (10) days after servicedate of a decision or action by a (5) A petition for review will not bepresiding officer, or within thirty (30) granted to the extent that it relies on of a decision or action of a presiding

days after a petition for review of the matters that could have been but wereofficer any party to the proceeding mayfile an application for a stay of the

decision or action has been filed under not raised before the presiding officer. Aeffectiveness of the decision or actionparagraph Ib) of this section, whichever matter raised sua sponte by a presiding perftling filing of and a decision on a

is greater, the Commission may review officer has been raised before thethe decision or action on its own motion, presidmg officer for the purpose of this petition for review. This application may.

be filed with the Commission or theunless the Commission. in its discretion. section. presiding officer, but not both at the 1extends the time for its review. (6) A petition for review will not be

same time.(b)(1) Within fifteen (15) days after granted as to issues raised before the

service of a full or partial initial decision presiding officer on a pending motion for (b) An application for a stay must be

by a presidmg officer, and within fifteen reconsideration- no longer than ten (10) pages, exclusive]of affidavits, and must contain the

,(15) days after service of any other (c)lf within thirty (30) days after the following: Idecision or action by a presidmg officer filmg of a petition for review thewith respect to which a petition for Commission does not grant the petition. (1) A concise summary of the decisioni )review is authorized by this past, a party in whole or in part, the petition shall be or action which is requested to be 1

stayed'- Imay file a petition for review with the deemed denied, unless the Commission(2) A concise statement of the groundsCommission on the grounds specMed in m its discretion extends the time for its for stay, with reference to the factorsparagraph (b)(4) of this section. The consideration of the petition and any specified in paragraph (e) of this section: Ifiling of a petition for review is answers thereto. and Imandatory for a pony to exhaust its (d)If a petition for review is granted. (3) To the extent that an application I

administrative remedies before seeking the Commission willissue an order for a stay relies on facts subject to Ijudicial review. specifying the issues to be reviewed and dispute, appropriate references to the )(2) A petition for review under this designating the parties to the review record or affidavits by knowledgeable

'

paragraph must be no longer than ten Proceeding and direct that appropriate persons. |(10) pages, and must contain the briefs be filed, oral argument be held or (c) Service of an application for a stayfollowing- both,

on the other parties shall be by the same(i) A concise summary of the decision (e) petitions for reconsideration of method, e.g. telecopier message, mail,

or action of which review is sought: Commission decisions granting or as the method for filing the application(ii) A statement (includmg record denying review in whole or in part will with the Commission or the presiding

citation) where the matters of fact or not be entertained. A petition for officer, i

j

law raised in the petition for review reconsideration of a Commission (d) Within ten (10) days after service 1

E were previously raised before the E decision after review may be filed 6 of an application for a stay under this '

$ presidmg officer and. if they were not $ within ten (10) days but is not $ section, any party may file an answer (why they could not have been raised; necessary for exhaustion of supporting or opposing the granting of a(iii) A concise statement why in the administrative remedies.However,if a stay.nis answer must be no longer

petitioner's view the decision or action petition for reconsideration is filed, the than ten (10) pages exclusive ofis erroneous. and Commission decision is not final until affidavits, and should concisely address .

(iv) A concise statement why the petition is decided. the matters in paragraph (b) of this |

Commission review should be exercised. (f) Neither the filing nor the granting section to the extent appropriate. No(3) Any other party to the proceeding of a petition for review will stay the further replies to answers will be

may, within ten (10) days after service of effect of the decision or action of the entertained. Filing of and service of ana petition for review. file an answer presiding officer, unless otherwise answer on the other parties mur.t be bysupporting or opposing Commission ordered by the Commission. the same method, e.g., telecopierreview. This answer must be no longer (g) Certified questions and referred message, mail, as the method for fihngthan ten (10) pages and should concisely rulings. A question certified to the the application for the stay.address the matters in paragraph (b)(2) Commission under i 2.718(i) or a ruling (e) In determining whether to grant orof this section to the extent appropriate. referred under i 2.730(f) must meet one deny an application for a stay thehe petitioning party shall have no right of the alternative standards in this Commission or presiding officer willto reply, except as permitted by the subsection to merit Commission review. consider:Commission. A certified question or referred ruling (1) Whether the movingparty has

(4)De petition for review may be will be reviewed if it either- made a strong showing that it is likely togranted in the discretion of the (1) Threatens the party adversely prevail on the merits;Commission giving due weight to the affected by it with immediate and (2) Whether the party will be ,existence of a substantial question with serious irreparable impact which, as a irreparably injured unless a stay isrespect to the following considerations: practical matter, could not be alleviated granted;

(i) A finding of material fact is clearly through a petition for review of the (3) Whether the granting of a stayerroneous or in confhet with a findmg as presiding officer's final decision; or would harm other parties; andto the same fact in a different (2) Affects the basic structure of the hI here 2e p" '" * ''

hrEg ,x , , na cs sproceeding; proceeding in a pervasive or unusualprompt application is made under this I(ii) A necessary legal conclusion is manner.

without governing precedent or is a section, the Commission or presidingi 2.rs7 Inamoved} off cer may grant a temporary stay todeparture from or contrary t'

established law; preserse the status quo without waiting(iii) A substantial and important for fling of any answer.ne apphcation

question of law pohey or discretion has may be made orally provided thebeen raised. application is promptly confirmed by

(iv) De conduct of the proceedinginvolved a prejudscial procedural error;or

April 30,1992 240

||

. _ .

.*.

"I2.788(f) PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...

.

t,_

AVAILABILITY OF OFFICIAL~

telecopier message. Any party applying . RECORDSisnder this paragraph shall make all

g seasocable efforts to inform the other | 2.790 Public inspections, exemptions,-of the application, orally if made gg

g '

L- (a) Subject to the provisions of para-graphs (b), (d), and (c) of this section, 'final NRC records and documents,''including but not limited to conespond-ence to and from the NRC regarding theissuance, denial, amendment, transfer, re-newal, modification, suspension, revoca-tion, or violation of a license, permit, ororder, or regarding a rule making proceed-

g ing subject to this part shall not, in theabsence of a compelling reason for non-

"a disclosure after a balancing of the inter-" ests of the person or agency urgingI nondisclosure and the public interest in

disclosure, be exempt from disclosure andwill be made available for inspection and ,

copying in the NRC Public DocumentRoom,except for matters that are:

(1)(i) Specifically authorized undercriteria established by an Executive orderto be kept secret in the interest ofnational defense or foreign policy and(ii) are in fact properly classified pursuantto such Executive order;

(2) Related solely to the internal per-sonnel rules and practices of the Commis-sion;

~

I ~~ ' (3) specifically exempted from dis-closure by statute (other than 5 U.S.C.

,552(b), provided that such statute (i) re-g quires that the matters be withheld from- the public in such a manner as toleave noE discretion on the issue, or (ii) establishesU particular criteria for withholding or re-

fers to particular types or matters to bewithheld.

(4) Trade secrets and commercial orfinancial information obtained from aperson and privileged or confidential;

g (5) Interagency or intrangency memo-randums or letters which would not be

E available by law to a party other than an| agency in litigation with the Commission;

(6) Personnel and medical files and''

similar files, . the disclosure of whichwould constitute a clearly unwarranted

, invasion of personal privacy;

{for law enforcement purposes, but only(7) Records or information compiledc,

a to the extent that the production of such* law enforcement records or information.

(i1 Could renwnably be expected to[ interfere with enforcement proceedings:a

(iilWould deprive a person of a right'"

.

8'Such records and documents do notinclude handwritten notes and drafts.

April 30,1992241

_ _ ._ _ _

I-

*PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS . ..

.

to a f ir tru.1 or s.n impertial inforrr.ation sought to be withheld is properly acquired or duplicated by oth-e.dmdie.ation: submitted to the Commission by another crs.(iiij Could re sunably be expected to person. The application and affidavit (5) If the Commission determine'conmtute en unw rt.nted insanion of shall be submined at the time of filingpersonal pris ecy; the information sought to be withheld. pursuant to paragraph (bX4) of tha

1:0 Could to ponably be expected to ne information sought to be withheld acetion, that the record or documentdisclac the identity of a confidential 2 shall be incorporated. as far as possible. contains trade secrets or privileged orsource. incluri ng a State. local. or 3 into a separate paper.The affiant may confidential commercial or financial in-fordgn 4.ptvs or authority, or any a designate with appropriate markings formation, the Commission will then de-pris ate institution which f urnished

information submitted in the affidavit as termine (i) whether the right of the pub-information on a confidential basis. and. [ a trade secret or confidential or*lie to be fully apprised as to the bases forin the case of a record or information privileged commercial or financialgand effects of the proposed action out-= compih d b,s a criminallaw enforcement information within the meaning of; authonty in the course of a criminal | 9.17[a)(4)of this chapter and such we ghs the demonstrated concern for

ins er,tipation. or by an agency mformation shall be subject to protection of a competitive position anda% conductmg a lawful national secunty disclosure only in accordance with the (ii) whether the s. formation should ben

intelbgt nce investigation. information provisions of $ 919 of this chapter. withheld from public disclosure pursuante

furnished by a confidential source: -

(v) Would dmlose techniques and ~ to this paragraph. If the record or docu-procedures for law enforcement (2) A person who submits commercial ment for which withholding is sought isinvestigations or prosecutions. or would or financial information believed to be deemed by the Commission to be inele-

privileged or confidential or a trade secret vant or unnecessary to the performance' ' ",

t pr s u ns fsu h shall be on notice that it is the. policy of of its functions,it shall be returned to thedisclosu.e could reasonably be expected the Commission to achieve an effective applicant.to risk circumsention of the law: or balance between legitimate concerns for (6) Withholding from public inspec-(vi)Could trasonably be expected to protection of competitive positions and tion shall not affect the right, if any, ofend.nger the life or ph} sical safety of the right of the public to be fully persons properly and directly concerned 1any individual,

apprued as to the bases for and effects of to inspect the document. The Commis-2(8) Contained in or related to exam- licensing or rule making actions, and that g sion may require information claimed to

ination, operating. or condition reports it is within the discretion of the Commis- E be a trade secret or pnvileged or confi-

prepared by, on behalf of, or for the use sion to withhold such information from [ dential commercial or financial informa-pubhc disclosure.

of an agency responsible for the regula- ** tion to be subject to inspection:(i) under

tion or supervision of financial institu- (3) The Commission shall determine I a protective agreement, by contractortions; or whether the information sought to be personnel or government officials other,

withheld from public disclosure pursuant than NRC officials;(ii) by the presidin{(9) Geological and geophysical infor" to this paragraph: (i)is a trade secret or officer in a proceeding; and (iii) undermation and data, including maps, con-I cerning wells. confidential or privileged commercial or protective order, by parties to a proceed-

f nancial information; and (ii)if so, ing, pending a decision of the Commis-(b)(1) A person who proposes that a; document or a rart be withheldin whole Ee should be withheld from pubhc disclo. sion on the matter of whether the infor-m.

sure. mation should be made publicly available7 or part from public disclosure on the i (4) In making the determination re- or when a decision has been made thatground that it contains trade secrets or * quired by paragraph (b)(3)(i) of this the information should be withheld fromprivileged or confidential commercial or section, the Commission will consider: public disclosure, in camera sessions offinancial information shall submit an ap- (i) Whether the information has been hearings may be held when the informa-plication for withholding accompanied by held in confidence by its owner; tion sought to be withheld is produced oran affidavit which: (ii) Whether the information is of a offered in evidence. If the Commission(i) Identifies the document or part type customarily held in confidence by subsequently determines that the infor-sought to be withheld and the position of its owner and whether there is a rational mation should be disclosed, the informa-the perwn makina the affidavit, and basis therefor; tion and the transcript of such in camera7. (iii) Whether the information was

fil)Contains a full statement of the session will be made publicly available.

reasons on the basis of which it istransmitted to and received by the Com- (c) If a request for withholding pursu-mission in confidence; ,

ant to paragraph (b) of this section is I(i ) Whether the information is avail-thhe d to public d lo ure Suc 7 denied, the Commission will notify an

statement shell address with specificity able in public sources; applicant for withholding of the denial |,, the considerations listed in paragraph (v) Whether public disclosure of the w th a statement of reasons. The notice |= (b)(4) of this section. In the case of an information sought to be withheld is or denial will specify a time, not less than; affidavit submitted by a company, the likely to cause substantial harm to the thirty (30) days after the date of thee affidavit shall be executed by an officer competitive position of the owner of the, or upper level rnanagement official who notice, when the document will be placednformation, taking into account the in the Public Document Room. If, within

value f the information to the owner;unc on of te i wi g h info ton the time specified in' the notice, thesou ht to be withheld and authorized to the amant of effort or rnoney, if any. applicant requests withdrawal of the doc-ap y for its withholding on behalf of expended by the owner in developing the ument, the document will not be placedthe company. The affida vit shall be information; and the case or difficulty in the Public Document Room and wil'executed by the owner of the with which the information could beinforrnation. even though the be returned to the applicant: Provided

April 30,1992 2-42

.

2.790(c) 2.802(e) i

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -,

_

That information submitted in a rule Subpart H-Rulemaking (c) Each petition filed Lander this sec.making proceeding which subsequent. Lion shall;

ly forms the basis for the final rule (1) Set forth a general solution to

mill not be withheld from pub!!c dis. the problem or the substance or text;

of any proposed regulatien or amend- Iclosure by the Commission and will fI S"P' yru '**g',"E-e not be returned to the apphcant after e ment, or specify the regulation which|This subpart governs the issuance, la to be revoked or amended

2 denial of any applicatioe for withhold ;:: amendment and repeal of regulations i

ing submitted in connection with that (2) State clearly and concisely theU

f Information. If a request for withhold E in which participation by interested petitioner's grounds for and interest ine persons is prescribed under section $53 the action requested., Ing pursuant to paragraph (b) of this n

section is granted, the Commission Lof Title 5 of the U.S. Code. (3) Include a statement in support ofthe petition which shall set forth the

will notify the applicant of its determi- p 2.801 Initiation of rulemaking. specific issues involved, the petition-er's views or arguments with respect to

Rulemaking may be initiated by the g those issues, relevant technical, scien-ro ub ic d losure' e-

E Commission at its own instance, on p. Lific or other data involved which is

be deemed to be commercial or finan h th(d) The following information shalt

a ,g ne of th Uni d tates, or on h g reasonably available to the petitioner,cial it. formation within the meaning | petition of any other interested *, and such other pertinent informationas the petitioner deems necessary toof i 9.17(a)(4) of this chapter and shall L ''' "' mmWWumnbmeP

be subject to disclosure only in accord p 2M2of its petition, petitioner should note

ance with the provisions of 19.19 of Winion k rukmaMnr any specific cases of which petitionerthis chapter. g (a) Any interested person may peti- is aware where the current rule is

@ (1) Correspondence and reports to or o tion the Commission to issue, amend unduly burdensome. deficient, ors from the NRC which contain informa y or rescind any regulation. The petition needs to be strengthened.

E tion or records concerning a licensee's u should be addressed to the f.ecretary. (d) The petitioner may request the

" or applicant's physical protection or i U.S Nuclear Regulatory Commission. Commission to suspend all or any pe.rtWashington, D.C. 20555. Attention: of any licensing proceeding to whichrnaterial control and accounting pro- Chief. Docketing and Service Branch, the petitioner is a party pending dispo-gram for special nuclear material not

otherwise designated as Safeguards In _~ sttion of the petition for rulemaking.-

formation or classified as National Se- >(bt A prospective petitioner may -

curity Information or Restricted Data. consuh mth the NRC before fil ng ati n incl d s t in a requ d(2) Information submitted in con!! _ peten for rulemaking by writing the by paragraph (c) of this sect.nn and isdence to the Commission by a foreign g Director. Freedom of information and complete, the Director, DiviMon of

_ source. 8 Nbhcations Services. Office of Freedom of Information and Pt blica-( E Admm:strat:on. U.S. Nuclear Regulatory tions Services. or designee, will assignf te) The presiding officer, if any, or g Commission. Washington, DC 20555. a docket number to the petition, willg the Commission may, with reference Attention: Chief Rules Review and cause the petition to be formally : lock-t.! Lo the NRC records and documents Directis es Branch, A prospective ; eted, and will deposit a copy ot the; made available pursuant to this sec- petitioner may also telephone the Rules R docketed petition in the Commission'su tic 1 issue orders consistent with the Review and Directives Branch on (301) * Pubhc Document Room Pubhc com-E provisions of this section and 415J158 cr toll frec on (800) 368-5642. E ment may be requested by publication

LI 2.740(c).- g of a notice of the docketing of the pe-

tition in the FrorpAt. RectsTER, or, in~ appropriate cases, may be invited for

(1)In an) consultation prior to the the first time upon pubilcation in thebling of a petition for rulemaking. the Prota At. rec! STER of a proposed ruleassistence that may be provided by the develuped in response to the petition.NRC staff is hmiicd to- Pubbeation will be lim!ted by the re-

(i) Descntur:g the procedure and qukements of section 181 of theprocess for filing and respondmg to a Atomic Energy Act of 1954, as amend-petition for rulemaking: ed. and may be limited by order of the

(ii) Clanfying an existing NRC Commission.regulation and the basis for the -

g reguletinn. andg (iii) Assist.ng tre prospective{ petitioner to clar.fy a potential petition

so that the Commission is able to'

$ understand the nature of the issues ofconcern to the petitioner.

(2) In any consultation prior to thefiling of a petition for rulemaking,inprosiding the assistance permitted inparagraph (b)(1)of this section the NRCstaff will not dref t or develop text oralternatste approaches to addressmatters in the prospective petition forrulemakmg

__

2-43 November 30,1994

. _ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ - _ - _ _ _ _ _ _ _ _

.

2A02(0 2.805(a)PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -

.

-

(f) If it is determined by the Execu. 8 2.803 Determination of petition. Idl The noiu ar.d f.ommentLive D! rector for Operations that the No hearing will be held on the pett, presicns contened in p3.r graphs (a).petition does not include the informa. tion unlea6 the Commission deems it (b). and (L) of this section wdl not beLivrf required by paragraph tc) of thisbection and is tr cornplete the petition. p advisable. If the Commtaslon deter- required to be apphed-

n mines that suffletent reason exists, attr will be notified of that determina E will publish a notice of proposed rule. (1) To intWah h genneltion and the respects in which the pe- g; making. In any other case it will deny statements of policy,or rules of agencytition la deficient and will be accorded the petition and will notify the peti. organization. procedure. or practice. oran opportunity to submit additional tioner with a almple statement of the (2) When the Commission for Foodidata. Ordinarily this determination grounds of denial, cause finds that notice and pubhc

* will be made within 30 days from the - comment are impracticable.E date of receipt of the petition by the_ unnecessary.or contrary to the pubhc3 Office of the Secretary of the Com-

8 2.804 Notlee of proposed rulemaking* interest. and are not required by statute.mission. If the petitioner does not This finding. and the reasons therefor.submat additional data to correct the (a) Except as provided by paragraphdeficiency within 90 days from the (d) of this section, when the Commis. will be incorporated into any rule issued

without notice and comment for gooddate of notification to the petitioner g sion proposes to adopt, amend, orthat the petition is incomplete, the pe. p repeal a regulation. It will cause to be C8"* -

tit 6on may be returned to the petition. e published in the PEDERAL Rectsrca a (e) The Commission shall provide forcr without prejudice to the right of ' notice of proposed rulemaking. unless a 30.dsy post-promulgation commentthe petitioner to file a new petition. S all persons subject to the notice are period for-

named and either are personallyserved or otherwise have actual notice (1) Any rule adopted without notice

_ in accordance with law. and comment under the good cause> (g) The Director, Division of Freedom - exception on paragraph (d)!2) of this

efinformation and Publications -" ' " " " ' '' I' '' ?. "C'

Services. Office of Administration, will (b) The notice will include: f 'c"on rato t p b ic e ."i prepare on a semiannual basis a t!) Either the terms or substance of .J aummary of petitions for rulemaking the proposed rule, or a speelfication of g (2) Any m. terpretative rule, or general

before the Commission, including the the subjects and issues involved; statement of policy adopted withouth status of each petition. A copy of the

g(2) The manner and time within notice and comment under paragraph* report will be available for public which interested members of the (d)(1) of this section, except for those

inspection and copying for a fee in the public may comment, and a statement cases for wnich the Commission findsIha be am-Commission's Public Document Room. that such procedures would serve noned he um nt R92120 L Street, NW., Washington, DC. public interest, or would be so-

_ (3) The authority under which the burdensome as to outweigh any [regulation is proposed; foreseeable gain. '

N (4) The time, place, and nature of the (f) For any post. promulgationE pub comments received under paragraph (e)k (lic hearing,if any;5) If a hearing is to be held, designa, of this section. the Commission shall

tion of the presiding officer and any pubbsh a statement in the Federal

special directions for the conduct of the epster containsg an evabanon of thesignificant comments and any reu,stonsgof the rule or pohcy statement made as a

(6) Such explanatory statement as theresult of the comments and their

Commission may consider appropriate. evaluation.(c) The publication or service of no- II. sos Participation >y inter,ateo

tice will be made not less than fifteen Persons.(15) days prior to the time fixed for (alin all rulemaking proceedingshearing,if any, unless the Commission for conducted under the provisions ofgood cause stated in the notice provides i 2.804(a), the Commission will affordotherwise. Interested persons an opportunity to

participate through the submission t.i_.,.

statements, information. opinions, andarguments in the manner stated in thenotice.The Commission may grantadditional reasonable opportunity forthe submission of comments. |

- )!

|

August 31,1994 2-44

l

- _ _

j.

l

1

2.9032J05(b) ..

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -

(b) The Commission may hold in- g 2.cos participat6on by the Adyteory { 2.902 Definitions.Commmee on Reector Safeguarda. As used in this subpart:formal hearings at which interested per.

sons may be heard, adoptmg procedures (a)In its advisory capacity to the (a) " Government agency" means any

which in its judgment will best serve the Commission, the ACRS may recommend executive department, commission,inde- |that the Commission initiate rulemaking pendent e stablishment, corporation, ipurpose of the hearing.

[ 2.406 Commission ection. $;*gpartrs a e mesbn wholly or partly owned by the United |

, o States of America, which ts an mstrumen- jThe Commission will incorporate in recommendation in writing within 90the notice of adoption of a regulation a days, noting its intent to implement, tality of the United States, or any board, ,

concise general statement of its basis and study, or defer action on the bureau, division, service, office, officer,I h h authority, administration, or other estab-

p regulation to be published in the FED g recommendation. n t e event t epurpose, and will cause the notice and Commission decides not to accept or lishment in the executive branch of theg"

y ERAL REGISTER or served upon af E ndati t w 11 iv Its reasons i

o

I.b) . Interested party means a partyt fected persons. T for doing so. Both the ACRSE having an mterest in the issue or issues to

" Q 2.807 Effective date. recommendation and the Commission'sresponse will be placed in the NRC ; which particular Restricted Data or Na-

The notice of adoption of a regulation Public Document Room following tional Security Information is relevant.will specify the effective date. Publication transmittal of the Commission's Normally the interest of a party in an

issue may be determined by examinationresp)onse to the ACRS.(b When a rule involving nuclearof the notice of hearing, the answers and f

or service of the notice and regulation,other than one granting or recognizingexemptions or relieving from restrictions, safety matters within the purview of the ''Eg;'''will be made not less than thirty (30) ACRS is ondee development by the NRC (c) The phrase ,' introduced into aStaff, the Staff will ensure that thedays prior to the effective date unless the ACRS is given an opportunity to provide proceeding _ refers to the mtroduction orCommission directs otherwise on good advice at appropriate stages and to mcorporation of testimony or documen-_

cadse found and published in the notice identify issues to be considered during tary matter into any part of the officialof rule making. rulemaking hearings. record of a proceeding subject to this

~ - part._

{ 2.808 Authority of the Secretary to-

Rule on Procedural Matters. [ g g ,,

( When briefs, motions or other papers :! meana infoemation that has been

listed herein are submitted to the Com- Subpart I-Special Procedures Applicable 3 classi8ed pursuant to Executive Ordee<

to Adjudicatory Proceedingsinvolving ggmission itself, as opposed to officers who

Restricted Dets and/or National yhave been delegated authority to act forthe Commission, the Secretary or the -

Security Information,

Assistant Secretary are authorized to: g 2.900 Purpose.

(a) Prescribe schedules for the filing This subpart is issued pursuant to (e) " Party,"in the case of proceedingssection 181 of the Atomic Energy Act of subject to this subpart includes a person

y, of statements, information, briefs, mo-C tions, responses or other pleadings, where 1954, as amended, and section 201 of the admitted as a party pursuant to i 2.714

" such schedules may differ from those Energy Reorganization Act of 1974, as or in interested State admitted pursuant

elsewhere prescribed in these rules or E amended, to provide such procedures in R to ( 2.715(c).where these rules do not prescribe a 2 proceedings subject to this part as will @ { 2.903 Protection of restricted data and

g

schedule. E effectively safeguard and prevent disclo e national security information.

(b) Rule on motions for extensions of U sure of Restricted Data and National $Nothing in this subpart shall relievetime; Security Information to unauthorized any person from safeguarding Restricted

(c) Reject motions, bnefs, pleadings, persons, with minimum impairment of Data or National Security Information in

and other documents filed with the Com procedural rights. accordance with the applicable provisionsof laws of the United States and rules,mission later than the time prescribed by { 2.901 Scope. ,

the Secretary or the Assistant Secretary This subpart applies to all proceelingsor established by an order, rule, or ,ggg gregulation of the Commission unless good "

cause is shown for the late filing; and(d) Prescribe all procedural arrange-

ments relating to any oral argument to beheld before the Commission.

_

2-45 August 31,1994 (rese4

.- - __ _ - -

.

2.903 2.907(d )PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS... .

regulations or orders of any Government (c) The Commission will consider re- 0) Refusal to grant access to re-|

Agency. quests for appropriate secunty clearances stricted data or national security informa- |

I 2.904 Classification assistance' in reas nable numbers pursuant to this tion. (1)The Commission will not grant I,

section. A reasonable charge will be made auess to restricted data or national secur- IOn request of any party to a proceed *

ing or of the presiding officer, the Com. by the Commission for costs of secunty ity inf rmation unless it determines that )clearance pursuant to this section. the granting of access will not be inimical )mission wdl designate a representative to 1 the common defense and security,

advise and assist the presiding officer and (d) The presiding officer may certihto the Commission for its consideration (M Access to Restricted Data or National

the parties with respect to security class-and determination any questions relating Security Information which has been i

ification of information and the safe-to access to Restricted Data or National received by the Commission from another Iguards to be observed.Security Information arising under this Government agency will not be granted |

$ 2.905 Access to restricted data and section. Any party affected by a deter- by the Commission if the originatingnational security information for par- mination or order of the presiding officer agency determines in writing that accessties; accurity clearances. under this section may appeal forthwith should not be granted. The Commission

(a) Access to restricted data and na. to the Commission from the determina- will c nsult the originating agency prior1

tional security information introduced tion or order. The filing by the staff of an to granting access to such data or infor- l

into proceedings. Except as provided in appeal from an order of a presiding mation received from another Govern-]paragraph (h) of this section, restricted officer granting access to Restricted Data **"I '8"#Y'I

data or national security information or National Security Information shall Q 2.906 Obligation of parties to avoid 1

introduced into a proceeding subject to stay the order pending determination of intr duction of restricted data or na.this part will be made available to any the appeal by the Commission. ti nal security inf rmation.interested party having the required secu. (e) Application granting access to re- It is the obligation of all parties in arity clearance; to counsel for an inter- stricted data or national security informa. proceeding subject to this part to avoid,ested party provided the counsel has the tion. (1) An application under this sec. where practicable, the introduction ofrequired security cicarance; and to such tion for orders granting access to Restricted Data or National Security in-additional persons having the required restricted data or national security infor. formation into the proceedmg. This obli-security clearance as the Commission or mation not received from another Gov- 6 tion rests on each party whether or notthe presiding officer determined are ernment agency will normally be acted all other parties have the required secur-

upon by the presiding officer, or if a ity clearance.

needed by such party for adequate pre,hproceeding is not before a presiding of hf paration or presentation of his case.e C/here the interest of such party will not ficer, by the Commission. (2) An applica- S @ 2.907 Notice of intent to introducerestricted data or national accurity |.

[ be prejudiced, the Commission or presid.g tion under this section for orders granting E information.ging officer may postpone action upon angsccess to restricted data or national secur ; (a) If, at the time of publication of a

application for access under this subpara. ity information where the information notice of hearing, it appears to the staffgraph until after a notice of hearing, has been received by the Commission that it will be impracticable for it toanswers, and replies have been filed. from another Government agency will be

avo d the introduction of Restricted Data(b) Access to Restricted Data or Na- acted upon by the Commission. or National Security Information into the

tional Security Information not intro- (f) To the extent practicable, an appli- proceedmg, it will file a notice of intent iduced into proceedings. (1) On applica. cation for an order granting access underto introduce Restricted Data or National |tion showing that access to Restricted this section shall describe the subjects of Security Information.

Data or National Security Information Restricted Data or National Security In- (b) If, at the time of filing of anmay be required for the preparation of a formation to which access is desired and answer to the notice of hearing it appearsparty's case, and except as provided in the level of classification (confidential, to the party filing that it will be impracti- ;

paragraph (h) of this section, the Com. secret or other) of the information; the cable for the party to avoid the introduc- |mission or the presiding officer will issue reasons why access to the information is

tion of Restricted Data or National Secur-an order granting access to such Re. requested; the names of individuals for ity Information into the proceeding, thecricted Data or National Security Infor, whom clearances are requested; and the party shall state in the answer a notice ofmation to the party upon his obtaining reasons why security clearances are being intent to introduce Restricted Data orthe required security clearance, to coun. requested for those individuals. National Security Information into thenel for the party upon their obtaining the (g) On the conclusion of a proceedmg. proceeding.required security clearance, and to such the Commission will terminate all orders (c) If, at any later stage of a proceed-other individuals as may be needed by the issued h the proceeding for access to ing, it appears to any party that it will beparty for the preparation and presenta. Restricted Data or National Security In* impracticable to avoid the introductiontion of his case upon their obtaining the formation and all security clearances of Restricted Data or National Securityrequired clearance. Branted pursuant to them; and may issue Information into the proceeding, the

(2) Where the interest of the party such orders requiring the disposal of party shall give to the other partiescpplying for access will not be prejudiced, classified matter received pursuant to prompt written notice of intent to intro-the Commission or the presiding officer them or requiring the observance of other duce Restricted Data or National Securitymay postpone action on an application procedures to safeguard such classified Information into the proceeding.pursuant to this paragraph until after a matter as it deems necessary to protect (d) Restricted Data or National Secur-notice of hearing, answers and replies Restricted Data or National Security in- ity information shall not be introducedhave been filed. formation.

into a proceeding after publication of a

April 30,1992 2-46

.

.. 2J0()()

2.907(d)PART 2 o RULES OF PRACTCE FOR DOMESTC LCENSING PROCEEDINGS ~,

notice of hearms un ees a notice of intent } 2.910 Uncleastfled statementa re- (a) The relevance and materiality of

has been filed in accordance with quired, the Restricted Data or other National

$ 2.908, except as permitted in the dis. (a) Whenever Restricted Date or other Security information to the issues in the

tretion of the presiding officer when it is National Security Information is intro- preceeding, and its competence, areclear that no party or the public interest , duced into a proceeding, the party offer. clearly established; and

will be prejudiced. ing it shall submit to the presiding officer (b) The exclusion of the Restricted

f 2.908 Contents of motice of intent to and to all parties to the proceeding an Data or other National Security Informa-

latroduce restricted data or other na- unclassified statement setting forth the tion would prejudice the interests of ational security leformatloa, information in the clanified matter as party or the public interest.

(a) A party who intends to introduce accurately and completely as possible. 5 2.912 weight to be attached to clas.6-

Restricted Data or other National Secu. (b) In accordance with such proce- fied evidence.

rity Information shall file a notice of dures as may be agreed upon by the In considering the weight and effect ofIintent with the Secretary. The notice parties or prescribed by the presiding any Restricted Data or other National

shall be unclassified and, to the extent officer, and after notice to all parties and Security Information received in evidenceconsistent with classification require- opportunity to be heard thereon, the to which an interested party has not hadmeuts, shallinclude the following: presiding officer shall determine whether opportunity to receive access, the presid-

the unclassified statement or any portionof it, together with any appropriate modi- (ing officer and the Commission shall give(1) The subject matter of the Re. e

to such evidence such weight as is appro-stricted Data or other National Securityfications suggested by any party, may be msubstituted for the classified matter or "zpriate under the circumstances, takingInformation which it is anticipated will

Into consideration any trA of opportu-be involved;(2) The highest level of classification any portion ofit without prejudice to the 5nity to rebut or impeacl+ the evidence.

of the information (confidential, secret, interest of any party of to the publicor other); interest. other Natics.i Security Information

(3) The stage of the proceeding at (c) If the presiding officer determines received in mdence.which he anticipates a need to introduce that the unclassified statement, together At the close of the reception ofthe information; and with such unclassified modifications as he evidence, the presiding officer shall re-

(4) De relevance and materiality of finds are necessary or appropriate toview the record and shall direct that any

the information to the issues on the protect the interest of other parties andRestricted Data or other National Secu-the public interest, adequately sets forthproceeding.

(b) In the discretion of the presiding information in the classified matter whichrity Information be expunged from therecord where such expunction would not

officer, such notice, when required by.is relevant and material to the issues in prejudice the interests of a party or the( * i 2.907(c), may be given orally on theethe proceeding, he shall direct that the

Erecord. Iclassified matter be excluded from the public interest. Such directions by the

record of the proceeding. His determina- presiding officer will be considered by theI $ 2.909 Rearrangement or suspension of tion will be considered by the Commis. Commission in the event of review of the

determmations of the presiding officer,proceedings, Si n a8 a part of the decision in the eventin any proceeding subject to this part of miew, g eleted M FR WN

where a party gives a notice of intent to (d) If the presiding officer determines -Subpart J-Procedures Applicable tointroduce Restricted Data or other Na- that an unclassified statement does not . Proceedings fortheissuance oftional Security Information, and the pre- adequately present the information con- Uconses for the Receipt of High-l.evel

I tive Waste at a Geologictained in the classified matter which isin sted p oes ot have required

relevant and material to the issues in thePO 'Y

security clearances, the presiding officer proceeding, he shallinclude his reasons tn g3.t000 Scope of subpart.may in his discretion: his determination. This determination he rules in this subpart govern the

(a) Rearrange the normal order of the shall be included as part of the record and procedure for applications for a licenseproceeding in a manner which gives such will be considered by the Commission in to receive and possess high-level

radioactive waste at a geologicinterested parties an opportunity to ob-the event of review of the determination. repositcry operations area noticedtain required security clearances with

(e) The presiding officer may post E pursuant to l 2.101(f)(8) or l 2.105(a)(5)minimum delay in the conduct of the Pone aH or part of the procedes esta of this part.De proceoures in thisproceeding. lished in this section until the reception subpart take precedence over the 10

(b) Suspend the proceeding or any of all other evidence has been completed. CFR part 2 subpart C. rules of generalportion of it until all interested parties Service of the unclassified statement re- applicability, except for the followinghave had opportunity to obtain required quired in paragraph (a) of this section provisions: || 2502. 2503, 2504. 2307,security clearances. No proceeding shall shall not be postponed if any party does 2.709. 2511. 2513. 2315. 2315a. 2J17.

2518. 2J20. 2521. 2122. 2532. 2133,be suspended for such reasons for more not have access to Restricted Data or 2JM,2J42. 2143. 2JM 2151. 2J53.than 100 days except with the consent of other National Security Information. 2554. 2555. 2356. 2157,2358. 2J59,all parties or on a determmation by the

~f 2.911 Adminalbility of restricted data 258a 2581. 2186. 2388, and 2J90.'2180. 2161,2J83. 2170. 2371. 2572,

presiding officer that further suspensionof the proceeding would not be contrary or other national security information.to the public interest. A presiding officer shall not receive

(c) Take such other action as he deter- any Restricted Data or other National-

mines to be in the best interest of all Security Information in evidence unless:-

parties and the public.

2-47 April 30,1992

.

NIPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~ i

-t- l 3.1001 oet.nmona. I "Marginali." means handwritten.

" Searchable full text" means the~ '

"ASCll Tale" means a computer red$, printed, or other types of notations electronic indexed entry of a documenttent file conforming to the Amencan added to a document excluding in ASCIIinto the Ucensing SupportStandard Code for Infonnstion & underlining and highlighting. System that allows the identification ofInterchange which represent characters "NRC" means the U.S. Nuclear specific words or groups of we'

Eand symtals.[ Regulatory Comrnission or its dul3 withm a text file."Bibbographic header" means the authorized representatives,

minimum senes of descriptive fields that g 2.10c2 HigMeret waste ucenaloga potential party, interested Support System.governmental participant, or party must Porfy for the purpose of this subpart

submit with a document or other means the DOE the NRC staff. the host (a)ne Licensing Support System is !State and any affected Indian Tribe in an electronic information mana'ement I

he a ul$se o he f eldsin he 1 [p ,*,",'nd a pets n a mi ter..ier

e doc n ary eria of a 1I 2.1014 of this subpan to the pm ce@ng"C r ulated draft" means a nonimal Nen application bc nse to receive other parties. interested governmental

document circulated for supervisory E "nd possess participants and potential parties andi

a g i ioa c ro cconcurrence or signature in which the cc their contractors. Access to thewaste at a geologic repositoryoriginal author or others in the u

concurrent.e process have non- E operations area pursuant to pan 60 of Licensing Support System by the parties,

concurred A " circulated draft" meeting this chapter; provided that a host State nterested governmental participants.

the above critenon includes a d: cit of a or affected Indian Tnbe ehdl file a het and potential parties provides the

c ocun ent that eventually becomes a of contenu ns in acc rdance u, h the document discovery in the proceedingi

fmal document. and a draft of a pmdsions of 1111014(a)p) Od ai On) The Licensing Support System provides

document that does not become a fmal f th;s subpart- fur the electronic transmission of filingsby the parties during the high-level-

ducumer.t due to either a decision not to " Personal record" means a document waste proceeding. and orders and-

fmalize the document or the passege of in the possession of an individual decisions of the Commission anda st.bstant.at period of time in which no,ct.cn has been taken on the document. associated with a party. interested Commission adjudicatory boards relateo

"Dccument" means any written. governmental participant. or potential t the proceedmg.party that was not required to be (b) The Licensing Support Systempnnted, recorded. magnetic, graphic N created or retained by the party, shell include documentary material notmatter. or other documentary material. 3 nterested govemmental participan:. or privileged under 5 2.1000 or excluded"iregardless of fcrm or characteristic.

" Documentary material" means any E potential party, and can be retained or under i 2.1005 of this subpart.discarded at the possessor's sole (c) The participation of the host Statesnaterial or other information that is & discretion, or documents of a personal in the Licensing Support System during

h relevant to, or likely to lead to thediscovery of information that is relevant nature that are not associated with any the pre. license application phase shall3 to. the bcensing of the likely candidate business of the party. interested g not have any affect on the State'sE site for a geologic repository. The scope governmental participant. or potential g exercise ofits disapproval rights under

,party. section 116(b)(2) of the Nuclear Waste |g of documentary material shall be guidedby the to ical guidelines in the - Potentio/porty means any person E Policy Act as amended. 42 U.S.C.

{

-

applicab e NRC Re ulatory Guide. who, during the period before the 310136ib)(2). !

" DOE"means th U.S.De artment of issuance of the first pre. hearing (d) This subpart shall not affect anyEnergy or its duly authorire conference order under i 2.1021(J) of independent right of a potential party. I

this subpart. is g anted access to the interested govemmental participant orrepresentatives, s I

" Full header" means the series of $ Licensmg Suppurt System and who party to receive information. ldescriptive fields and subject terms e consents to cornply with the regulat'ons52.1003 sut>misanon of maternal to thegiven to a document or other material. ' set forth in subpart j of this part,

. |'

t.SS." Image" means a visual hkeness of a E includmg the authority of the Pre-document, presented on a paper copy. License Apphcation Presidmg Officer (a) Subject to the exclusions inmicroform, or a bit. map on optical or designated pursuant to | 2.1010 of this 12.1005 of this subpart and paragraphsmagnetic media. _subpart. (c) and (d) of this section.each potential

party, interested govemmental" Interested govemmental patticipant" g " Pre. license apphcation phase" means participant or party, with the exception jmeans any person admitted underl 2.715(c) of this part to the proceeding g the time period before the license of the DOE and the NRC. shall submit toon an apphcation for a license to receive , application to receive and possess high- the LSS Administrator- |

<

and possess high-level radioactis e E level radioactive weste at a geologic (1) Subject to paragraph (a)(3) of this$ repository operations area is docketedwaste at a geologic repository section, en ASCII file, an image, and a

operations area pursuant to Part 60 of Lunder section 2.101(f)(3)of this part. bibliographic header, reasonably

[,O//icer rneuns one or more mernbers ofthis chapter. Pre. License Ap;hrotion Prewday contemporaneous with its creation or

"LSS Administrator" means the acquisition. for all documentary materialsperson within the U.S. Nuclear

{ licensing board, or a named officer whothe Commission. or en atomic safety and(including circulated drafts but-

Regulatory Commission responsible for excludmg preliminary dralts) generatedgadministration, managernent, and has been delegated fmal authority in the by, or at the direction of, or acquired by,'operation of the Licensmg Support 8 pre-license application phase with a potential party. interestedSystem.The LSS Administrator shall not jurisdiction specified at the time of govemmental participant, or party afterbe in any orgamrational un.it that either designation. the date on which such potential party,represents the U.S. Nuclear Regt.:atory F nterested governmental participant orCommission staff as a party to the high- ( " Preliminary draft" means any party is given access to the Licensingles el waste licensing proceeding or is a E nonfinaldocument that is not a Support System.

part of the mana ement cham reporting g circulated draft. and, if available, an ASCll file, no later(2) An image, a bibliographic header,

to the Director o the Office of NuclearMaterial Safety and Safeguards. For

{mctnbers of the Cummission or a..Pieudmy Offe rneus one or r*. orethan six months before the license.-

purposes of this subpart the application is submitted under 100.22 of.organizational unit within the NRC k atomic safety and hcensing beard. or a this chapter. for all documentaryselected to be the LSS Administrator E named officer who has been delegated gshall not be considered to be a party to $ mal authority in the matter. designated excludmg prehminary drafts), generatedithe proceedinF in the notice of hearing to preside,

April 30 1992 248

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -,

by, or at the directaco al on acqu red br. De.criptive material related to the Characteritation Plan. the

a potential party. ir 4eres:e f~

information above. EnvironmentalImpact Statement. end(2) Each potential party. interested the beense apphcation. or by NRC suce

hvernmental pv.rt c!r, ant. or part). on orgovernmental participant. or party. in a as the Site Charucterintion Analysis,fore the de'e cra wlich uch patent.elpartv. interested uvamnereat i ume frame to be established by the and the Safety Evaluation Report, ehe!.

tpar $dpar.t. or party est 3,b.u cun to ! s4 cess protocole under i 2.1011(d)(10) of be submitted to the LSS Administratorthe Uceopng Shoport Sy ner2, his cubpert shall submit. subject to the by the respective agency that gene-sted

(3) An trriage acd hithNraphi; h sadtr t.Wrns of pnvilege in i11008 only a the document.for documentary me.crial included bbbcpphic header for each item of (h)(1) Docieting of the application !;runder paragraphs (a)(1) M this sec@n docur sentary matenal that is not a License to receive and possess high-

suiteSle for entry Lato the Licensing lesel radaoactive waste at a geologicthat were *cquired from a pc fr. t tr4not a potents.1 party. phrry, or imerssted , Supt ort System in image or searchable repository operations area shall not he '

governmentel pertkipant. full ext.The header aballinclude all pernutted under Subpart ] of this part(b) Sabject to the exr.lusmns m requ red fie!ds and shall suffidentlYi

$ unless the ISS Administrator hasc esct;5e the mformation and referencesii 21005 of this subpaat. and subyd to certified, at least six months in advarxeparagtephs (c) and idl of this section. to re:ated information and acces' * d the subminalon d the hcensethe DOE and the NftC shsll submit to protocols. M.mever any docuroentary o' appbcation that the DOEhasthe LSS AdmirJstrator- matenalis transferred to some other u-

(1) An ASCll file, an tma2e and a media. e new % der shall be supplied g oubetantaaUy comp 1ned with its

bibbographic heed-r reasonabiy Any documntary material for which a obhgat2ons under this section.

contemporar+ous with its creenn or header only has been asppbad to the (2)(1) De LSS Administrator shall

acc..sition.. for all docurnentan matenal system shall be made avalable to any evaluate the extent of the DOE's

(inciuding carr.ulated drafts but other party. potential party or interested compliance with the provisions of thisexch.dmg prehmanary drafts) yencauted governroental participant throu the section at six monthintervale beginningby,or et the dir+ctwm of or seguired by. access protocols determined b the ISS six months after his or her appointmentthe DOE or the NRC after the date on Administrator under i11011(d)(10) or under i 11011 of this subpart.which the Lacensing Support SSstem is through entry upoo land for inspection (ii) ne ISS Adminhtrator shad ise:eavailable for access. and other purposes pursuant to i11020. a wntten report of his or her evaluatica

(2) An ASCII file, an muge. and a (3) Whenever documentary material cf DOE compliance under paragraphbiobographic header no la ter tn.m stx described in paragraphs (c 1) or (c)(2) (h)(1) of this section.De report shat

~

months before the bcense apphecoon is of this sectionhas been so cted or include recommendations to the DOE cntubmitted under i m22 of this chapter und in conjunction w'th other such any actions necessary to achieve.

for a!! documentary material (mcJudma information to analyze, critique, support substantial amhance pursuant tocirculated drafts but excluding g or justify any particular technical or -par. graph (h)(1) of dia section.prehminary drafts) genera ted by, or at oi scientific conclusion, or relates to other

~

the direction of. or sogtared by, the DOE documentary material as part of the (ii:: We 1.55 admin;stretor shallI g or the NRC on or before the date on E same scope of technicalwork or circulate esch evaluation prepared

which the Uoensing Support System is g investigation,then an a ste pursuant to p.: graph (h)(2)(il of thisgavailable for access. bibliographic header sh submitted sec:.un. u .J th n utten repori propM

(c)(1) Each potential pany. interested for a table of contents describing that pmuant to paragraph (h)(2J(iilof thagovernmental participant, or party shall package of infonnation. and sect:en to potential parties to the hipsubmit, subject to the claims of privilege documentary material contemed within g i,. e! w as:e proceedtag. Potential par:.es.

in i L100tL an image and a bibliographic that package shall be named and E may subm,s commena on or objectictsheader,in a ame frame to be estabhabed identfied. ' to the evaluations prepared pursuant toby the access pmtocols under (d) Each potential party, interested 8 peragraph (h)(2)(i) of mis section or thei11011(d)(10)of thre subpart for all governmental participant or party shall report prepared pursesnt to paragrapymphic oriented documentary enaterial. submit a bibliographic header for each (h)(2nii) of tha sectiun. to the LSSGraphic-onented documentary matenal documentary material-- Administ.ator wnhin 30 days ofincludes, raw data, computer runs. (1) For which a claim of privilege is issuance cf the evaluauon or report.computer programs and codes, field asserted; or Comments or objectons not filed wii:nnotes. laboratory note s. maps, diagrams (2) Which constitutes confidenn. l this time period are waived.aand photographs which have been financial or commercial information: or -

printed, scripted, band written or (3) Which constitutes safeguards-

otherwise displayed in any hard copy informatson under i 7321 of this (3)(i)In the event that the LSSfarm and whidi while capable of being Chapter. ; Administrator doca w eertifycaptured in electronic image by a digital (e)In addition to the submission of substantial compt < W eder paragraph |

scanning device, may be captured and documentary material under paragrapha (h)(1)of this se9 b wooeeding on <

submitted to the LSS Administrator in (a) and (b) of this section. potential the applicatiot ' < nee to recetse'

any form of image. Text embedded parties. interested governmental and possess hign.teve. .adioactivewithin these documenta need not be partacipants, or parties may request that waste at a geologic repository i

separately entered in searchable full another potential party's. interested R operations area shad be governed bytext. Such graphic-oriented doomments governmental participant's. party's. or % Subpart G of this part. i

may include: Calibration procedures, third party's documentary material be E (ii)lf. subsequent to the submission ofloss, guidelines, data and discrepancies; entered irto the Ucensing Support ' such apphestion under Subpart C of 'hisCauge, meter and computer settings: System in searchable full text if they or d par 1. the ISS Administrator issues theprobe locations: ' intervala and the other potential party. Interested certincation described in paragraphrates. Deta logs in w tever form governmental participant, or party (h)(1)of this section,the Commissioncaptured: Text data sheets: Equat.ons intend to rely on such documentary may.upon request by any party orand sampling rates; Sensor data and material during the licensing proceeding. interested governmental participant toprocedures: Data Descriptions: Fleid and (f)SubmMsjonof ASCII Ales. images, the proceeding, specify the extent tolaboratory notebooka: Analog computer, and bibliographic headers aball be in which the provisior.s of Subpart ) of thismeter or other device print-outs: Digital accordance with establiabed critene. part may be used in the proceeding

,

j computer print-outs: photographs; W Basic beensW dxumauCrsphs. plots, stnp charts. sketches; senerated by DOE, such es the Site,

2 49 April 30,1992

I

i_ __ .

1

PART 2 o EULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -

$ 2.1004 Amendments and ademons. (b) Reference books and t:xt bo ks: pre-lic:nse cpplic: tion phase, and.

(s) Within sixty days after a (c) Material pertaining exclusively to images of the non privielged documentsdocument has been entered into the administration, such as material nlated of NRC, shall be provided at theUcensing Support System by the LSS to budgets, financial management, headquarters Public Document Room ofAdministrator during the pre license puunnet office space, general NRC, and at all NRC 14 cal Publicappbcation phase and within five days distribution memoranda, or Document Rooms established in the |

after a document has been entered into procurement except for the scope of vicinity of the likely candidate site for a'

the Ucensing Support S stem by the LSS work on a procurement related to geologic repository, and at the NRC8 dminiatrator after the scense repository siti . construction. or Regional Offices, including the Uranium

6

archcation has been docketed. the operation. or to e transportation of Recovery Field Office in Denver,subnitter shall make reasonable efforts spent nuclear fuel or high. level waste: Colorado.to vsnfy that the document has been (d) Pressenteied correctly, and shall notify the (ellunk ma : pings and press releases: (3) The access terminals specified in

paragraphs (a)(1) and (a)(2) of this,

LSMdministratorof anyerrorsin|() rep (f) Preferences cited in contractorsection shallinclude terminals at Las

i

orts that are readily evallable: Vegas. Nevada: Reno. Nevada: Carson |an .After the time period specified for 3ei

( (g) Classified material subject toverification in paragraph (a) of this E SubpartIof this Part. City, Nevads: Nye County, Nevada; and

section has expired. a submitter who Lincoln County. Nevada,

desires to amend an incorrect document 3 a 2.toos PMe8e* (4)The headers specified in*

shall- (m) Subject to the requirements in paragraphs (a)(1) and (a)(2) of this

(t) Submit the corrected version to the i 2.10tWd of this subpart the section shall be available at the sameLSS Administrator for entry as a traditione discoveryprivileges time that those headers are made

- separate document; and recognized in NRC adjudicatory available to the potential parties.g (2) Submit a bibliographic header for procudings snd the exceptions from parties, and interested governmental

.

!*3 the corrected version that identifies all disclosure in s 2.700 of this part may be

participants.I

revisions to the corrected version. asserted by pot *ntial parties. interested (5) Public access to the searchable full i(3) The LSS Administrator shall governmental ps.ticipants, and parties. text and images of all the documents in I

es.sure that the bibliographic header for 1.n addition to Fedt al agencies, the the Ucensing Support System, not lthe originaldocument specifies that a deliberative process privilege may also privileged under section 2.1000, shall be

cor.ected version is alsoin the Ucensing be asserted by State and local provided by the LSS Administrator at all

,,, overnment entitles and Indian Tribes. the locations specified in paragraphsS mrt System. g( A submitter shall submit any (a)(1) and (a)(2) of this section after a-

notice of hearing has been issuedrevise p es of a document in the (b) Any document for which a claim ofUcensing upport System to the LSS privilege is asserted, but is demed in h pursuant to | 2.101(f)(8) or i 2.105(a)(5)

' Administrator for entry into the whol8 or in part by the Pre. License on an application for a license to receive !E and possess high level radioactiveU Support System as a separate A "' ^8 ' '

d cr sub d by 3 ,**8te at a 3 ologic repository(2) The LSS Administrator shall :e party, interested govemmental p,7

ansure that the bibliographic header : jarticipant, or potential party that N Pelic availeM !

of the records specifie in[uplicationof paper cobW(a)the original document specifies that g asserted the claim to- aragrap I

of this section, as well asirevisions have been entered into the (1) ne LSS Administrator for entryc.

Ucensing Support System. { into the Ucensing Support System int fees, and fee waiver for those records, 1will be governed by the Freedom of lE(d) Any document that has been (2) o S n!strator or to the nnadon Act ngulahns oMe '

incorrectly excluded from the Ucensina g Pre-Ucense Application Presiding respective agencies.

Support System must be submitted to Officu w to the Pruiding Officu. fu (c) Access to the Ucensing Supportthe LSS Administrator by the potential entry into a Protective Order file, if the System for potential parties, interested

governmental participants. and partiesparty. Interested governmental C8n p ce npart:1 pant, or part responsible for the ,, gO will be provided in the following

" * " " " ~submission of the ocument within two dincts undu I 2.1010N w I 2.101Hc) ofdays efterits exclusion has been this subpart. (1) Full text search capability through

dial up access from remote locations at-

g identified unless some other time is (c) Notwithstanding any availability the requestor's expense:-

g approved by the Pre Ucense Application of the deliberative process privilege (2)1 mage access at remote locationsPresiding Officer or the Presid4ng Officer under para rs h(a)of this section, at the requestor's expense:dulgnated for the high level waste circulated a s not otherwise (3) The capability to electronically !

,

proceeding, provided, howes er, that the privileged shall be subtnitted for entry request a paper copy of a document at|time for submittal under this paragraph into the Ucensing Support System the time of search;will be stayed pending Officer action on

pursuant to il 2.1003(a) and 2.1003(b) wa motion to extend the time for this subpart. (4) Ceneric fee walver for the papersubmittat copy requested under paragraph (c)(3) of; hI2M Access, this section for te uestors who meet the

3 (a)(1 Terminals for access to full criteria in i 9.41 o this chapter.g heade for all documents in the (d) Documents submitted to the LSSj2.1005 Escluskna.

The following materialis escluded g Ucensing Support System during the Administrator for entry into thefrom entry into the Ucensing Support pre-license application phase, and Ucensing Support System shall not beSystem, either through initial entry images of the non privileged documents considered as agency records of the LSS

" pursuant to i 2.1003 of this subpart. or of DOE. shall be provided at the Admirdstrator for purposes of theE through derivative discovery pursuant to headquarters of DOE. and at all DOE Freedom ofInformation Act (FOlA). 5 |

3 12.1019(l) of this subpart- Local Public Document Rooms U.S.C. 552, and shall remain under the l

(a) Official notice meteriale: established in the vicinity of the likelycandidate alte for a geologic repository.

(2) Terminale for access to fullheaders for all documents in the* )

Ucensing Support System during the

April 30,1992 264

- .-.

.

'

2.101I(b)2.1007(d)PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS .. . |

* 1

1 custody and control of the agency or | that tha procedence specified inp.srty.,intercated prernrnent.s!

regraph (a)(2)of this section have partinpaat, or party other thin thE eegaaisation that subenitted theT documents to the GS Admiinistrator. $ a implemented and that to the beat Commission ataff,it shall aim t

*R : of his or her knowledge.the protceted according to the requirerrents

b equests for access parauant to the g documentary material specified in utense Application Presiding Officer jof f 73.21 of this chapter.De Pre-

FOIA to documents submitted by aE Federal agency shall be traumitted to , i 2.1003 of this subpart has been

* Identified and submitted to the nmy also prescribe such additional |[that Federal asency. Lucensing SupporiSystem. procedurrs as will effectively safeguard |

and prevent disclosure of Safeguards" .1010 Pre-Ucenae Application Preadng Information to unauthorized ersons$3.t008 Potential parties.

62(t) A Person may petition the Pre- officer. with minimum impairment o the

Ucense Application Presiding Officerg designated pursuant to i 2.1010 of this

(a)(1) ne Commission may designate procedural rights which would beone or more members of the available if Safeguards Information

subpart for access to the Ucenu.ng Commission, or an atomic safety and N were not involved.In addition to anyLSupport System. licensing board, or a named officer who k other sanction that may be imposed by

b) A petition must set forth with has been delegated final authority on g the Pre.ucense Application Pres! dingIh pa(rticularity the interest of the Officer for violation of an orderthe matter (Pre.ucense Application gp petitioner in gaining access to the Presiding Officer) to rule on a!! petitions pertaming to the disclosure of

E Ucensing Support System with lur access to the Ucensing Support Safeguards Information protected from

E particular teference to- System submitted under i 2.1000, disclosure under section 147 of thedisputes over the entry of docurnents Atomic Energy Act, as amended, may be'

(1) The factors set out in i 2.1014(c)durmg the pre-license application phase. subject to a civil penalty imposed

k(determined in reference to the topical(1). (2). and (3) of this subpart as including disputes relating to relevance pursuont to i 2.205. For the purpose ofand privdege: disputes relating to the impcsing the criminal pensities

E guidelines in the applicable NRC g ISS Admin r.trator's decision en contained in section 223 of the Atomick substantial compliance pursuant to l'.nergy Act, as amended, any orderE8 Regulatory Guide;org & 2.1003(h); discovery disputes. disputes issued pursuant to this paragraph with

relating to access to the Ucensing respect to Safeperds Information shall$'~ (2) The criteria in i 2.715(c) of this

gSupport System: disputes relating to the be deerned an order issued under

part as determined in reference to the design and development of the Ucensing section telb of the Atomic Energy Act.E topicalguidelines in the applicable NRC

Support System by DOE or the oberation * * ' " " * 0**E Regulatory Guide. of the Ucensing Support Systern y the ma edalis rebaA and not pMged."- LSS Administrator under i 2.1011- exempt from disclosure. or otherwise-

(c)The Pre-Ucense Application including disputes relating to the mmpWm nWo 6e mensWPresiding Officer shall. in ruling on a irnplementatien cf the recommendations Supp rt System under $ 2.1005 of thispetition for access. consider the factors of the LSS Advisory Review Panet subpart. the potential party. lsterested

I set forth in paragraph (b) of this section. established under i 2.1011(e).d Any person whose petition for (2) The Pre-Ucense Application $ g vernmenialparticipant,or party who

Presiding Officer sha!! be designated six [e[d$ ac(ce)ss is approved pursuant toca o "8 "ls

ncc paragraph (c)of this section shall months before access to the Ucensing

g h (. . [,, tr w ays em",*Sup t System is scheduled to beg comply with the regulations set forth in

,

3 y,ava ethis subpart. includ g i 2.1K3 an l re.ucense Application (d)Re service of allpleadings.

P*' Presiding Officer shall rule on any claim discovery requests and answers | orders.p e 1.i ense pp etion Pres d og a ecis nof document withholding to deterrr.ine-Officer des!gnated pursuant to i 21010

_of this subpart. (1) Whetheritis documentary accordmg to the procedures spec &ed in

"l 3.100s Prococturesmaterielwithinthescopeof this i 2.1013(c) of this subpart.subpan: O (e)The Pre.ucense Application(s) Each potential party, interested

(2) Whether the materialis excluded Presiding OfScer shall possess all thegovernmental participant. or party from entry iMo the bcenams Support general powers specified in il 2.721(d)shall-(1) DeaQnate an official who will be . g System under i 11005 of this subpart: E cnd 2.718.

reopensible for adrninistra tion of its : |3) Whether the material is privileged g(f) The Commicsion* in desi "stin8 theEor otherwise excepted frora disclosure c

' Pre.ucense Application PresidingU# " ingS EP " Sy t"" under section 11006 of this subpart; 8 Officer in accordance with paragraphspsponstbiliuu' rocedures to implement3 (4)If privileged. whetherit la en

(2) Establish p absolute or alified pelvilege. (a)(1) and (2) of this .ection. shall i

the frements in i 2.1003 of this (5)lf qual ed.whether the ' ocument specify the jurisdiction of the Officer. Id

should be disclosed because it is~

h (31 Provide training to its staff on the acusary to a proper decisionin the 1 2.1011 LSS Management and- procedures for unplementation of P' C"'di38; *d*'"'''''''**' )E Ucensing Support System -

(a)De Licensing Support System jg responsibihees: - (6) Whcther the material should be shall be administered by the LSS ((4) Ensure that all documents curry disclosed under a protective orderthe submitter's unique identification containing such protective terms and Administrator who will be designated

'

conditions (including affidavits of h within sixty days after the effective 4Mnumbet s(5) Cooperate with the advisory { nondiscicJure) as may be necessary and I of the rule.

appropriate to limit the disclnsure to E (b)(1) Consistent with thereview process established by the LSS eAdministratorpursuant to 8 2.1011(e) of ' potentiel porticipants. interested 3 requirements in this subpart,and inthis subpart. E governmental participants and parties in consultation with the LSS

(b) The responsible official de6ignated the proceeding. or to their qualded Administrator. DOE shall be responsible

pursuant to paragraph (a)(1) of this witnesses and counsel. When for the design and development of the |

section shall certify to the LSS Safeguards Information protected from corr puter system necessary to |'

Adtronistrator, at six month inters al. disclosure under scction147 of the implement the Ucensing Suppor!

deugwied by the LSS Admitustrator. Atomic Energy Act. as arnended. isreceived and possessed by a poten: int

2 51 April 30, IN

_ _ . - - - _ _ _ - - _ _ _ _ _ _ - _ - _ _ _ _ _ _ _ _ _ - _ - . _ _ _ _ _ - _ _ _ __ _ __ _ -

.

PART 2 o RULES OF PRACTK;E FOR DOMESTIC LICENSING PROCEEDINGS . . ..

System,italudmg the procurement of (7) Ensure LSS availabihty and the Support System under paragraph (b) ofcomputer hardware and software, and, integrity of the LSS data bana this section; andwith the concurrence of the LSS (8) Receive and enter the documentary (ii)ne LSS Admirustrator cn the fAdministratur. the follow on redesign meterial specifad in i11003 of this operation and maintenance of the '

and procurement of equipment subpart into the Ucensing Support Ucensing Support System undernecessary to masntain the Ucensing System in the appropriate formaat: paragraph (d)of this section.Support System. (s) Maintain security for the Ucensing (2) The responsibilitiea of the LSS

(2) With respect to the procurement Support System data base. including Advisory Review Panel shallincludeundertaken pursuant to paragraph (b)(1) sostgning reer password security codes: advice on-fi) Fornet standards for theof this section. a representative of the (10) Establieb access protocole for row submission of documentary material toLSS Admimstrator shall participate as e data. field notes, and other items the Ucensing Support System by themember of the Source Evaluation Panel covered by 6 2.2003(c)of this subpan; parties. interested governmer.tallot such procurament. (11) Maintain the thesaurus and participanta, or potendal parties. euch as

(3) DOE shall implement consensus authority tables foe the Ucenslag ASCII files, bibliographic headers, andadvice from the LSS Advisory Revtew Support System: images:Psnel under paragraph (f)(1)of this (12) Establish and haplement a (ii)De Procedures and standards forsection that is consistant with the tretning program for ucensing Suppoet . the electmnic transmienton of filings. )requirements of this subpart. System users; orders, and decisions during both the '

(c)(1) The Ucensma Support System. (13) Provide support staff to assist Pre-license application phsee and thedesenbed in i 2.2002, shall not be part of users of the Licensing Support System: high-level weste licennns proceeding:any computer system that is controlled (14] Other duties as specified in this (iii) Access protocols for rsw data,by any party, interested governmental subpart or necessary for Ucensing field notes. and other items covered byparticipant. or potential party. including Support System operation and i 2.1003(c) of this subpart; ;DOE and its contractors, or that is maintenance. (iv) A thesaurus and authority tables;physically located on the premises of (e)(1)ne LSS Administrator shall (v Raasonable reqmtements forany party, interesied governmental establish an LSS Advisory Review Penel hea s, the control of duplication,participant, or potential party, induding composed of the LSS Advisory retrieval, display, trnage delivery, queryDOE and that ofits contractors. Committee members identified in response. and " user fr;endly" design:

(2) Nothing in this subpart shall paragoph (e)(2) of this section who (vi) Other duties as specified in this Ipreclude DOE. NRC. or any other party, wish to serve within eixty days after subpart or as directed by the LSSpotential party, or interested designation of the LSS Administrator Administrator.govemmental participant, from usms the h pursuant to paragraph (e of this section. $ * # 8C'" # ****-*I- Ucensing Support System computer * The LSS Administrator e allhave the

,

E facihty for a records management E authority to appoint additional*

(aj in addition to the requirements of3 system for documentary matarial g representatives to the Advisory Review g i 1101(f) of this part, the Director of the i

'

independent of the Ucensing Support Panel consistent with the requirements E NRCO!!1ce of Nuclear Materials SafetySystem of the Federal Advisory Committee Act, and Safeguards may determine that the {

(d)The LSb Administrator shall be 5 LI.S C. App. L giving particular tendered application is not acceptable Iresponsible for the management and consideration to potential parties, for dockating under this subpart. lf the '

administrgtfon of the Ucensing Support parties, and interested governmentaj ISS Administrator bu not inued theSystem, including the responsibility to- participants who were not rr. embers of certification described in i 2.1003(h)(1) |(1) Implement the consensus advice of the NRC HLW Ucensing Support System of this part. Ithe LSS Advisory Review Panel under Advisory Committee. (b)(1) A person. including a potentialparagtsph (f) of this section that is (2) Pending the establishment of the party granted access to the Ucecsing lconsistent with the requirements of this LSS Adviaory Review Panel under Support System under i 2.1006 of thissubpart; paragraph (e)(1) of this section the NRC subpart. shall not be granted party

(2) Provide the necessary personnel will establish a Licen Ing Support status under i 2.1014 of this part, ormatenals, and services for operation System Advisory Committee whese status as an interested governtnental ;

i

and maintenance of the Licensmg membership willinitially include the participant under i 1715(c) of this part, jSupport Sy: tem: State of Nevada. a coalition of affected if it cannot demonstrate substantial and

(3) Identify and recommend to DOE units oflocal governrnent in Neveda timely compliance with therany redesign or procurement actions who were on the NRC High-Level Waste requirements of i 11003 of this subpartnecessary to ensure that the design and ucensing Support System Advisory at the time it requests participation in

j'

operation of the utensu,g Support Committee. DOE NRC, the National the high-level waste licensing |

System meets the objectives of this Congress of Anancan Indians, the proceeding under either i11014 orsubpart; conhtion of national environmenal 12.715(c) of this part. |(4)Make a concurrence decision, groups who were on the NRC High. Level (2) A person denied party status or |within thirty days of a requerI from Weste Licensing Support System interested governmental participantDOE. on any redesign and telated Advisory Committee and such other status under paragraph (b)(1) of thisprocurement performed by DOE under members as the Comrnission may from section may request party sta tus orparagraph (b) of this section; time to tirne designate to perform the interested governmental participant

(5) Consult with DOE on the unign responsibilities in paragraph (f) of this status upon a showing of subsequentand development of the Ucensing section. compliance with the requirements ofSupport S) stem under paragraph (b) of (f)(1) he LSS Advisory Review Pane) l 2.1003 of this subpart. Admission ofthis section: shall pr:, vide advice to--[i) DOE on the such a party or interested governmental

(e) Evalue:e and certify compliance fundamentalissues of the design and participant under ! L1014 of thiswith the requirements of this subpart development of the computer system subpart or i 1715(c) of this part,under i 2.1003(b); necessary to implement the f Maing respectively, shall be conditioned on

accepting the status of the proceedmg atthe time of admission.

April 30,1992 242

_ _ _ _ _

.

7.1012(b) 2.1014(a)PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS . ...

(2) Filings required to be served shall (i) Good cause. if any, for failure to-~-

(c)The Presiding Officer shall not be served upn either the parties and file on time;make e finding of substantial and timely nterested g;verntnental participants, or (ii)The availability of other meanscornp'..ance pursuant to paragraph (b) of their designsted representatives. When whereby the petitioner's interest will beshis s.ction fu any person who is not in a party or interested governmental protected;corr;.:..a.cc wnh all opphcable orders of partacipant has appeared by attorney, 'iii) The extent to which thethe P e License Apphcation Presiding service must be made upon the attomey petitioner's participation mayOffner designsted pursuant to l 2.1010. of record. reasonably be expected to assist ing

r- (d) Access to the Ucensing Support (3) Service upon a party or interested developing a sound record;g System may be suspended or terminated governmental participant is completed (iv)The extent to which the

by the Pre Ucense Application Presiding when the sender receives electronic petitioner's interest will be representedS Officer or the Presiding Officer for anY acknowledgment (" delivery receipt")

$ y existing part'es;b

potential party. interested pcvernmental that the electronic submission has been (v) ne extent to which theparticipant or party who is in IQ placed in the recipient's electronic 3 petitioner's participation willbroadennonccmpliance with any apphcable ? mailbox. cc the issues or delay the proceeding.

{ pa(rticularity-crder of the Pre Ucense Application 4) Proof of service, stating the name" 2)The petition shall set forth withPresidmg Officer or the Presiding Officer E an(d address of the person on whomor the requirements of this subpost. E served and the manner and date of (i)The interest of the petitioner in the

service, shall be shown for each proceeding and how that interest maydocument filed. by- be affected by the results of the

(i) Electronic acknowledgment proceeding. including the reasons why(" delivery receipt"); or petitioner should be permitted to

i 2.1013 Use of LS$ during the (D) The affidavit of the person makin8 ntervene, with particular reference toawcatory proceeeng. the service; or the factors in paragraph (c) of this

(a)(1) Pursuant to i 2.702, the (iii) The certificate of counsel. s ection*-Secretary of the NRC will maintain the (5) One signed paper copy of each -

~official docket of the proceeding on the filing shall be served promptly on the (ii) A list of the contentions thatapplication for a license to receive and Secretary by regular mail pursuant to petitioner seeks to have litigated in thepossess waste at a geolo,gic repository the requirements of I 2.708 and 2.701 of matter:

o% with the docketing ofthis part. (iii) With respect to each contention;

(2)''''

the bcense application to receive and (6) All Presiding Officer and Commission (A) A specific statement of the iss.;e-

possess high-level radioactive waste at issuances and orders will be transmitted of law or fact to be raised ora geologic repository operations area electronically to the parties. interested controverted.pursuant to Part 60 of this chapter, the governmental participants, and the !.SS (B) A brief explanation of the basis ofLSS Administrator si.sil establish a file Administration. the contention.

[ Q within the Ucensing Support System to (d) Online access to the Ucensin8 (C) A concise statement of the alleged" contain the official record materials of Support System, including a Protective facts or expert opinion that support the=

E the high-level radioactive waste Order File if authorized by.a Presidin8 contention and on which the petitionerlicensing proceeding in searchable full Officer shall be provided to the Presidin8 intends to rely in proving the contention

3 text. or for meterial that is not suitable Officer, the at the hearing, together with referencesfor entry in searchable full text, by representatives of the parties and to those specific sources and documentsbcader and image, as appropnate. interested governmental participants, of which the petitioner is aware and on

(b) Absent good cause, all exhibits and the witnesses while testifying. for which the petitioner intends to rely totendered during the hearing must have use during the hearing. Use of paper establish those facts or expert opmion.been entered into the Ucensing Support copy and other images will also be

(D) Sufficient information to show thatSystem before the commencement of permitted at the heanng. $o a genuine dispute exists with thethat portion of the hearing in which the N applicant on a materialissue oflaw orexhibit will be offered De officidl g3,gg, ,n,,,,,n,3,n,

E fact.nis showir4 mustincludes(a)(1) Any person whose interest may 3 reference to the specific documentaryrecord file in the Ucensing Support ( be affected by a proceeding on theSystem will contain a list of all exhibits. a, material that provides a basis for the

showing where in the transcript each ' application for a license to receive and contention, or if the petitioner believeswas marked for identification and where 8 possess high. level radioactive waste at that any documentary material! ails toit was received into evidence or a geologic repository operations area contain information on a relevant matterrejec.ed. Transcripts will be entered into pursuant to Part 60 of this chapter and as required by law, the identification ofti e Ucensing Support System by the LSS who desires to participate as a party each failure and the supporting ressensAdministrator on a daily basis in order shall file a written petition forleave to for the petitioner's belief. In tieterminingto provide next-day availability at the intervene. In a proceeding noticed whether a genuine dispute exists on ahearing. pursuant te i 2:105 of this part, any meterialissue oflaw or fact a

person whose interest may be affected dispositive factor shall be whether the-

also request a hearing.The petition contention, if proven, would be of no(c)(i) All filings in the adjudicatorymay/or request. and any request toand consequence in the proceeding becauseproceeding on the license application to

recen e and possess high-level participate under i 2.15(c) of this part, it would not entitle the petitioner to7radioactive waste at a geologic shall be filed within thirty days after the relief.respository operations area pursuant to publication of the notice of hearing in (E)ne specific regulatory or statutory

9 Part 60 of this chapter shall be the Federal Register. Nontimely filings requirement to which the contention isR transmitted electronically by the will not be entertained absent a relevant.E submitter to the Presiding Officer, parties. detertnination by the Commission. or the (3) Any petitioner who falls to satisfyg the LSS Administrator, and the Secretary. Prealding Officer designated to paragraphs (a)(2) (ii) and (iii) of this

according to established format rule on the petition and/or request, that section withtespect to at least onerequirements. Parties and interested the petition and/or request should be contention shall not be permitted tagovernmental participanta will be granted based upon a balancing of the participate as e party.required to use a password security rollowing f actors. in addition tcode for the electronic transmission of satisfying those set out in paragraphs (4) Any party may amendits

these documents. (a)(2) and (c) of this section:i; ntentions specified in paragraph(a)(2)[li) of this section.The Presiding-

2-53 April 30,1992

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . ...

Off.cer shall rule om any petition to If) A person permitted to intervene ' period has expired for the filing and~

arr.end such contemhone based on the becc.mes a party to the proceedmg. service of the briefs of all appe!! ants. Abe!ancen of the f.uators specified in subject to any limitations imposed responding party shall file a single

10~ paragra (a)(1)of this section. and a$ pursuant to paragraph (e)of this section.

responsive brief regardless of theg showmg that a sigmificant safety or Igl Unless otherwise expressly number of appellants' briefs filed.

ens uonmental issuee is ins olved or that g provided in the order allowing (4)Briefcontent A briefin excess ofg

the amended contemtion raises a intervention, the granting of a petition ten (10) pages must contain a table ofE

$ materialissue relatted to the Efor leave' to intervene does nut change contents. with page references, and a

performance evaluastion anticipated by or enlarge the issues specified in the table of cases (alphabetically arranged).Il 60112 and 6atra of this chapter. _ notice of hearing. statutes regulations and other~

I authorities cited. with references to the-

b Any party or imserested (h)If the Comm!ssion or the Presidingk ge(se)rnmental participant may file anOfficer determines that any of thepages of the brief where they are cited.

3 answer to a peutsom forleave to admitted contentions constitute pure 'il An appellant's brief must clearlyE intervene or a petarnon to amend issues oflaw, those contentions must be scentify the errors of fact or law that are

g contentions withinarwenty days after decided on the basis of briefs or oralthe subject of the appeal. An intervenor-

s appellant's brief must be confined toy ervice of the pennion. argument according to a scheduledetermined by the Commission or tFe issues which the interveaor a pellant_,

(c) Subject to paragraph (a)(3) of this Presiding Officer. placed in controversy or soug i to place

section, the Commasion, or the Presiding in controversy in the proceeding. ForOfficer dev4gnated to rule on i 2.1015 Appsats, I each issue appealed. the precise portion

of the record relied upon in support ofpetii;ons to interveme and/or requests (a) No appeals from any Pre-License8 the assertion of error must also befor hearing shall perr:nst intervention. in Application Presiding Officer or

any hearing on an epplacation for a Presiding Officer order or decision k provided'.

ePo bcense to receive an& possess high-level issued under this subpart are permitted, (ii) Each responsive brief must containmk rad.cactive waste sat a geologic except as prescribed in parsgraphs (b), g a reference to the precise portion of theE repo6itory operatuuns area. by an s (c) and(d)of this section. record which supports each factual

( License Application Presiding Officerg affected unit oflocaad government as (b) A notice of appeal from (1) e Pre- assertion made.

dehned in section 431) of the Nuclear (5) Brieflength. A party shall not file ag42 U S C.10101. In ad! othercirrumstances. A, order issued pursuant to i 21010. (2) abrief in evess of seventy (70) pages inWeste Pohey Act aff 1982. as arnended.

Presiding Officer First or Second le th exclusive of pages containing thethe Commission or IPresiding Officer Prehearing Conference Order issued ta e f c ntents table of citations andshail. In ruling on a tretition for leave to pursuant to i 1.1021 or i 2.1022. (3) a any addendum containing statutes,intervene consider t!he following Presiding Officer order granting or rules. regulations, etc. A party mayfactors, among other things: denying a motion for summary request an increase of this page limit for

-|, disposition issued in accordance with go d cause. Such a request shall be(1) he nature of Ehe petitioner's nght i 2.1025 of this part, or (4) e Presiding made by motion submitted at least (

under the Atomic E;nergy Act to be made Officer order granting or denying a seven (7) days before the date upong a pa to the proceedmg; Petition to amend one or more which the briefis due for filing and shall

2) e nature ant 5 extent of theE pe(utioner's property. financial, or othercontentions ursuant to i 2.1014(a)(4). specify the enlargement requested.,

must be fil with the Commission no (6) Certificate of service. Allh- interest in the procreedmg; later than (10) days after service of the d cuments filed under this section mustE (3) The possible etIfect of any order order. A supporting brief must be accompanied by a certificate

that may be entered:in the proceeding accompany the notice of appeal. An reflecting service upon all other partieson the petitioner's imterest. otherparty, interested overnmenta to the proceeding.

",'articipant or potenti party may file a (7) Toilure to comply. A brief which in

(4)ne failure of tihe petitioner to rief in opposition to the appeal no later f rm or content is not in substantialarticipate as a potwatial party in the than ten days after service of the appeal. compliance with the provisions of thiscen Ing Support System. I section may be stricken. either on(5)In determining whether a genuine (c) Appeals from a Presiding Officer m 13 n of 8 Party or by the Commission

dispute exists on a nnaterialissue oflaw initial decision or partial initial decision n ta own initiative,-

or fact. whether the econtention. If must be filed and briefed before the ~

proven, would be of no consequence in Commission in accordance with the(d) When. in the judgment of a Pro-

the proceeding because it would not following requirements. 1.feense Application Presiding Officer orenutie petitioner ta rehef. Presiding Officer, prompt appellate

(1) Notice of appeal. Within ten (10) review of an order not immediatei An order persmitting intervention days after service of an initial decision, appealable under paragraph (b) o thiscnd r directing a Inearing may be any party may take an appeal to the section is necessary to preventcondationed on such terms as the Commission by filing a notice of appeal. 'istriment to the public interest orCommission, or the . designated Presiding ne notice shall specify: uneus! delsy or expense. the Pre-Officer may direct in thei (i) De party taking the appeal: and . cme ap4 cation 6 siding Officer or

E nteresta of. Presiding Officer may refer the ru!1 Restricting irrelevant duplicative. (ii) De decision being appealed-

e promptly to the Commission, and s 1]8 or(re)petitive eviderme and argument.E (2) riling appellant's brief. Each 4 provide notice of this teferralto the(2) Having commam interests 8ppellant shall file a brief supporting itt E parties interested governmental

represented by a e aikesman. and Position on appeal within thiny (30) g participants, or potential parties.De(3) Retaining au nonty to determine days (40 days if Commission staff is the parties, interested governmental

riorities and contre! the compass of the appellent) after the filing of notice participants. or potential parties mayearing. required by paragraph (a) of this section. also request that the Pro.l.icense(e)In any case in ==hich. after (3) filing responsive brief. Any party Application Presiding Officer or

consideration of the Ilactors set forth in who is not an appellant may file a brief Presiding Officer certify. pursuant toparsgraph(c)of this section.the in sup rt of or in opposition to the i 2.718(t) of this part. rulings notCommission or the P' residing Officer appea within thirty (30) days after the immediately appealable under

P'',og{aph (b) of this sectton.finds that the spetitioner's interest period has expired for the fili andI ngess otherwise ordered theis hmited to one or smore of the issues service of the brief of all appe ants.

involved in the proceeding, any order Commission staff may file a responsive g na Cg *n appeal. petition for review,allowing intervent!a:n shalllimit the brief within forty (40) days afier the

_ petitioner's participanon accordingly, g. ... ...

, .- . .. . _ .._ _ . . . -- . ~- _ _ . __- .. ._ .. .

;#-

*i

,

2.1016(e): 2.lois(e)'- mnt 2 o nutES OF PRACTICE FOR DOMESTIC UCENSIM PnOCEEMMS t" - |- ., r

&

.

soferrel, or request for certincetion of e -sulq eheu not stay the proceeding orextend the tirne for the performance of i

any e:t. y'

I psees Amy appeal teken purement' to theterr .s r.f this reguletsen efter October 24. g

see0 ssell be filed with the Commission ,

!

E sother then w6th en Ato,mic Safety and iia,,,,,,,4 ,,,,igoe, ,,t.ith,te d. ,e,y -t

prov.s.ene of this re,wlstion to the contrary.{

3a.iew asemene._

(e) All motione eheu be addressed to '

' h the Commission or, when a proceedingE 6e pendme before e Preelding Officer.g to the presiding Officer. ,

All e ;

p' secer.otloos unless made oreUy on thed. ehell be filed e scording to the_ rovisions of | 2.1013(c) of this subpart.p '

I (t) A motion eheu state with -

port.cularity the grounde and the neue! 'iso@t. and shall be acconspanied byIg eey emdevite or other evidence reliedig on. er.d. as appropriate. a proposed form *

g,elordet.. .

!c) Within ten days efter service of a r

mot;cn a party, posential party, or|intervetes governmental participant may - "

Ale en esswer fa support of or inopposition to the eeotion, eccompanied

iby emdevite er other evidence.Themov:ng party obeu have so right ta .

reply, sumpt as periaatted by the Preeld'nt i

Off.:er er the Geestary or the Assistant -

Secre'.ory.

(dine Preelding Officer may disposeof motions

,;

either by order or by ruling orally during .'the causes of a prehearing conference or - 1hear.ng. '

,

(e) Where the motion in question le ei

j. ! motion to compel discovery underl Ef30(h)(2) of this part or i 2.1018(f) of ithis subpart, parties, potential pa rties. .

and intensted govemmentelIl arecipante may file enewere to the ,p |

motion pursuant to peregraph fc) of this ieset.on.De Presiding Officer ?

in its discretion, mayorder that the snower be 3 van oreUy1

during a telephone conference or other )preteering conference. ret ser then filed '

electronically. If responses are siven !over 'he telephone the Presiding Ofheer !ehell tsaue . -

.t*

a wr.eten order on the motion whicheurr.'t.ortree the views presented by the iparties.potentialperties end tnterested ;governmental participante unless the !conference has been transcribed. Thledoes not preclude thePreelding Officer i

,

fro:nissuing a prior oral rd; tg on the metter

!

which is effective et the tirne ofite - .Iisscence,provided that the terms of theiruling are incorporated in the '

subsequent written order.L ;

I

i

!i

April 30,1992 !-

i

;. _ _- . - _ . _ . . . .. . _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _-

__ _ __ _ _ __.

.

2. W OPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ...*

.ga. Sot 7 compviation ot ume. discovery pursuant to il 2.1018(al(2)in computing any period of time, the and 2.1019 of this subpart, all other ', ("{C , ,"";[gn a den

. "* ' 'ed

day of the act. event. or default after discovery shall begh during the pre- way; (7) that studies and evaluations notwhich the designated period of time license application phase. Discos ery be prepared. If the motion for abegins to run is not included. The last pursuant to ll 21018(a)(2) and 21019 of protective order is denied in whole or inday of the period so computed is this subpart shall begin after the part. the Presiding Ofhcer may, on suchmcluded utdess it is a Satarday. Sunday. $ issuance of the first pre hearing terms and

ior legal holiday at the place where the conference order under 5 2.1021 of this, conditions se are just. order that anyaction or event is to occur, in which E subpart. and shall be limited to the g ; g i

event the period runs until the end of the g issues defined in that order or governmental participant or other'

next day which is neither a Saturday, subsequent amendments to the order. It person provide or permit discovery,Sunday, nor holiday. Whenever a party, is not ground for objection that the (d) Except as provided in paragraphpotential party, or interested information sought will be inadmissible g (b) of this section, and unless the Presiding

.

governmental participant, has the,right at the heanng if the mformation sought Officer upon motion, for the convenience ofor is required to do some act withm a appears reasonably calculated to lead t g gprocribed period after the service of a ,the discovery of admissible evidence. 8,0' es a d n the interIst of justice,

I tici dnotice or other document upon it. one ;tne=

day shall be added to the prescnbed [2) A partyperiod. If the Licensing Support System interested go" potential arty, or orders otherwise, methods of discovery

vernmente participant may may be used in any sequence, and theis unavailable for more than four access obtain discovery of documentary fact that a party, potential party, orhours of any day that would be counted material otherwise discoverable under interested governmental participant isin the computation of time. that day will paragraph (b)(1) of this section and conducting discovery, whether bynot be counted in the computation of prepared in anticipation of. or for the deposition or otherwise, shall not"*' ring by or for another party's, operate to delay any other party's.

3 9 2.1018 Discovery. potential party's, or interested Potential party's, or interestedg (a)(1) parties. potent;al parties. and governrnental participant's . overnmentalparticipant's discovery.g

g interested governrr. ental participants in representative (including its attorney.- (e) A party,potentialparty,orthe high-level waste licensing surety * indemnitor, insurer, or similar

proceedmg may obtain discovery by one agent) only upon a showing that the interested governmental participant whoor more of the followmg methods: party, potential party, or interested has included a 1 d cumentary material

ant to a@sconry mquot in &mAccess to the documentary materialin governmental participant seekingthe Licensing Support System submitted disenvery has substantial need of the hitenting Support System or who has

pursuant to i 2.1003 of this subpart; materials in the preparation ofits case re8ponded to a request for discoveryentry upon land for inspection. accese t and that it is unable without undue with a Meponse that was completerow data, or other purposes pursuant to hudship to obtain the substantial when made is under no duty tol 2.1020 of this subpart; access to, or the equivalent of the materials by other 8upplement its response to include

n ena racq d.ucept{production of, copies of documentary means. In ordering discovery of these* * [***. i

material for which bibliographic headers materials when the required showingonly have been submitted pursuant to has been made, the Presiding Officer o s'e nw eat writteni 2.1003 (c) and (d) of this subpart; shall protect interrogatories are authorized pursuant

idepositions upon oral examination against disclosure of the mental M to pamph (sX2) Mis ucun a

,, impressions, conclusions, opinions or % partyorinterestedgovemmentalpursuant to i 2.1019 of this subpart; e -

requests for admission pursuant to k legal theories of an attomey or other E participant is under a duty to$ 1742 of this subpart; informal requests E representative of a party, potential % seasonably supplement its response tofor information not available in the g party, or interested governmental any question directly addressed toLicensing Support System. such as the parbcipant concerning the proceedin8- the identity and locauon of persons (1)names of witnesses and the subjects (c) Upon motion by a party, potential having knowledge of discoverablethey plan to address; and interrogatories party, interested governmental matters, and (ii) the identity of eachand deposinons upon written questions. participant, or the person from whom person expected to be called as anas provided in paragraph (a)(2) of this discovery is sought. and for good cause expert witness at the hearing thesection. shown, the Presiding Officer subject matter on which the witness is

"*

may make any order expected to testify, and the substance of.

spon written questions may be that justice requires to protect a party.the witness's testimony.(2) Interrogatories and depositions

(2) A party, potential party, orauthorized by order of the discovery potential party, interested governmental

interested governmental participant isparticipant or other person from under a duty seasonably to amend a,;; mester appointed under paragraph (g) oft this section, or if no discovery master annoyance, embarra ssment, oppression, prior response if it obtains informationat has been appointed. by order of the or undue burden, delay, or expense, upon the basis of which (i)it knows that

including one or more of the following:g Presidmg Officer . In the eventthat the parties are unable. efter (t) That the discovery not be had:(2) the response was incorrect when made,

informal good faith efforts, to resolve a that the discovery may be had only on or (ii)It knows that the response thoughspecified terms and conditions, correct when made is no longer true and

dispute in a timely fashion,concerningJhe production of ir. formation. including a designation of the time or the circumstances are such that a failure

to amend the response is in substance aplace;(3) that the discovery may be had knowing concealment(b)(1) Parbes poter.tial parties, and only by a method of discovery other ~., 1

interested governmental participants, than that selected by the party, potential (3) A dut) to supplement responses)'

g pursuant to the rnethods set forthin party, or interested governmental may be trnposed by order of thew paragraph (a) of this section may obtain participant seeking discovery: (4) that y Presiding Officer or agreement of the

g discovery regarding any matter.not certain matters not be inquired into, or K parties, potential parties, and interestedprivileged, w hich is relevant to the that the scope of discovery be limited to E governmentalparticipants.

d, licensing of the hkely candidate site for i:ertain matters;(5) that discovery be R (f)(1)If a deponent of a party. I

,

conducted with no one present except potential party, or interesteda geologic repositor) whether it relatesto the claim or defer se of the person persons designated by thePresidmg Officer | governmental participant upon whom aseeking discos ery or to the claim or :(6)that subject to the provisions of i 2.790 request for discovery is served fails todefera of any other person. Except for of this part. a trade secret or other respond or objects to the request, or any

confidential research. development. or part thereof, the party potential party,April 30,19922-56

-

1

i

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS....

or interested governmental participant - (b) Within the United States, a only part of a deposition is offered insubmitting the request or taking the deposition may be taken before any evidence by a party or interesteddeposition may move the Presiding officer authorized to administer oaths by governmental participant, any otherOfficer, within the laws of the tinited States or of the party cr interested governmentalfive days after the date of the response place where the examination is held. participant may introduce any otheror after failure to respond to the request. Outside of the United States, a parts. A party or interestedfor an order compelling a response in deposition may be taken before a govemmental participant shall not beaccordance with the request. The motion secretary of an embassy or legation. a deemed to make a person its ownshall set forth the nature of the consul general, vice consul or consular witness for any purpose by taking his or iersections or the request, the response or agent of the United States, or a person her deposition.objection of the party, potential party, authonzed to administer oaths (g) A deponent whose deposition islaterested govemmental participant, or designated by the Commission. taken and the officer taking a depositionother person upon whom the request Depositions may be conducted by shall be entitled to the same fees as are I

was served, and arguments in support of telephone or by video teleconference at paid for like services in the districtthe motion. For purposes of this the option of the party or interested courts of the United States, to be paid |e-

[ paragraph. an evasive or incomplete governmental participant taking the by the party or interested govemmental i

E answer or response shall be treated as a deposition. participant at whose instance thefailure to answer or respond. Failure to (c) The deponent shall be sworn or deposition is taken.

I cnswer or respond shall not be excused shall affirm before any questions are put (h) he deponent may beon the ground that the discos ery sought to him or her. Exammation and cross- accompanied, represented, and advisedis objectionable unless the person, examination shall proceed es at a by legal counsel.party, potential party. or interested hearing. Each question propounded shall (i)(1) After receiving written notice ofgovemmental participant failing to be recorded and the enswer taken down the deposition under paragraph (a) oranswer or respond has applied for a in the words of the witness Objections paragraph (e) of this section, and tenprotective order pursuant to paragraph on uestions of evidence shall be noted days before the scheduled date of the(c)of this section, in e ort form without the arguments, deposition. the deponent shall submit an

(2)In ruling on a motion mad . The officer shall not decide on theindex of all documents in his or her

pursuant to this section, the Presidmg competency, materiality, or relevancy ofOfficer may evidence but shall record the evidence possession relevant to the subject

make such a protective order as it is subject to objection. Objections on matter of the deposition, including the

cuthonzed to make on a motion made questions of evidence not made before categories of documents set forth in

pursuant to paragraph (c) of this section. the officer shall not be deemed waived parsgraph (f)(2) of this section, to all

unless the ground of the' objection is one parties and interested governmental-

h participants.The index shallidentifythose records which have already beenI (3) Anindependent req st for h which might have been obviated orrem ved if presented at that time.

g issuance of a subpoena may be directed I I entered into the Ucensing Supportnparty for production of

E tran c e ep : t$on shae, be E stem. Alldocuments that are not-

ents.nis section does not apply;-13 requests for the testimony of the NRC 3 submitted to the deponent for g entical to documents already in the

exarnination and signature unless the Ucensing Support System, whether bygu o st ff uantt

deronent is ill or cannot be found or reason of subsequent modification or byL- (2)( ) ' part-

suses io ..ne onicer shan certify the addition of notations, shall be

(g)The Presidin Off the deposition or. if the deposition is not treated as separate documents.~

pursuant to i 2322 of this art may g b nn a al rt y fro t al n int te censrppoint a discovery master to resolve 8 Support System. but is subject todisputes between parties concerning p om y "" ' '' "informal requesto for information as ,nin ra or or mis on n o denvative discovery under paragraph

(i)(1)of this section-th ng Sup ott stem.ed in paragraphs (e)(1) and (a)(2)

taken on written questions as authorized il) Travel vouchers:s

IL1019 Deposttlons. under { 2.1018(a)(2) of this subpart, the (iii) Speeches;(a) Any party or interested party or interested governmental (iv) Preliminary drafts;

governmental participant desiring to participant taking the deposition shall (v) Marginalia.take the testimon of any person by serve a copy of the questions, showing (3) Subject to paragraph (i)(0) of thisdeposition on ora examination shall, each question separately and section, any party or interestedwithout leave of the Commission or the consecutively numbered on every other overnmental participant may request

h PresidmgOfficer . give party and interested governmental om the deponent a paper copy of anyreasonable notice in writing to every participant with a notice stating the or all of the docu'nents on the index that

E ether party and interested governmental name and address of the person who is have not already been entered into theR participant to the person to be to answer them, and the name, Ucensing Support System.

examined. and to the Presidmg Officer description, title, and address of the (4) Subject to paragraph (t)(6) of thisof the proposed time and place of officer before whom they are to be section, the deponent shall bring a paper

taking the deposition; the name and asked. Within ten days after service, copy of all documents on the index thataddress of each person to be examined, any other party or interested the deposing party or interestedif known. or if the name is not known, a governmental participant may serve governmental participant requests thatgeneral descri tion sufficient to identify cr as-questions.The questions, cross. have not already been entered into thehim or her or e class or group to which questions, and answers shall be Ucensing Support System to an oralhe or she belongs, the matters upon recorded and signed and the deposition deposition conducted pursuant towhich each person will be examined certified, returned, and transmitted to paragraph (a) of this section. or in thecnd the name or descriptive title and the ISS Administrator as in the case of case of a deposition taken on written

cddress c.f the officer before whom the a deposition on oral examination.deposition is to be taken. (f) A deposition will not become a

art of the evidentiary record in theearing unless received in evidence if

,

1

2-57 April 30,1992 '

);

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _ . _ . _ _ _ _ _ . _ _ . .

.

NPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS..-

.

questions pursuant to paragraph (e) of requut shall specify a reasonable time. (il The Presiding Officer-

this section, sha!! subnalt such place, and manner of making the shall enter en orderdocuments with the certified deposition. Inspecuoo and pedorming the related which recites the action taken at the(5) Subject to paragraph li)(6) t,f tius octa. conference, the schedule for furthersection. a party or interested (d) ne party, potenbal party, or actions in the proceeding, and anygovernmental particJpa nt inay request interested governmental participant agreements by the parties, and whiethat any or all documents on the indca upon whom the toquest is served shall identifica the key issues in thethat have not already been antered into serve on the party, potential party, or proceeding. makes a prehminary or fmal

h. which it intends to rely at hearing, bethe IJcensing Support S) stem, and on $ interestedgovernmentalparticipantdetermination as to the arties and* submitting the request a writteninternated governmenta participantsin[ entered into the 1.SS by the deponent. g response within ten days after the the proceeding and provides for theg (6) The deposing party or interested g service of the request.The response subminaion of status reports ongovernmental participant shall assume shall state, with respect to each item or g discovery.

the responsibihty for the obligations set category, that inspection and related Rforth in paragraphs (ij(1). (ij(3). (ij(4), acuvities will be permitted as requested. g i2E22 second reheering unterence,and (i)(5) of this section when deposing unten the request is objected to,in

(e)The Commission or the Presidmgsomeone other than a party or interested which case the reasons for objection g Officer in a roceeding on angovernmental participant. shall be stated. If objection is made to app!! cation or a license to receive and--

part of en item or category, the part poness high-level radioactive waste at(j)in a proceeding in which the NRC shall be specified. a geologic repository operetions areais a party. the NRC staff will make

~s 2.102t First prehearing conference. governmental participants, or theiravailable one or more witnesses shall direct the parties. interested

-

designated by the Executive Director forOperations. for oral examination at the g,)ln any proceeding involving an counsel to appear at a specified time

hearing or on deposition regarding anY opphcation for a license to receive and and place not later than thirty days aftersnatter, not privileged, which is relevant possess high. level radioactive waste at the Safety Evaluation Report is issued

to the issues in the proceeding. fhe a geolog c repository operations stea by b NRC staff for a confmnce 2attendance and testimony of the pursuant to Part 60 of this chapter the consider:-

Cornmissioners and named NRC Commission or the Presiding Officer ~ (1) Any amended contentionss

g personnel at a hearing or on deposition will direct the parties, interested.

submitted under i 2.1014(a)(4)of thismay not be required by the Presidin8 governmetal participants and any subpart;e

* Officer. by subpoena or otherwise: pehuoners for intervention, or their(2) Simplification, clarification, and

$ Provided. That the Presiding Officer s counsel.to appear at a specified time specification of the issues:may, upon a showing of exceptional g and place, within seventy days af ter the (3) The obtainmg of st ulations andcircumstances, such as a case in which a 'e not ce of hearmg is published, or such admissions of fact and o the contentsother ume as the Commission or the and authenticity of documents to avo&dparticular named NRC employee has

S Presidmg Officer may deem unnecessary proof'- (direct personal knowledge of a rnaterialfact not known to the witnesses made appropnate, for a conference to:

$ (4) Identification of witneues and theavailable by the Executive Director for (1) Permit identiScation of the keyOperations and the testimony sought is issues in the proceedmg; , limitation of the number of expert'

not reasonably obtainable from another (2) Take any steps necessary for E witnesses, and other steps to expeditethe presentation of evidence >

source by any party, require the further identihcation of the inves; %a e dance and testimony of named (3) Consider allintervention petitions (5) The setting of a hearing schedule-

(6) Establishing a discovery scheduleto allow the Presiding Officer toP'f**n' -make such preliminary or final for the proceeding taking into account

i 2.1020 Entry upon tand for inspect >on, determination as to the arties and the objective of meeting the three year

(a) Any party,potentialparty,or interested governmenta participants,as time schedule specified in section 114(d)of the Nuclear Waste Policy Act of1982,

interested governmental participant may ,may be appropriate; as amended 42 U.S.C.10134(d);andserve on any other party, potential

(4) Establish a schedule for further (7) Such other matters as may sid inparty, or interested gos ernroentalparticipant a request to permit entry g sctions m the receeding: and the orderly disposition of the

,

'

g (5) Estabbs a discovery schedule for proceedingupon designated land or other property - the proceedmg taking into account the (b) A prehearing conference held

, in the possession or control of the party. E objective of meeting the three year time pursuant to this section shall be '

E potential party, or interested g schedule specified in section 114(d) of stenographically reported.'

governmental participant upon whorn the Nuc! car Waste Policy Act of 1982, as I-~

3 the request in served for the purpose ofamended. 42 U.S C.10134(d).

{cllte Presiding Officers |I access to raw data, inspection and shall enter en order i-

measuring surveying. photographing. (b)11e Presiding Officer may order any *hichCyi j'[d b*

h i' a he 1

testing, or sarnphng the property or any , further 7 nudesignated object or operation thereon. formal and informal conferences among parties. llmits the issues or defines the

g the parties and interested governmentalmatters in controversy to be determinedwithin the scope of I 2.1018 of this_subpart. u part cipants including teleconferences. $" in the proceeding. sets a discovery

g*

E to the extent that it considers that such schedule, and sets the hearing schedule.c.-(b)The requesI may be served on any a conference would e.mpedite the

' l 2.1023 knmediate offectivenesse

party, potential party, or interested proceeding. Egovernmental participant without leaveof the Commission or thePresiding Officer. p (a) Pending review and final decision

by the Conunission, an initial decision: pu(rs)uant to this section shall bec A prehearing conference held(c) The request shall describe with resolving allissuea before the Presiding

reasonable particularity the land or Officer in favor ofissuance or{ other property to be inspected either by E stenographically reported.<

amendment of a construction '

indmdul atem or by category. The 3 authorar.ataon pursuant to i 00.31 of thisi

April 30,1992 2 58

. _ - _ - - - _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ -

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINCS .".

chapter or a hrense to receite and proceeding before the Presiding Officer amwx to any answer opposing thebut about which the Director must motion a separate. short. and concise.

possens hiuh-level radioactive waste a,a geolope repository operatione aren make appropriate findings prior to the statement of the materialfacts as to

pursuant to i rio u of this chapter, will issuance of such a license.The Director which it is contended there exists a

be immediately effective upon issunnce shallissue a construction authontation genuine issue to be heard. All material

e xcept- of a license to receive and possess high. facts set furth in the statement to be

!!) As provided in any order issued in level radioactive weste at a geologic , Iiled by the moving party will bedeemed to be admitted unlessaccordance with 12168 of this part that repository operations area only after

stays the effectiveness of an initial written notification from the controverted by the statement required

decision: or Commission of its completion of its to be filed by the opposing party. The

(2) As otherwise provided by the review under this paragraph and of its opposing party may. within ten (10] do)s

Comminninn in special circumstancen. determination that it is appropriate for sfter service, respond in writing to newfacts and arguments presented in any

|b)The Director of Nuclear Material the Director to issue such a construction statement filed in support of the motion.safetv niul safcCuards, notwithstanding authorizelion or license. This No further supporting statements orthe fding nr pendency of an appeal or a Commission review of uncontested '*"ponses thereto may be entertam, ed.pehtmn for review pursuant to 1 2.1015 issues is not part of the adjudicatory the Presiding Officer may dismissof this subpart.promptly shallissue a proceeding. summardy or hold in abeyance motionsrunstrm tion authorirntion or a hcense (3) No suspension of the effectiveness filed shortly before the hearingto scerive und posacan high-level ofa Presiding Officer's initial comrnraces er during the hear ng if theredinne tive waste at a geningicdecision or postponement of the other patia s or the Presiding Olhccrrespository operations arce, or

amendments thereto. following en initial Director's issuance of a construction would be required to divert substantial

decision resolving allissues before the authorization or license that results from resources from the hearing in order toPresiding Officer la favor of the u Commission supervisory examination respond adequately to the motion.hcensing action, upon making the of contested issues under paragraph (b) Affidavits must set forth thoseappropriate licensing findings. except- (c)(1) of this section or a review of facts that would be admissible in

[t) As prnvided in paragraph (c) of uncontested issues under paragraph evidence and show affirmatively that

this ser. tion. or (c)(2) of this section will be enteredthe affient is competent to testify to the

(2) As prosided in any order issued in except in writing with a statement of the metters steled therein.The Presidingaccordance with 6 2188 of this part that reasons Such suspension or Officer may permit affidavits to be

eupplemented er errosed by furtherstays the effectiveness of an initial postponement will be limited to suche period as is necessary for the e{fidavits. Wh. n a motion for summaryti; decision: or s disposdion is enade and supported ast (3) As otherwise provided by the ( Commission to resolve the matters at $ pr vided in this section. a party

g Commission in special circumstances. E issue. If the supervisory examination cr pposing the motion may not rest upon(c)(1) Defore the Director of Nuclear g results in a suspension of the g the mm ellegations or denials ofitsu

3 Maten,al Safety and Safcguards may effectiveness of the Presidmg enswer;its answer by effidavits or asissue a construction authorization or a Off cer's initial decision under PeraErePh otherwise provided in this section musthoerne to receive and possess weste at(c)f1)of this section the Commission set foith specific facts showing thata geologic repoiltory operations aren inwdl taf e review of the decision sua there is a genuine issue of fact. If noaccordance with paragrnph (b) of this

section. the Commission. in the exercis, spoute and further proceedings relative such onewer is ided, the decision

of its supervisory authority over agency to the contested matters at issue will be souttht. if upprcpriate. must be rendered.

proceedmgn, shall undertake and in accordance with procedures for (c)1he Prt eiding Officer shall rendere omplete a supervisory examination of participation by the DOE. the NRC staff, the decision sought if the filings in thethose issues contested in the proceeding or other parties and interested proceeding show that there is nobefore the Prestdmg O'ficer to governmental participants to th, genuine issue es to any material factconsider whcther there is any significant Presiding Officer proceeding and that the moving party is entitled to a

decMen as e rraun of law. Ilownu. inbasis for doubtmg that .hc fucihty will established by the Commission in its any fu ceeding involving a constructionbe constructed or operated wi h wntten utntement of reasons. If n authcrization for a geologic repositoryadequate protection of Se public health po ,ponement results from a review operallons area. the procedureand einfety. and whether tne under panegraph(c)(2)of this section. descr bed in this section may be usedCommission should take action to comments on the uncontested matters at nly i r the determination of specificsuspend or to otherwise condition the issue maYbe filed by the DOE within eubordinate issues and may not be usedeffectiveness of a Presiding Officer ten days of service of the Commission's to determine the ultimate issue ee todecision that resolves contested wrinen statement. whether the actborization must beissu 9 in a proceeding in favor of issuinga construction authorization or a license 1 2.8025 Authe1ty of the Presl1"9 O?t'cer issued.

to receive and possess high-level to siispens of certa'n itsues on the 1 2.1026 schedule.radioactise waste at a geologic Plesdin9s. (a) Subject to paragraphs (b) and (c)repository operations area.This (a) Any party may rnove. with or of this section. the Presiding Officersupervisory examination is not part of without supporting affidavits, for a shall odhere to the schedule set forth inthe adjudicatory proceeding The deelslon by the Presiding Officer in that oppendix D of this part.Commission eh.dl notify the Director in party's favor es to all er any part of the (b)(1) Pursuant to i 2111. thewntmc w hen un supervitory mntters insohed in the protect ing 1hc Presidmg Olbcer may npprovel

ctanun ition conducted in nerordam e moving puty sh.dl nnnex to the motion estensiors of no more than 15 daywith tha p.iragr.iph has been completed n orp, te. short und concise eSterrent be)ond any ter;uired time set forth in

(2) Urfere the Director of Nucleur of 0 c matori.d fats us to whh.h the this subpart for a filing by a party to theMaterial S.ifety nnd Snicguards iunen a rmmg party rnntends that there is no proceeding Except in the case of ,

e onstruction authorization or a license F"nine iuua to be heard. Motions may exceptional and unforseen 1

i. m en c and pnssesa high-level be f te.1 ut soy time. Any other party ci:cumstances requests for extensionsradmarta e u nste at a gaologic mny file en answer supporting or of r, ore than 15 days mutt be filed no j

epmuois op. rations crea, the opposing the motion, with or withot.t later than 5 days in advance of the

Conunnsmn shall review those nnues PIhddvus, eitlan twenty (2't)i'nys eher required time set forth in this subpart for

th.it hase not been contested in the sar ite ni the motion. lbe party shall a fding by a party to the proceedmg

2-59 January 29.1993 (reset)

. - _ - _ _ _ _ - _ - _ _ - - - _ _ - _ _ _ _ - _ _ _ _ - _ - _ _ _ _ - _ _ - _ _ _ _ _ _ _ - _ _ _ _ _ _ -

, . _ _ _ _. _ . . _ . __

.,

..

2 MM(b) . .2.II09(a) - i-

PART 2 c RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~;

. be(3) Extensions beyond 18 days mustnuclear power plant, through the use of <

-

*polerygd to the ti 1 N [[the'- high denelly fuel storage racka, fuel rod .Comailesion does not disapprove the compaction. the transshipment of ntestension within to days of receiving ' nuclear fuel to another civilian nuc ar -

Ihe sequest, the extension will be ' Power reactor within the same utilityeffective. lf the Comadesion disapproves system, the construction of additionalthe extension, the date which was the apent nuclear fuel pool capacity or dry'

' subject of the extension request will be storage capacity, or by other means. '

est per 5 dge after the Commleelon's Die subpart also applies to proceedings_ action. . on applications for a license under Part*

geJ(1) De Presiding OfBces sney delay 72 of this chapter to store opent nuclear'

the issuance of an order us to thirty fuel in an independent spent fuel storage .days beyond the thne set forth for b installation located at the site of a ;

loseance is appendix D. civilian nuclear power reactor.His !'

(2)If the Presiding Officer anticipates subpart shall not apply to the first. that the lessance of an order will not application for a license or license .

'

. g ensur until after the thirty day extenaton amendment to expand the spent fuel3:: epecinedla paragraph (c)(1)of this storage capacity at a particular siteE asction, the Presiding Offloor aball notify through the use of a new technology notg the Commission at least ten days in - previously approved by the Commission ,

advooce of the scheduled date for h for use at any other nuclear power plant. '

giles ne and provide a Justification for Ituos m.

,

As used in this part: *

$ 3.1027 Sue Spente (a)" Civilian nuclear power reactor" ';'- In any initial decision in a proceeding means a civilian nuclear power plant -

on an application to receive and possess required to be licensed as a utilizationwaste at a geologic repository facility under section 103 or 104(b) of theoperations area, the Presiding Officer, Atomic Energy Act of1954.other than the Commission, shall make ' (b)" Spent nuclear fuel" ewens fuel

,

~ findings of fact and conclusions oflaw that has been withdrawn from a nuclear'

on, and otherwise give consideration to, reactor following irradiation. the 6

monly those mattere put into controversy I, constituent elements of which have not iby the parties and determined to be been separated by reprocessing.'

. ,

litigable Iseues in the proceeding. - E I LH07 88*elos of propeeest aseen. ( ;S In connection with each application :-

filed after lanuary 7.1983. for a ticense~

or en amendment to a license to expandthe spent nuclear fuel storage capacity :

'at the site of a civilian nuclear powerplant. for which the Commission has not - :

found that a hearing is required in the !public interest, for which an - !

adjudicatory hearing has not yet been~

convened, and for which a notice ofSubpart K-48ybrid Hearing proposed action has not yet beenProcedures for Espanalon of Spent published as of the effective date of this

'

feuclear Fuelstorage Capacity at subpart, the Commission will, prior toCivNian Nuclear Power floactore acting thereon, cause to be published in '

i

the Federal Register a notice of -| Het purpose proposed action in accordance withhe regulations in this subpart i 2.105.%e notice of proposed action

establish hybrid hearing procedupes, as willidentif- the availability of the/authorized by section 134 of the Nuclear hybrid hearing procedures in thisWaste Policy Act of 1982 (96 Stat. 2230). subpart, specify thet any party mayto be used at the request of any party in invoke these procedures by filing a

.

certain contested proceedings on timely request for oral argument underg applications for a license orlicense i 2.1109. and provide that if a request for, amendment to expand the spot nuclear oral argument is granted, any hearing

,

4

g fuel storage capacity at the site of a held on the application shall be -

g civilian nuclear power plant. %ese conducted in accordance with theprocedures are intended to encourage procedures in this subpa:t.and expedite onsite expansion of spentnuclear fuel storage capacity. | 2.H00 Requests for orel op L

(a)(1) Within ten (10) days efler anI1"88 888P8- order granting a request for hearing or j

%e procedures in this subpart apply petition for leava to intervene, any partyto contested proceedings on applications may invoke the hybrid hearingfiled after january 7,1983. for a license procedures in this subpart by requesting'

or license amendment under Part 50 of an oral argument. Requests for oralthis chapter, to expand the spent fue! argument shall be in writing and shallstorage especity at the site of a civilian be filed with the presiding officer. ne i

June 30,1994 (reset) 2 60,

!

___ _ _ _ __ _ __ _ _ ___. - . _ _ _ ____ -_ , -_ ,

.

2.1109(n) 2.1203(a)PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -

.

presiding officer shall grant a timely hearing; and considered.request for oral argument. (2) Dispose of any issues of law or fact (d) The provisions of paragraph (c) of

(2) The presiding officer may grant an not designated for resolution in an this section shall apply only withuntimely request for oral argument only adjudicatory hearing. respect to hcenses, authornations.orupon a showing of good cause by the With regard to each issue designated amendments to hoenses orrequesting party for failure to file on for resolution in an adjudicatory authorisatsons apphed for under thetime and after providing the other hearing. the presiding officer shall Atomic Energy Act of1954. as amended.parties an opportunity to respond to the identify the specific facts that are in before December 31. 2005.untimely request. genuine and substantial dispute, the (e) Unless the presiding officern(b) ne presiding officer shall issue a reason why the decision of the 3 disposes of alt issues and dismisses thewritten order ruling on any requests for Commission is likely to depend on the E proceeding appeals from the pesidingoral argument. If the presiding officer resolution of that dispute, and the E officer's order disposing ofissu+s andgrants a request for oral argument. the reason why an adjudicatory hearing is g designating one or more issues fororder shallinclude a schedule for likely to resolve the dispute. With resolution in an adjudicatory hearing arediscovery and subsequent oral argument regard to issues not designated for interlocutory and must await the end ofwith respect to the admitted resolution in an adjudicatory hearing, the proceedmg.contentions, the presiding officer shallinclude a brief

(c)If no party to the proceeding statement of the reasons for the " ~~ ** *

requests oral argument. or if all untimely disposition. If the presiding officer finds in proceedings subject to this subpart.requests for oral argument are denied. that there are no disputed issues of fact the provisions of Subparts A and C of tothe presiding officer shall conduct the or law requiring resolution in an CFR Part 2 are also applicable. exceptproceeding in accordance with Subpart adjudicatory hearing. the presiding where inconsistent with the prosielunsC of 10 CFR Part 2.

9 2.1111 Discovery. (b) No issue of law or faet shall be_of this subpart.officer shall also dismiss the proceeding.

Discovery shall begin and end at such designated for resolution in an subpart L-intormal Hearing'

Procedures for Adjudications intimes as the presiding officer shall order. adjudicatory bearing unless the Materials and Operator LicenaJngit is expected that all discovery shall be presiding officer determines that: Proceedingscompleted within 90 days. ne presiding (1) Here is a genuine and substantial

_i 2.1201 scope of subpart.officer may extend the time for dispute of fact which can only bediscovery upon good cause shown based resolved with sufficient accuracy by the (a) ne general rules of this subparton exceptional circumstances and after introduction of evidence in en govern procedure in any adjudication

, providing the other parties an adjudicatory hearing; and initiated by a request for a hearing in a

(2) The decision of the Commission is proceeding for-g opportunity to respond to the request.@ likely to depend in whale or in part on(1) ne grant. transfer. renewal. or=I #-

I E E licensee-initiated amendment of a' the resolution of that dispute.g (a) Fifteen (15) days prior to the date materials license subject to parta 30. 32

set for oral argument. each party, g (c)In making a determm.ation under through 35. 39. 40. or 70 of this chapter:including the NRC staff, shall submit to paragraph (b) of this section. the orthe presiding officer a detailed written pmsiding officer shall not consider- St (2) Re grant. renewal. or licensee-summary of all the facts, data, and (1) Any issue relating to the design. E initiated amendment of an operator orarguments which are known to the party construction, or operation of any civilian E senior operatorlicense subject to part 55at such time and on which the party nuclear power reactor already licensed 0; of this chapter.proposes to rely at the oral argument to operate at the site, or any civilian (b) Any adjudication regarding. (1) aeither to support or to refute the nuclear power reactor for which a materials license subject to parts 30,32existence of a genuine and substantial construction permit has been granted at through 35. 39,40. or 70. or an operatordispute of fact. Each party shall also the site, unless the presidmg officer or senior operator license subject to partsubmit all supporting facts and data in determines that any such issue 55 that is initiated by a notice of hearingthe form of sworn written testimony or substantially affects the design. Issued under i 2.104. or (2) a notice ofother sworn written submission. Each construction, or operation of the facility proposed action under | 2.105. or aparty's written summary and supporting or activity for which a license request for hearing under subpart B of 10information shall be simultaneously application, authorization, or CFR part 2 on an order or a civilserved on all other parties to the amendrnent to expand the spent nuclear penalty. is to be conducted inProceeding. ruel storage capacity is being accordance with the procedures set

(b) Only facts and data in the form of considered: or f rth in subpart G of to CFR part 2.aworn written testimony or other sworn (2) Any sitin or desi n issue fully ~

written submission may be relied on by considered an decide by the l2.1203 Docut: tmng: service.the parties during oral argument. and the

Commission in connection with the (a) The Secretary shall maintain aresiding officer shall consider thoseacts and data only if they are submitted issuanoe of a construction permit or docket for each adjudication subject to

this subpart. commencing with the filingoPerstin8 icense for a civilian nuclear of a request for a hearing. All papers,lin that form.power reactor at that site, unless (i) such including any request for a hea .ng.12.1115 Designation of leaves for jsaue results from any revision of siting k petition for lease to mtervene,adpud6catory hearing- or design criteria by the Commission e correspondence, edibits. decisions. and

(a) After due consideration of the oral followirig such decisiori, and (ii) the E orders. submitted or issued in thepresentation and the written facts and presiding officer determines that such y., proceeding: the hearing file compiled indata submitted by the parties and relied issue substantially affectr the design. =ccordance with ! 2.1231: and theon at the oral argument , the presiding construction, or operation of the facility transcripts of any oral presentations orofficer shall promptly by written order- or activity for which a license oral questioning made in accordance

(1) Designate any disputed issues of application, authorization, or with I 2.1235 or in connection with anyfact, together with any remaining issues arnendment to expand the spent nuclear eppeal under this subpart must be filed

with the Office of the Secretary andof law, for resolution in an adjudicatory fuel storage capacity is being

2-61 June 30,1994 (reset)

2.1203( ) 2.1205(0*

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . .

.

- -

must be included in the docket. ne i 2.1ros pequest ser a hearing; petmon (d)The request for a hearing ided by apublic availabihty of official records for leave le interym. person other than an applicant mustrelating to the proceeding la governed by k (a) Any person whose interest may be describe in detail-| 2.790- * affected by a proceeding for the grant. (1) The interest of the requestor in the

(b) Documents are filed with the f transfer, renewal, or licensee initiated proceeding-Ofi' ice of the Secretary in adjudications 3 amendment of a licenn subject to this (2| How that interest may be effectedsubject to this subpart alther-

subpart may file a request for a hearing. by the results of the proceedmg.(1) By delivery to the Docketing and including the reasons why the requestor

Service Branch of the Office of the should be permitted a hearing. withSecretary at One White Flint North. particular reference to the factors set-

11865 Rockville Pike. Rockville. MD (b) An applicant for alicense a out in paragraph (g) of this section;2 052. " hcense amendment. a license transfer. (3)ne requestor's areas of concern

or a license renewal who is issued a about the licensing activity that is the(2) By mail or telegram addressed tonotice of proposed denial or a notice of subject matter of the proceeding: andthe Secretary U.S. Nuclear Regulatory

Commiselon. Washington, DC 30555, denial and who desires a heanns shall (4) The circumstances estabhshingfile the request for the hearing within that the request for a hearing is timely inAttention: Docketing and Service E the time specified in i 2.103 in all cases. accordsnce with paragraph (c) of thisBranch.

2 An apphcant may include in the request * section.Filing by mail or telegram is complete e for hearing a request that the presidmg 6 (e) Each request for a hearing roust be

as of the time of deposit in the mail or 'n officer recommend to the Commission e served. by dehvering it personally or bywith the telegraph company. Filing by '" that procedures other than those g mail to-.other means is complete as of the time authorized under this subpart be used in (1) ne applicant (unless the requestorg of delivery to the Docketing and Service the proceeding. provided that the is the opplicant); and

BrE (anch of the Office of the Secret ary,apphcant identifies the special factual (2) The NRC staff. by delivery to the

c) Each document submitted for filing circumstances or issues which support Executive Director for Operations. One31n an adjudication subject to this part, the use of other procedures. White Flint North.11555 Rockville Pake,

other than an exhibit, must be legibly Rockville. MD 20852. or by mail-

typed. must bear the docket number and addrened to the Executive Director forthe title of the proceeding. and. if it is Operations. U.S. Nuclear Regula tory

-

the first document filed by that >(c) A person other than an applicantin '

''

8 8 " * 8a dr se o a on u whom re ut for a a N d undg

service can be made.ne document also paragraph (c) of this section, themust be signed in accordance with E 8pplicant may file an answer.ne NRCl 2.706(c). A document, other than g staff. if it chooses or is ordered tocorrespondence, must be filed in an p8rticipate as a party in accordance I

original and two conforming copies. I L1213 rnay Ne an answu to awDocuments filed by telegrari are -

days of the designation of the presidingrequest i r a heanng within ten (to)

verned b I 2ils to conform.708(f). A document that

(1) nirty (30) days of the agency'sto these requirements publication of the initial Federal 0 fiC"'

;may be re.*used acceptance for filing and p* Register notice referring or relating to anmay be returned with an indication of J apphcation or the licensing action 1

i

the reason for nonacceptance. Any E requested by an application.which mustdocument tendered but not accepted for y include a reference to the opportunityfiling may not be entered in the docket, for a hearing under the procedures set

(d) Computation of time and extension forth in this subpart; ori

and reduction of time limits is done in~

accordance with || 2.710-1711. -

i>(2) If a Federal Register notice is not-

!published in accordance with peregraph IF (e) A request for a hearing or a (c)(1), the earliest of-

|petition for leave to intervene must be (i) Thirty (30) days after the requesterserved in accordance with 5 2.712 and g receives actual notice of a pending

g $ 2.1205(e). (J). All other documents g apphcation oru. issued by the presiding officer, the (ii) Thirty (30) days after the requestergE Commission or offered far filing ' receives actual notice of an agency

are served in accordance with 5 2.712. S action granting an application in wholeorin part or

(iii) One hundred and eighty (180)days after agency action granting anapplication in whole or in part.

June 30,1994 2-62

_.

.

PART 2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS -.

(g)In ruling on a request for a hearing (3) Thereafter the petition for leave to $2.1207 Dee$ nation of proseg omcor.filed under paragraph (c) ci this section. intervene must be ruled upon by the (a) Unyss otherwise orJered by thethe presidmg ofhcer shall determine that presidmg officer, taking into account the Commissiun or as provided in paragraphthe specitied areas of concern are

matters set forth in paragraph (g) of this (b) of this section. withm 'en (10) de sgermane to the subject matter of the .ection, of receivmg from the Off.:e of theproceedmg and that the petition is (4)If the petition is granted the Secretary a nquot fer a Mannstimely.The presidmg othcer also shallpetitioner becomes a party to the relating tu a licensmg pir,ceedingdetermine that the requestor meets the proceeding. cevered by this subpart. the Chairm,n

juicial standards for standing and shall (k)(1) A request for a hearing or a of the Atomic Safety andI.icensingconsider. among other facters-(1)The nature of the requestor's right petition for leave to intervene found by Board Panel shallissse an order

the presiding officer to be untimely designating a sin a member of theunder the Act to be made a party to the under paragraph (c) or (j) will be panelto on e re

st fo[he he atingproceeding;entertained only upon determination by } ,,y o , ,,

(2)The nature and eatent of the the Commission or the presiding officer presiding officer to conduct the hear:r:g.requestor a property, financial, or other that the requestor or petitioner has (b) For any request for hearing

Iinterest in the proceedmg: and estabbshed that- relating to an apphcotion under 10 CFR(3)The possible effect of any order (i) The delay in filing the request for a Part 70 to receive and store umrr.:d:.ited

that may be entered in the proceeding hearms or the petition forleave to fuel at the site of a production orupon the requestor e interest. intervene was excusable; and utilization facility that also is the u.bject

(h)1! a hearms request ided under (ii) The grant of the request for a of a proceeding under Subpart G of thisparagraph (b) of this section is granted. hearing or the petition for Itave to Part for the issuance of an operatingthe apphcant and the NRC staff shall be

intervene will not result an undue license, within ten (10) days of rece:vingparties to the proceeding. If a hearms prejudice or undue mjury to any other from the Office of the Secretary arequest filed under paragraph (c) of this participant in the proceeding. includmg request for a hearing the Chairmaa cfsection is granted. the requestor shall be the applicant and the NRC staff.if the the Atomic Safety and Licensing Boarda party to the proceedmg along with the staff chooses or is ordered to participate Panel shall issue an order designateg a

E ucensing Board conductmg the{ apphcant and the NRC staff,if the staffchooses or is ordered to participate as a

as a party in accordance with i 11215.(2)If the request for a hearing on the 7 operating license proceedmg to rule on |

petition for leave to intervene is found the request for a hearing and. ifparty in accordance with i 2.1213.E (i)If a request for a heanns is granted to be untimely and the requestor or necessary, to conduct the hearing in3 and a notice of the kind described in petitioner fails to estabbh that it accordance with this Subpart. Upon

paragraph (c)f t) previously has not beenotherwise should be entertained under

certification to the Com nission by thepubbshed in the Federal Register, e

, paragraph (k)(1) of this section, the 1.icensing Board designated to cond.ictnot:ce of hearmt must be pubbshed in the hearing that the matters presentedthe Federal Register statmg- request or petition will be treated as a

(t) The time. place, and nature of the petition under i L206 and referred for for adjudication by the parties with

o' appropriate dssposition, respect to the Part 70 apphcation arehearing:

$ (1)The fihng or granting of a request substantially the same as those bemg

heanng is to be held: g for a hearing or peution forleave to heard in the pending proceeding under(2)Tne authonty under which theto CFR Part 50. the Ucensmg Board may

(3) The matters of fact and law to be 7 intervene need not dela NRC staffconduct the hearing in accordance withconsidered: action regarding an app cation for a the procedures in Subpact G.

(4)*lle time withm which any other licensing action covered by this subpart.(m) An order granti a request for a ,g ,,, ,gg gm

person whose interest may be affected hearmg or a petition i leave to A presidmg officer has the duty toby the proceedmg may petition for leave intervene may condition or hmit conduct a fair and impartial hearmsto inters ene, as specified m paragraph participation in Ge interest of avoidir:g according to la w, to take appropriate(i)of this section; and repetitive factual presentations and action to avoid delay, and to maintain

(5)The time withm which a request to argument. order.The presiding officer has allparticipate under i 2.1211(b) must be (n)lf the presiding officer denies a Powers necessary to those endtined. request for a hearing or a petition for including the power to-

(j) Any petition for leave to intervene leave to intervene in its entirety. the (a) Regulate the course of the hnr:ngmust be filed within thirty (30) days of action is appealable within ten (10) days and the conduct of the articipants.the date of publication of the notice of of service of the order on the question (b) Dispose of proce ral reques's orhearms The petition must set forth the

whether the request for a hearing or the simi at t tsinformation required under paragraph petition for leave to intervene should(d)of this section. have been granted in whole or in part. lf the hearing for settlemen'. simplification(1) A peution forleave tointervene

a request for a hearmg or a petition for of the issues. or any other propermust be served upon the applicant. The lear. to intervene is granted. parties purpose;petition also must be served upon theNRC staff- othe. than the requestor or petitioner -

(i) By delivery to the becutive may appeal that action within ten (10)days of service of the orderon the g-

Director for Operations. One White FlintNorth.11555 Rockville Pike. Rockville.

question whether the request for a (d) Certify questions to thehearing or the petition for leave to Commission for determination either in

MD 20852. orintervene should have been denied in its the presiding officer s discretion or on

(ii) By mail addressed to the Executive u

Director for Operations. U.S. Nuclear entirety. An appeal may be taken by{ direction of the Commission:filing and serving upon all parties a

Regulatory Commission. Washington. statement that succinctly sets out. withDC 20555 g-le Reopen a closed record for thesupporting argument, the errors alleged,(2) Within ten (10) days of service of a De appeal may be supported or k rece]ption of further info mation at any

e

pehtson !or les s e to intervene. the opposed by any party by filing a g me prior to initial det"ston intiappbcant and the NRC sinff.if the staff

counter statement within fifteen (15) accordance with 1213cchooses or is ordered to participate as a days of the service of the appeal brief. f If) Admmister oaths aad affirrnens;party in accordance with i 2.1213. mayble en answer.

2-63 April 30,1992

.

. . - - . _ = _. . - . . -

.

'

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~'

( ) issue initial decisions; officer whether or not the staff desires the file. lf en establ shed local public) Issue subpoenas requiring the to participate as a party to the document roc i does not esist. the NRC

attendence and testimony of witnesses adjudication. In addition. upon a staff will arrar.ge for the uocumentsat the hearing or the production of determination by the presiding officer conteined in the heant g ide. alens withdecuments for the hearing; that the resolution of any issue in the any other n.verk.I docketed in

D) Recen c w titten or oral evidence E proceedmg would be aided materially accordance w:th I 2.1203. to be n adeby staff's participation in the proceedmg available for pubhc inspection anda id take ofhcial notice of any fact in

accord ince with 12 743(i); 5 as a party the presiding officer may copyir g dunt.g the course of the(1) Appomt special assistants from the order or permit the NRC staff to adjud;catir.n m a library or nther facility

Atomic Safety and Licensing Board participato as a party with respect to that is accessible to the general public,

Panelin accordance with 6 2.722; _ that particular issue. during regular business hours and is in '

(k) Recommend to the Commission the vicinity c,f the principallocat:en a

that procedures other than those i 2M24 Appearance and precoce. where the r.uclear mater:al that is thea atherized under this subpart be used in (a) An individual may appear in an subject of the proceedics will bea particular proceeding: and adjudication under this subpart on his or possessed.

f t) Tak e any other action consistent her own behalf or by an attorney-at law. (2) The hearing fde also must be madewith the Act and this chapter. Representation by an attomey st-law is available fut public ins ection and

not necessary in order for an copying during regular usiness hours atf2.12tt Participation by a person not a organization or a i 2.1211(b) participant the NRC Pubhc Document Room inP*" Y - to appear in an adjudication conducted W6shington. DC.

(a) The presiding officer may permit a under this subpart. If the representative (b)The heating file wi'.! consist cf theperson who is not a party to make a of an organization is not an attorney.at. applicat;on and any smendment thereto.limited appearance in order to state his law. he or she shall be a member or any NRC en timnmental impa:tor her views on the issues. Limited officer of the organization represented. statement or assessment relatir:g to theappearances rnay be in writmg or oral + Upon request of the presidmg officer, an application. and any NRC repcrt andat the discretion of the presiding officer. Individual acting as a representative any conespondence between theand are governed by rules adopted by shall rovide appropriate information apphcant and the NRC that is relevantthe presidmg officer. A limited estab ishing the basis of his or her to the application. Hearing fileappearance statement is not to be authority to act in a representational documents already in en estabbshedconsidered part of the decisional tecord capacity, local public document room or the NRCunder i 2.1251(c). (b) Any action to reprimand, censure. Public Document Room when the

(b) Within thirty days of an order or suspend a party, a i 2.1211(b) hearms request is granted may begrantmg a request for a heanng made participant. or the representative of a incorporated into the hearing fue atunder i 2.1205(b)-(c) or. in instances party or a i 2.1211(b) participant must those locations by a reference indicatingw nen it is pubhshed. within thirty days be in accordance with the procedures m where et those locations the documentscf a notice of hearmg issued under i 2.713(c). can be found.De presiding officer shalli 2.1205(i). the representative of an rule upon any issue regarding the (

h, interested State, county, municipahty, oro, llearings appropriate materials for the hearing

an agency thereof may request an {l2.123t Hearing file; prohibition on Ide-al opportunity to articipate in aE p oceeding an er this subpart.The g discovery. E (c)The NRC stuff has a contmuing

3 request for an opportunity to participate g (a) Within thirty (30; days of theg duty to keep the hearing file up to date

Nst state with reascnable specificity presiding officer's entry of an order witn respect to the materials set forth in

a g the paragraph (b) of this section and tothe requestor's areas of concern about ",8J }qys d N' provide those materials for the docket.the licensing activity that is the subject: netter of the proceedmg. Upon receipt present to the presidir.g officer, snd the presiding officer. and the applicant

of a request that is ided in accordance make available to the applicant and any or any pany or i 2.1211(b) porticipant in

' th '' 8 h a manner consistent with the way thewith these time limits and that specifies {h{,*r after, 0 dhs"o hes-ing file was made available initiallytnthe requestor s areas of concern, thepresidmg officer shall afford the the date a petition for ' eave to intervene under paragraph (a).

representative a reasonable opportunity or a request to participate under (d) A party or 5 2.1211[b) participant ,

to make written and oral presentations i 2.1211(b) is granted. the NRC staff may n t seek discovery from any other '

in accordance with 15 2.1233 and 2.1235.shall make the hearing fde as ailable to party, t 2.1211(b) participant, or the NRC

or its persannel whether by documentwithout requiring the representative to the petitioner or the i 2.1211[b) production. deposition. interrogatories.take a position with respect to the P''U

{efesring file must be made or otherwne.Issues. Participants under this (1 ,

subsection may notice en appeal of an available to the apphcant and any other $ 2.1233 written presentatkins; written

initial decision in accordance with party or i 2.1211(b) participant to the quesuons.

I 2.1253 with respect to any issue on proceeding either b)-.

(6) After publication of a r.otice of

which they participate. (i) Service in accordance with hearing in accordance with 1 2.1205(i)t

| 2.1203(e); or and after the NRC staff has made the-

~ f 2.1213 Role of the NRC staff. (ii) Placing the file in an established hearing f;!e available in accordanceif a hearing request is fded under local public documer.t room in the with $ 2.1231, the parties and $ 2.1211(b) '

l 2.1205(b). the NRC staff shall be a vicinity of the principallocation where participants shall be afforded theparty to the proceeding. If a hearing nuclear material that is the subject of a opportun;ty to submit. under cath orrequest is ided under i 2.1205(c). within proceeding under this subpart will be affirmation. written presentat one of

g ten (10) days of the designation cf a possessed, and informing the applicant. their arFt.raents and documentary data. '

E presiding off ter pursuant to ) E1207 the party. or i 2.1211(b) participant in informational maters.l. and other !

NRC st.ff shall notify the prnading wnting of its action and the location of supportu.g written eudence at the hme i

f

April 30,1992 2-64

.

2.WM PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS. ...

or tirnes anil in the sequence the oral presentations by any party or Las been rnade. he or she sh.ll certify

presiding officer estabbshes by 6 2.1211(b) participant,includmg diret.tly to thc Comrmssion itself fordete-:mna ion the mutter of w hether

appropr ate ordet. ne presiding officer testimony by witnesses. Oralelso may, on his w her initiative, st.bmit presentations are subject to any | 'PCCh8I C'rcumstances support a wan erwntten ques,tions to the parties to be appropriate time limits the presidmg or an exception and whether a w.nver or

answ cred in writing. under oath or othcer imposes. Responsibility for the u. an exception should be Granted.Theg

m ns e na n shaffirmation. and supported by conduct of the exammation of any yCappropnate documentcry d.ita. witness rests with the presiding officer Commission deems appropriateinformational material. or other wntten who may allow a party or i 2.1211(b)

'

evidence, participant to propose questions for the(b)in a hearing initiated under presidmg efficer to pose to a witness 6 2.12e semement of proceeenge.

The fair and reasonable settlement of12.1205(b). the initial wntten E (b) Oral presentations and responsespresentauon of the applicant thatis 3 to oral questioning to be relied upon as proceedmgs subject to this subpart is

isst.ed a notice of proposed denial or a oral evidence must be given under oath encouraged. A settlement must be

netice of denial must describe in detail or affirmation. All oral presentations or approved by the presiding officer or the

any denciency or omission in the oral questioning must be Commission as appropriate in order to

agency's denial or proposed denial of its stenographically reported and except as be binding in the proceeding.application and what relief is sought requested pursuant to section tel of the IMal DecWonichsskn Nemwith respect to each deficiency or Act. must be public unir ss otherwise

o, And Final DecisivoO'Nssin- ordered by the Commis lion.fc)In a hearing initiated under (c) Strict rules of evidence do not $ i2.1251 inmal decia6on and its ettect.-

bequested a *D ". but the presiding officer may. on EN " N D*8# h*"rese ofa art secti n g that the record be certified to it inhearing or petitioned for leave to n( a r n the presiding officer s own accordance with paragraph (b)of this

inten ene must describe in detail any initiauve, strike any portion of an oral section the presiding officer shalldeficiency or omission in the license presentation or a response to oral render en mitial decision afterapplication, with references to anyparticular section or portion of the guesu mag thatis cumulaun. completion of an mformal hearing under

irrelevant. immaterial or unreliable. this subpart.That initial decisionapplication considered deficient, give a ' " ' * ** "detailed staternent of reasons why any $ 2.1237 Motione;tiorden of proof. Commission thirty (30) days after theparticular section or portion is deficient (a) Moti na presented.in the date of issuance, unless any partyor why an omission is material. and proceeding must be presented and petitions for Commission review indesenbe in detail what relief is sought disposed of in acestdance with il 2J30 accordance with I 2.786 or thewith respect to each deficiency or (a)-(g). Commission takes review of the

(b) Urdess otherwise ordered by the _ decision sua sponte.I ) party or i 2.1211(b) participant c:=>presiding officer, the epplicant or thew ,E making an initial written presentation E proponent of an order has the burden of I (b) The Commission may' direct that

;g under this section shall submit with itspresentation or identify by reference to pr f. th pres @ng officer certify the record to

" .'" * 81 decision and,may,.

a generally available pubbcation or i 2.1239 Consk$eration of Commlassonsource, such as the hearing fde, all rules and regulations in informa! E ""!"'.tial decis on and prepare a

a c up n fir in that due anddocumentary data. informational adjudications. gmaterial. or other written evidence upon (a) Except as provided in paragraph requires.which it relics to support or illustrate (b) of this section, any regulation of the

_ (c) An initial decision must be ineach omission or deficiency complained Commission issued in its program forof. Thereafter, a dditional documentar y the licensing and regulation of w riting and must be based only upondata, mformational material or other production and utilization facilities. itiformation in the record or factswritten evidence may be submitted or source material, special nuclear of'icially noticed.The record mustreferenced by any party, other than the material. or byproduct material may not ir.clude allinformation submitted m theNRC staff, or by any ( 2.1211(b) be challenged in any adjudication * pioceeding with respect to which /.1participant in a written presentation or subject to this subpart. parties have been gn en reason.ible prio-in response to a written question only as (b) A party to an adjudication subject D notice and an opportunity to comment.the presiding officer, m his or her to this subpart may petition that the E The initial decision must includo--

. application of a Corr mission regulation g (1) Findings. conclusions and ruhr.gs.discre tion. pe rmits.(c) Stnct rules of evidence do not . specified in paragraph (a) of this section vath the reasons or bas:s for them on all

apply to written submissions under this be waived or an exception made for the nutenalissues of fact. law, or discretionsection. but the presidmg officer may, on particular proceeding.The sole ground presented on the record.

. (2@e arpropriate ruling order ormotion or on the presiding officer's own for a request for waiver or exception cenial f relief with its effectis e dateinitiative, stnke any portion of a written must be that special circumstances exist andpresentation or a response to a written so that application of the regulation to -question that is cumulative. irrelevant. the subject matter of the proceedmg (3) The time within which a petition-

immaterial. or unreliable. would not serve the purposes for which for review may be fded. the time within92.1235 Oral presentations; oral the regulation was adopted. in the which any answer to a petition forquesuona. absence of a prima facie showing of review may be filed. and the date when

[-- (a) Upon a determmation that it is special circumstances, the presidmg the decision becomes imal in the,

necessary to create an adequate record officer may not further consider the a absence of the Commission takinge

for decision. in his or her discretion the matter. If the presiding officer w .

presadmg officer may allow or require determines that a prima facie showing R review og the decision.

4 (d) hhtters not put into cor.trm ersvby the parties may not be eummed and*

decided by the presiding cifar.cr

2-65 April 30,1992

__ -_ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

11251(d) '

PART 2 c RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS...

chie.heser n later. A request for a sta3aif the presidmg refheer or the $ cf a stafflicansing cctirn must be filed

,

Appe d flo.ent beliesen that a s. tm*.s with the adjurlicatory decisionmderaufet). enuronmental, or cormron

g before which the licensing procecamg i.def nse amd security matter custs that g* pendmg.h.es not been placed in controversy, thegpresiding officeru.

$ . thall advise the Commission promptly ofth7 basis for that view, and theC immission may take appropriate

,. *,rts on.' (e) Pendmy reuew and final decision

by the Commisdon, ar imtial decisnrrsoh eng all issues before the presidingcificer in favnr of authorizing licensingcction subject to this subpart is

E immediately effectiva upon issuanceg cacept-- (1) As provided in any order issued in

cccordance with | 2.1263 that stays thecffectiveness of an initial decision; or

(2) As otherwise provided by the. Commission en special circumstances.'

(f) Following an initial decisionr: solving all issues in favor of thelicensing action as specified inparagraph (e) of this section. theDirector of Nuclear Resctor Regulation

i 2.1257 (Removed! 56 FR 29403or the Director of Nuclear MaterialSafety and Safeguards. as a propriate,n twithstandin8 the filing o a petition

8 :r review or pendency of any reviewfik t: ken by the Commission pursuant to .

[ $ 2.78G shall take the appropriate 12.12ss rinat ceciason: petitlan forg lic",nsing action upon making the reconsideration,

cppropriate licensing findings promptly. (a) Commission ur Atomic Safety andcxcept as may be provided pursuant to Licensing Appeal Board action to render gparagraph (e)(1) or (2) of this section, a final decision must be in accordance

*(b) e provisions of 12.771 goverr.c g pMons forParties and i 2.1211(b) participants

"# " 8" "'m:y petition for review of aninitialdecision under this subpart in

i 2.126 t Authority of the secretary to ruse(ccordance with the procedures set out on procedural matters,in & I 2.786 and 2.763 or the Commissionmay review the decision on its own The Secretary or the Assistant

motion. Commission review will be Secretary may rule on proceduralconducted in accordance w,th those roatters relating to proceedmgsiprocedures the Commission deems h conducted by the Commission itself

under this subpart to the same extentcppropriate. The filing of a petition forreview is mandatory for a party to E they con do so under i 2.772 for

proceedings under Subpart G.cxhaust its administrative remedies 3before seeking judicial review.

5 2.1263 Stays of NRC staff licensingi2.1255 (Removedl actions or of decisions of a presiding

_ officer or the Commission, pendinghearing or review.

Applications for a stay of anydecision or action of the Commission. apresiding officer, or any action by theNRC staff in issuing a license inaccordance with 5 2.1205(1) aregoverned by 5 2.788 except that anyrequest for a stay of staff licensingaction pending completion of anadjudication under this subpart mustbe filed at the time a request for ahearing or petition to intervene is filedor within ten (10) days of the staffsaction.

January 29,1993 (reset) 2 66

_ _ _ _ .

.

D PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~ .a

ducted expeditiously and its concern that hear evidentiary presentations by the parties

its procedures maintain sufficient flexibil. on specific technical matters upon the. consent of eD parties, or informal consuhants

ity to accommodate that objecta.ve. This to brief the board prior to the hearing on theposition is founded upon the recognition general technical background of subjectsthat fairness to all the parties in such ; savohingcomplexissves.The term" alternatecases and the obligation of administrative g board member ~as a"specialessistant"

. . . e within the meaning of to CFR 2.722(a)p)agencies to conduct their functions with a should not be corJused with the use of theefficiency and economy. require that "; tenn"altemate"la 10 CFR 2J21[b). In theCommission adjudications be conducted * latter situation the"altemate"is a substitute

Io' * m''nber of a Board who becomeswithout unnecessary delays. These factors unavailable. As e special assistant, thetake on added importance in nuclear " alternate" sits with the three-member Boardpower reactor licensing proceedings and not instead of the Board or any of its

where the growing national need for members.,

electric power and the companion need~

for protecting the quality of the environ. I. PRELIMINARY MATTERSment call for decision making which is tal A pubhc hearing is anmnced b> the

. istuance of a poisce of hearms pubhshed inboth sound and timely. The Commission the Federal Register as soon as practicableexpects that its responsibilities under the of:er the epphcation has been dxke'ed.Atomic Energy Act of 1954, the National signed by the Secretary of the Commission

'tatmg the nature of the heartna and theEnvironmental Policy Act of 1969 and innes to be considered. The tune and placeg other applicable statutes, as set out in the of the first prehearing conference pursuant toa statement which follows, will be carried i 2151a wdl ordinanly be stated in the notice

Ic out in a manner consistent with this c| hearing Unless the initial notice of heannsstates the time and place of the hearing. and

APPENDIX A-STATEMENT OF $ position in the overall public interest.GENERAL POLICY AND PROCEDURE: Atomic safety and licensing boards are ffhe$fe(and L cenIiY

'"Bear 15 mti

CONDUCT OF PROCEEDINGS FOR appointed from time to time by the conduct the hearing. those matters wdl be the

THE ISSUANCE OF CONSTRUCTION Commission or the Chairman of the g subject of further notice in the FederalPERMITS AND OPERATING Atomic Safety and Licensing Board Panel 0 fg[she[,p n ?, ,ine a ct c

, n , .nLICENSES FOR PRODUCTION AND to conduct hearings in licensing cases [ practice to begm the evidentiar) heanng en

UTILIZATION FACILITIES FOR undeY the authority of sectio 7: 191 of the . the vidnity of the site of the prepaedWHICil A HEARING IS REQUIRED Act. Section 191 authorizes the Commis. * facihtyJhe notice of hearms iso states the

' ' 'UNDER SECTION 189A OF THE sion to establish one or more atomic n er [n[ r m a ISed eindpear

ATOMIC ENERGY ACT OF safety and licensing boards to conduct exp!mn. the differences between those fo ms1954, AS AMENDED * public hearings and to make intermediate of participation in the proceedmg and states

',h"y*y' *", 'C',',,,I h' ,'jg[ * *"T"The following statement of general or final decisions in administrative pro-,

policy and procedure explains in detail ceedings relating to granting, susperiding, proposed facihty.of the notice of heennt enE the procedures which the Atomic Energy revoking or amending licenses issued by updated copy of the apphcation. the report of

U Commission expects to be followed by the Commissicn. It requires that each the Advisory Committee on Reactor6e a se atomic safety and licensing boards in the board consist of one member who is ,87, s AC, , ,

y conduct of proceedings relating to the qualified in the conduct of administrative rewrt, the Cornmission's environmeri.!" issuance of construction permits for nu- proceedings and two roembers who have impact st sement. the proposed caratruction

dear power and test reactors and other such technical or other qualifications as permit or operstmg hcense and the' ri s of the preheanns conference andproduction or utilization facilities for the Commission deems appropriate to the ,"h e

which a hearing is mandatory under issues to be decided. Members of eachsection 189a. of the Atomic Energy Act board may be appointed by the Commis- -

of 1954, as amended (the Act). The sion or by the Chairman of the Atomic (blIn fixing the time and place of any

provisions are also applicable to proceed. Safety and Licensing Board Panel feom a * "I"'"C' i"Cl"di"8 P"h'*""8 C "I"'"C''-

ings for the issuance of operating licenses panel selected from private life, the staff Nden [u'e gard shall be hade

for such facilities, except as the context of the Commission or other Federal for the convenience and necessity of thewould otherwise indicate, or except as agencies, parties. petitionere for leave to intervene. or

ee npmuntatives of such persons, as wellindicated in section Vill. Section Vill as of the Board members. the nature of suchsets out the procedures specifically appli- -

An Atomic Safety and Ucensing Board 8 conference or ediourned session. and thecable to operating license proceedings. oint special { ublic interest. Adjourned sessions of

may at its discretion ebrom the membersupurines may be held in the Washington. DCThe Statement teflects the Commission's eesistants to the Bear cc

" *"* If 8ll parties so stipulate;ders that thereif the partiesintent that such proceedings be con- of the Atomic Safety and Ucensir's Beard

$ disagree. and any party consi,

* Penelestab!;shed by the Commission.TheseE special essistants are to be etcployed to are valid rusons for holding such session in

'In the event of any confilet between the 3 the Washington, DC area, the matter shouldprovisions of 'his appendix and any section [ facilitate the bearing process and improve thebe referred to the Commission for resolution.quahty of the record produced for review.of M part, the secdon towns.

'Except sa the context may otherwise in The special assistants may serve as technical, interroSstors in their Individust fields eldiente, this statement is also generally appla-

amble to incensins proceedings of the type e1Pertise, alternate Atomic Safety andseeett>ed in the statement shich may be Ucenstrig Board members to sit with the

conducted by a hearing examiner as the pre. Board and participate in the evidentiary86 ding officer. sessions on the issue for which the attemate "

rnembers were designated. Special Masters to

2-67 tipril 30,1992

._ .

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . ..

- (citl) T he Commission or the- quests including, among other things, hearing schedule; and such other mattersAtomie Safety and Licensing Board may motions by parties relating to the con- as may aid in the orderly disposition ofconsider on their own initiative, or a duct of the hearing. lie may wish to the hearirig.party may request the Commission or the discuss such requests with the other (c) A transcript of each prehearingboard to consider, a particular assue or members of the board before ruling on conference will be prepared. The board

3issues separately from, and pnor to, other them. No interlocutory appeal may be will issue an order after the conclusion ofassues relating to the effect of the con. taken by a party as a matter of right from the special prehearing conference whichstruction and/or operation of the facility a ruling of the chairman or the board.

recites the action taken at the conferenceupon the public health and safety, the The board should refer the challenged and agreements by the parties, identifiescommon defense and security, and the ruling to the Commission for a final the key issues in controversy, makes aenvironment or in regard to antitrust ; decision if, in its judgment, a prompt preliminary or final determination as toconsiderations. If the Commission or the j decision is necessary to prevent detriment the parties, and provides for submissiong

at to the public interest or unusual delay or of status reports on discovery by the" board determines that a separate heanngE should be held, the notice of hearms or ; expense. This authority should be exer- parties. The board will also issue an order

other appropriate notice will state the * cised spanngly, and only when deemed after the conclusion of the second pre-time and place of the separate heanns on essential in fairness to the parties or the hearing conference that specifies the is-

_ ublic, sues in controversy in the proceeding.such issue or issues. the board designated p

to conduct the hearing willissue an initial Each order shall be served upon all parties,

decision, if deemed appropriate, which11. PREllEARING CONFERENCES t the proceeding. Objections to such

will be dispositive of the issue (s) consid- order may be filed by a party within fivecred Jt the hearing, in the absence of an (a) A special prehearing conference

(5) days, or, in the case of the staff,rppeal or Commission will be held, within ntnety (90) days

within ten (10) days. The board mayreview pursuant to Q 2.760 after the notice of hearing has been

revise the order in the bght of thebefore the hearing on, and consideration publisheg or such other time as the gof, the remaming issues in the proceedmg. . Commission or the Board may deem e

_ 2.718(i), may certify for determination-

g appropriate, in addition to the standard E g gC pre he a ring conference provided byg 6 2.752. The special prehearing confer g

g gg_(2)in a proceed ng relating a the issuance

of a cc.nstruction permit for a facddy whu.h is ,, ence, authorized by { 2.751a, should be objections as it deems appropriate. As.

-

specif ed in @ 2.752, the order shalleubreci to the environmental srnpact v used to permit identification of keyalatement requ,rements of secuan W9)iC) control the subsequent course of theof the National Environmental Pohey Act of issues; take steps necessary for further proceeding unless modified for good19b9 and subpa t A of part $1 of this depter identification of the issues; consider all (and which is a ut hastion f acdity for intervention petitions to allow prelimi- d) Prehearing conferences are open'

fac t se a to es gn b nary or final determination as to the to the public except under exceptionalheld .pd decisions me) be sesed on parties; and establish a schedule for fur- c rcumstances involving such matters a:

, National En.oronmental Policy Act and siteE **' # 'I '''"'' * "d *' h'' 'P'''I'' d '""''

~ther actions in the proceeding. classified information and certain privi-an as peuded b) subpart T and i 2 Ca _

le8ed information not normally a part ofg (J Prior to s hearing board members (b) Within sixty (60) days after dis. the hearing record.

obo.,d reuew and become tarnihar wS The (c) The applicant, the staff and otherran:d of any relesant prior piorcedmss ir covery has been completed,8 or such,

*

ishe case mcludmg irmaldecisions and other time as the presiding officer or the Parties are required to provide each otherl

Corrm:sson orders. the apphcation. the Commission deems appropriate, a second and the board with copies of preparedARCS repart :he sta'isafet) esaluat2on the h prehearing conference-the prehearing testimony in advance of its being offeredarracant enwronmental report theCommission's enuronments' impact f conference provided by 6 2.752-is held at the heanng. A schedule may be estab-

statement all other papers fded in the a to consider simplification, clarification, lished at the second prehearing confer-aproceedng the Commission s rules of p, and specification of the issues; cont,ider ence for exchange of prepared testimony.practice. and other regulations or pubhthedstatemeros of pohcy of the Commwon as amendments to the pleadings;obtain stip- Prepared testimony is filed in the Com-

ma) be pertinent to the proceedmg ulations and admissions of facts and of mission's public document room and is

the contents and authenticity of docu- available for public inspection. When the-

ments to avoid unnecessary proof;identi, staff has reached its conclusions withfication of witnesses; the setting of a respect to the application and prepared a

safety evaluation, the safety evaluationwill be made available-a point of timewhich may or may not be prior to the

' An 6nterlocutory appeal means en appeal h ar[ng'to the Commission from a ruling made by theboard during the time between the issuance of a

' ' " " ' " ' " " *"~(e) At any time when a board is in |;o ,,

existence but is not actually in session. 8 Discoverya, for this purpose, does notm

the chairman has all the powers of the include production of the ACRS report, theE board to take action on procedural mat. stems safety naluauon, ce the detaned state.

**"' " '" 'I' " *'"' *I '*"''d''' d*"* P'' P'' ' d" tert The chairman may have occasion *k by the Director of Nuclear Reactor Regulation;; when the board is not in session, to or Direc tor of Nuclear Material sarety and| dispose of preliminary procedural re- Saresuards, as arPropriate, or his desisnee.

|April 30,1992 2 68

'

-_ -- _ _ _ - - - _ - _ _ - _ - _ _ _ _ _ _ _ - _ _ _ _ . - _ _ - _ _ _ _ _ _ _ _ _

.

.

App. A(Ill) App.AtVI

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...-

# "'" ' I"I'** (d) In general, staff documents that~

l' Ill. INTERVENTION AND LIMITED Come parties to the proceeding, subject t are relevant to a proceeding wdl beAPPEA R ANCES any firnitations in the order granting leave ***"*******"#' " " " '

I '(a)(1) As required by @ 2.714, a per- to intervene, and hase au the rights of the unless there is a compelling justification

son who wishes to intervene must set appbcant to participate fully in the con- for their nondisclosure. Therefore, docu-forth. In a petition for leave to intervene, duct of the hearing such as the examina- ment discovery directed at the staff willhis interest in the proceeding and how the tion and cross-examination of witnesses, be tenneted, as poded m { W,interest may be affected by Commission with respect to their contentions related sinu m st nan docume wm be peaction. Petitions for Icave to intervene to the matters at issue in the proceedmg. licly available and should reasonably dis-shall, as a basis for enabling the board or H) If more than one person who has ci se the basis for the staff's position.the Commission to determine how the been granted leave to intervene has sub- Formal discovery of documents againstpetitioner's interest may be affected by stantially the same Lind of interest that * * * #**#' '''

the procca ling, set forth (i) the nature of may be affected by the proceeding, and wncerns a maner necessary yo a posthis right under the Act to be made a raises the same basic questions, the board decision in a case and the mformationparty to the proceeding, (ii)the nature or the Commission may order those is a t WaW chedere. bsand extent of the mterest that may be persons to consolidate their presentation covery as a legitimate means of obtainingaffected by the proceeding, and (iii) the information will not be inhibited, but in* ""''' *** * **

effect of any order which may be entered"3 view of the comprehensive body of infor-N " E' * #"

in the proceeding on the petitioner's "" #4"* " " mation routinely available without re-interest. The petition must identify the Quest, there should be minimum need tod'* " **"" *## E *specific aspects as to which the petitioner ce to be n$s M a pa4 resort to time consuming discovery pro-prewishes to intervene and set forth with A I"* " '" '' ' cedures. Discovery against the staff (andparticulanty the facts pertaining to his .

' ' '***I****Y other NRC personnel, including casuailt-'' * 9interest. The petitioner must file a supple- permitted at the discretion of the board, d @ih h Wtdment to his petition containing his con- to rnake a Umhed appearance punuant t upon a showing of exceptional circum-tention(s) and basis therefor not later

S '""5 I" * * ' " ' ' stances. Intenogatories may be addressedthan fifteen (15) days prior to the hold. limited appearances d n t become par- to the staff where the information ising of the special prehearing conference t 6, but shouM be pMed to rnake necessary to proper decision in the case

gpursuant to G 2.75!a. After considera- a@ statemeMs at sud stage d me pcee6 and not obtainable elsewhere.

R tion of any answers to the petition, the C *I ** * * * *Y "* "* " ~ ~

5 board will rule on the petition. If the t ate. A puse ma ng a M ed a nene ,

( board finds that the petitioner's interest " "

* is limited to one or more of the issuesin co d and m o'

t The board should use its powers underthe proceeding, the mtervenor's participa- participate in the proceeding in any other

% 2.718 and 2.757 to assure that thetion will be limited to those issues. usy. The board may wish to limit the hearing is focused upon the matters m,

Petitions and supplements thereto length of oral statements. A member of controversy among the parties and thatwhich set forth contentions relating only the public does not have the right to the hearing process for the resolution ofto matters outside the jurisdiction of the participate unless he has been granted the controserted matters is conducted as evCommission will be denied. In any event, nght to intervene as a party or the right peditiously as possible, consistent withthe granting of a petition for leave to of limited appearance for the purpose ofintervene does not operate to enlarge the the development of an adequate deci-

magg a statement.issues, or become a basis for receipt of

IV. DISCOVERY The following procedures -hould beevidence, with respect to matters beyondthe jurisdiction of the Commission. (a) Once the key issues in controversy observed in the conduct of public hear-

(2) Petitions for leave to intervene are identified in the special prehearing ings-

which are not filed within the time conference order (@ 2.751a.(d)), discov g (a) Prel minary:

specified in the notice of hearing will not cry may proceed and will be limited t E (1) A verbatim transcript will be madethose matters. In no event should the e of t

permitted to use discovery h (he hearing.be granted unless the board determines

2) The Chairman shotJd convene thethat the petition should be granted based parties beupon paragraph (a)(l) of this section and procedures to conduct a " fishing expedi- hearing by stating the title of the pro- '

upon a balancing of (i) good cause,if any, tion" or to delay the proceeding. ceeding and describing its nature.

for petitioner's failure to file on time. (b) Under the Commission's rules of (3) He should state the date, time,(ii) the availability of other means practice, discovery permitted by and place at which the prehearing confer-

whereby the petitioner's interest will be l { 2.720, 2.740, 2.740s, 2.740b, 2.741, ences were held, and identify the persons,

protected, (iii) the extent to which pet" 2.742, and 2.744 must be completed by participating in them. He should summar-tioner's participation may reasonably be the second prehearing conference, except ize the second prehearing conference or-

expected to assist an developmg a sound upon leave for good cause shown. der'record, (iv) the extent to which petition- (c) Depositions, interrogatories and (4) He should explain the procedurescr's interest will be represented by extst- document production between parties for the conduct of the hearing. He should

ing parties, and (v) the extent which the other than the staff are obtainable on request that counsel for the parties iden;

petitioner's participation will broaden the notice or request to the other party and tify themselves on the record, and pro-

{ issues or delay the proceedings. without leave of the Commission or the vide them with the opportunity to makeboard, in line with the Federal rules of opening statements of their respective

, Civil Procedure. positions.

2-69 April 30,1992

|

_ _ _ _.

.

App.A(V) App. A(V)PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS - ).

id) Evidence: Itil Pursuant to i 2.733. the applicant l'as

_the burden of proof.

($) It is the Ccimmission's view that * (2)The parties are required to subm t direct(5) He should describe, for the benefit the rules governing intervention and lim. tutir ony in wntten form and serse copies of

such prepared wntten testimony on a:1 |of members of the pubhc who may be ited aPPcarances are necessary in the P8"'es pursuant to the schedule establishedIpresent, the respecttve toies of the boatd' interest of orderly proceedings. The Com- at the second prehearing conference-in any

the ACRS and the staff, and the Commis. mission also believes that through these event. at least 15 days in edunce of thesion procedures for review of the deci- ''on of the hearing at which such

two methods of public participation all g *e"stimony is to be presented. as provided byatsion. He should also describe the contmu- members of the public are assured of the * $ 2143;bl. unless the board orders otherwiseing review and .mspection surveillance right to participate by a method appropri- [ on the basis of objections presented Theconducted by the Commisaon after a ate to their interest in the matter. This e stafre posinon is reflected pnmarily in theconstruction permit or an operating li- should be fully explained at the beginning ' safety enluati n and final environmental

imp.ct statement. Consequeatly, the staff willcense has been issued- of the hearing. In some cases the board not present its case until these documents are(b)(1) The Chairman should call at- may feel that it must deny an application m.gtl, The u.e of such adunce w icen

tention to the provisions of @ 2.715 for to intervene but that it can still accom- tesimry is espected to eipedee nhe head. sparticipation by limited appearance. He modate the destre of the person involved .Junsshould briefly explain these provisions by allowing him to make a statement and -

(3) The testimony of all witnesses will beand the rights of persons who are permit- raise questions under the limited appear- given under ath. These witnesses may beled to make limited appearances. anCe rule. collecthely sworn at the opening of the(2) The Chairman should inquire of (6) Boards have considerable discre. hearms or if additional witnesses are called

"P"' '"'d # * * * "" D'""' **"8 ' "'' Ythose in attendance whether there are any tion as to the manner in which theY may be sworn at the time of their appear-who wish to participate in the hearing by accommodate their conduct of the hear- ance. There is ordinartly no need for oral re-

cital of prepared tesumony unless theLimited appearance. ing to local public interest and the desires(3) Should any person seek leave to of local citizens to be heard. Particularly Nt e serv

" " "* # *

intervene when the heanns has been in cases where it is evident that there is Hi The proceedings should be conducted

convened, he must set forth, with particu. local concern as to the safety of the ** '' 's'd '''*"'' # "'P''''''*D '' "I'h "' '"'

painn the development of a clear and ade-

,;tarity in a written petition. the reasons proposed plant. boards should so conduct n quate record. The order of presenting testi.n

g why it was not possible to file a petition 3 the hearing as to give appropriate oppor. y mony may be freely vaned in the conduct ofgwithin the time prescribed in the notice 5 tunity for local citizens to express their i 'to tj'',',"br y fNr w1tnesNs oes m. of heanng, as described in Section 111, to % views, while at the same time protecting I a roun,dtable basis after the receipt in evl. /*

afford a basis for the board to determine " the legal interests of all parties and the " dence of prepared testimony. \W To prevent unnecessary delays and an

whether or not good cause has been public interest in an orderly and efficient unnecessarily large record, the Board may,shown for the untimely fihng. In granting licensing process. pursuant to i 2.%7, limit cumulative testi-

mony, sutke argumentaun, npeuuous, cu.a petition for leave to intervene wluch is (7) In some cases, argument and fur- mulauve, or irrelevant evidence, take othernot timely filed, the board w,ill impose ther heartng can add nothing to the filings necessary and proper steps to prevent argu-

.

mentauve, repetitious or cumulauve crosssuch conditions as are appropriate t of the parties. In those cases the board is exammation, and impose appropriate timemimmare any delay in the proceeding. authorued, pursuant to @ 2.749, on m* limitauons on arguments.(4) A person making a bmited appear- tion, to render a decision, if the filingsin (6) Documentary evidence may be offered

ance may want not only to state his the proceeding and other materials show in evidence as prov6ded in i 2.743. Such evi-dence offered during the course of the hear-position, but to raise questions which he that there is no genuine issue as to any ins should be desertbed by counsel, and fur-

would like to have answered.This should.

material fact. However, in proceedings ntahed to the reporter for marking. Docu-. . ments offered for marking should be num.be permitted to the c2. tent the questions involving construction permits, this pr* bered in order of receipt. On identificationare within the scope of the proceeding as cedure may be used only for determining of a document, it may be offered in evi-

,

defined by the issues set out in the notice subordinate issues and not the ultimate dence.m Objections may be made by counsel toof hearing, the prehearing conference issues as to whether the construction any qunuons or any line of gunuoning,order, and any Iater orders. Usually such permit should be issued. and to the adrnisalon of any document and

persons should be asked to make their (c) Opening statements; should be ruled upon by the board. TheD ''d "* * "d I* 'h' " Id " '"'# ""''''"statements and raise their questions early (1) It is anticipated that the applicant, the objection,"or may receive 'the evidence,

in the proceeding so that the board will who has the burden of proof, will, at an reserving for later determinauon the ques.have an opportunity to be sure that Lion of admissiblitty. In passing on oblee-

.aPPtoPriate time early in the proceeding, uona, the board, while not bound to viewre1evant and meritorious questions are make an oral statement describing in proferred evidence according to its admisal.

properly dealt with during the coune of terms that will be readily understood by blitty under strict appiscauon of the rules ofevidence in judicial proceedings, should ex-the hearing. the public, the principal safety and envi- clude evidence that is irrelevant to tasues in

ronmental considerations involved in car- the case as defined in the notice of heartr4rying out the activity sought to be au. or the prehearing conference order, or that

pertains to matters outside the jurisdictionthorized, of the board or the Nuclear Regulatory

(2) Other parties to the proceeding commission. Irrelevant material in preparedmay also make an oral opening statement testimony submitted in advance under

. .12.143(b) may be subject to a motion to

describing their position on the proposed strike under the procedures provided in (licensing aetion. I 2.730.

(8) Use of aclenufleally or technicallytrained persons who are not attorneys toconduct direct or cross. examination onbehalf of a party is provided for in i 2.733.This procedure is a privilege, not a right,

April 30,1992 2-70

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . ..

and may be granted to further the conduct (14) Many of the LLme limitauons pre- Tolley Act of 1D69, has been adequate, toof the hearing, Before permitting such a scribed in P art 2 were set to allow the maxi- support the findings proposed to be made

mum time for the parues to the proceedings ,, by the Director of Regulation and the issu-person to conduct esamination of witnesses. to perform various metivitica. Where the se to ance of the construction permit proposed by,he board must determine it) that he has livides covered by the hmitations can be in the Director of Regulation. In doing so, thetechttical or scientific cualifications. tillthat he has read the written testimony and performed in less time, the time Ilmits may board is espected to be mindful of the fact

be reduced by order of the board if appro- that it la the applicant. rtot the staff, who isany documents which are to be the subject priate, where such action sculd not preju. en the proponent of the construction permitof his enamination. and till) that he has pre. d6ce a party. Similarly, in any case in which @d who has the burden of proof.pared hbmself to conduct a meaningful and a ume limit is not set b) Part 2, the board * 13| Whether the construction perm texpeditious examinauon. Permtsenon to ecduct esamination will be limited to the should impose reasonable I:me limits. 'pr6ceeding n cor.'ested or uncor.leged theatens in which the interrogator is shown to f e) Record- Wrd d n 'o environmenW imp.ctbe qualified, The party on whose behalf the til The transcript of testimony and the matters !6) deteradne whether theexhibits, together aith att of the papers and

requests filed in a proceedmg. conststute the e, muste'nsn;s 6f v ction 102[d ( A); (C) and IEeinterrogator conducts the examination and a

Ma Nama! onments! N iq Act of' his attorney are responsible for the interrogator s conouct of esamination or crossen- record for dectston. carept to the extent $

,1989 a*,dSubpart A of Part 51 of this chapterthat official notice is taken.amsnation. a have been cr.mpied with. (M mdeper.dently(2) Generally speaking. a dectston by a(9) The extent to which challenges to board must be made on the basis of evidence I aonsider 3.e final balance sm.vg cor.htmgI NRC regulations can be made in a 16 censing shich is in the record of the proceeding. A e factors contained in the record wie. a saemi proceedmg ts limited. A party may petition| for Walver of or esception to the application board, however,la espected to use its expert to determinmg the appropnate actior to be

of a specified NRC rule or regulation to an knowledge and expertence in evaluating and taken: and (c) de' ermine whsther the,' aspect of the subject matter of the proceed. drawing conclusions from the evidence that construction permit should be grant *1

Ind. The party must file a petition and an is in the record. The board may also take ac* demed. or appropriately conditioned tocount of and rely on certam f acts which do rotect er.sitonr:. ental valuesaffidavit that identifies the spectfle aspect

^ estion may be certtfled to the" .t ced th ac t ha e* C m1ss no which ap le tio ot rul o re t

M MWnsWn mMn a maw orn m edge u o 2 3 f e al

he regulat o adop d tha

p[ u eI e m h a byth r he ona ale ed usti y a wa r a "' ' when the prompt and fins.1 dectsion of hesci if c f ct a than ti e no ledge of th question is important for the protection nfb he std b n the t na Commission as an expert body. Each f act of- *the public interest or to avoid undue delay. davits and any material submitted by other facially rioticed must be speelf}cd in therecord with suf fletent particularity to advise ,or serious prejudice to the interests of aparties. that the party has not made a

party. For example, a board may find it ap-prima facie case, no evidence, discovery or the parties of the matters which have been propriate to certify novel questions as to the| argument will be allowed on the matter'. Ifnot6ced or brought to the attentloa of the regulatory jurisdiction of. the Commissionthe Board finds that such a showing has

been made, it will certify the matter with.Lparties before the final dectslon, and each or t f rsons to intervene.8

N out ruling. directly to the Commissior"i for s'eparty adversely affected by the decisionE determination as to ahether the application".must be afforded an opportunity to contro- (t) If. Et the close of the hearing. the

{ of the regulation to a particular aspect off vert the noticed fact. (For example, a board board should have uncertainties with re-, the subject matter of the proceeding should~might take official notice of the fact that spect to the matters in controversy because

- * be malved or an esception made, eihigh level wastes are encountered mainly as g of a need for a clearer understandmg of theg,

residue from fuel reprocensms(10) The Commtssion has recognized the liquMMatters which are "off6eially no $ evidence which has already been presented $

public interest in achieving falt and reason. plants.) it la expected that the board would normalable settlement of contested proceedings Laced by a board furnish the same baats for h a8 th par

4 2.759). Therefore, to the extent not incon. findings of fact as matters thich have been ,y nsistent with the Act. fair and reasonable set, placed in evidence and proved in the usual its initial decision. If the uncertainties arisetiements are encouraged, either as to partic , sense. from lack of suff6cient information in theular issues in a proceeding or the entire pro' record. 61 is expected that the board wouldceeding- if) Participation by bw.;. r embein normally require further eddence to be sub-till Unless testimony la being taken on a (1)In contested procerf J gs the boerd mli mitted in writing with opportunity for the

roundtable basis or there is some occasion determine controsetted ma:Ters as well as other parties to reply or reopen the hearing* " ren r decide whether the $nd r.p required b) the for the taitng of further eddence, as appro-

t a ta w h se e qe Act and the Comtr.ission s replations shu.;14 priate. If either of such courses is followed.until the parties have completed question-

be made and ashelher. m accordance mthit is espected that the applicant ' uld nor-

Ing of the mitnesses. since counsel for therespective parties will generally be preparco Subpart A uf Part 5L the cenatructen pernat mally be afforded the opportunh, to make

the final submission.to develop the various lines of pertinent,should beissued as propesed (2) A board should give each party the op-Thus. in such p oceedirp the board wdl ortunity to make a brief closing statement.eQuestions. p(12) Conferences for the clarification of 2 deterrmne the met:ers in c mtroversy and

matters between the board and the parties,e ma) be called upon to make techna al (3) A schedule should be set by the board*of the formulation of rnore mea.ningfulquestions, may be used to expedite the hear , judgments of its own on ttose matters As toand recorded. either in the transcript or by

maHers pertainmg to rad'c;or.caI health end ,7ing and simplify the record. Informal cort. safst) wMch are not m cer.*:cversy boa J' parties are directed by the board to file pro-ferences, including telephon! conferences.8re neither regmred nur e;*.1ed to d pfue gposed findings of fact and conclusions ofshould be encouraged to this end.

(13) The board abould ordmarily not ad. the renew already pt om J by t!e 6 off , law. In uncontested cases, the proposedfjourn the hearing once it has begun, except and ACHE and the) are a/henzed to re!y Eftndings will ordinarily be extremely brief.as the hearing may be divided into segments upun the testimory of the s'eff. the appl.cnnt c:In contested proceedings, proposed findingsto permit conalderation of discrete areas- and the conclusions of the ACRS. which are

Sof fact and conclusions of law submitted byEthe parties may be more detailed. Whilesuch as til radictogical health and safety or not controverted by any party. brevity in such submissions is encouraged.Illi environmental impact. To the extent -

the proposed findings and conclusionspracticable, legal questions should be re , 2)In an uncontested ease, boards are nel-solved prior to the hearing. If the board be- ( should be such as to reflect the position ofIleves that addtllonal information is re. ther required nor expeceN in duplicate the parties submitting them, and the technicalquired in the presentation of the case, it radiological safety revies already performed and factual basis therefor.would be expected to request the applicant by the staff and the ACRS and they are au-or other party to supplement the presenta- thorized to rely upon the testimony of the ,

tion. If a recess should prove necessary to% staff and the appl 6 cant, and the conclusionJ ;obtain such additional evidence the recess;|of the ACRS.The role of the board is not to 2 (4) The board should dispose of any adda-

conduct a de novo evaluation of the applica-E tipn. but rather to decide whether the appil* a tional procedural requests.thould ordmarily be postponed until avalla a

l (5) The chairman should formally closeIcation and the record of the proceeding con .'.the hearing.ble esidence has been received.

e tain sufficient information, and the review '' of the application by the Commission'sstaff including the environmental reviewpursuant to the National Environmental

2-71 April 30,1992

- -

.

APP ^(VUAPP. A(Vill)gggpgggggggggg

.

VI. Postessanspo Paocerarsca. IncLtrosuc sivl Whether the lasuarwe of a permit for~

nst Int?IAL Decssion ,Othe construction of the facility will be inimi- tb> The Commlasion or the Chairman ofseal to the common defense and neeurity or the Atomic Safety and Licensing Boar

ta) A board, acting t'stough the Chairman. hto the health and safety of the pubhe. Panel may designate a technically qualifi '

should dispose of procedural requesta made 1. alternate or an alternate quellfaed in theafter the close of the hearing, including mo- conduct of administrathc proceedings, ortions of the parties for correction of the Is) Mreh s. wHh respeci to the both, for a board The designation of an al-transcript. Heaponaea to requesta and mo Erequererr.ents of section 1(212)f A) (Cl and i 1 ternate is discretionary. Alternaten may be itions of the parties are made part of the 'of the National EnurunmentalPubcy Act in designated abere the Comminalon for the

; record by lasuance of written orders accordance with Subpart A of Part 51 of th,s Chairman of the Atomic Safety and Licerup7 tbl On receipt of proposed findings and [.gy. pter the construction permit shwld being Board Panell in ita judgment believesgreenclualons from the parties, the boardk should prepare the Inillal decialon. Under uued at troposed

that a proceeding Irnohes factors that war.rant the continuing assignment and pres.

a the Administrative Procedure Act and the - pience of an alternate, if any alternates areCommlaston's regulations, the dec6sion (36 3n an uncontested proceeding for the g designated before the hearing they will re-

"h[1) Findings', conclusions. and rulmas,alli, without conducting a de novo evalua. $ application and other documents illed by ;

und include, nasuance of a construction permit. the board h eelve ccI'ses and become familiar with the

with the reasons or baats for them. on all tion of the application determine. ' the partles prior to f 5e start of the hearing. t

material lasues of fact, law, or discretion 31 (H Whether the appheabort and the It is espected that an alternate sill be con-presented on the record, 7 ord of the proceeding contain suffacknt stituted or appointed by the Commission or

information and the review of the applica.on. If any, in malting the decision.t3) All facts officially noticed and relied g i on by the Commission's staff has beenthe Chairman of the Atomic Safety and I1-

censmg Iloard Panel as a member of thedequate. Lo support the findmss propowd board in situations where a technicallyC * .o be made and required by the Act for the qualified member of the board. or the |*

g ($ De appropriate ruhng. order, or denial tasuance of the construct &on permit pro- rnember qualified in the conduct of admmis- Ig or relsef, with the effective date and time posed by the D6 rector of Nucinr Reactor gath e procee;fings, becomes unavailable.

i

within which a notice of appeal from the Hegulation or Director of Nuclear Material!u

* Initial decision may be filed- selety and safeguards. as appropriate, and ~'

b 00 Whether the review conducted pursu-ant to the National Environmental Pohey (cl S rSor : 71si.rcil,es when

H) The time when the decis6on becomes Art of 1969 has been adcouate. ;

o runw.Wr' h toer Commgoncts ortfinal.$ l.vc ur. tr e one nand and tree niall on tra-tc) Issues to be dec6ded by the board (3) FeFdless of whether the prot *edirgis ? otW ru . .* m rmit&d n In enung

~j

iD In a contested proceedings for the lasu. confes'ed or uncontested. the Leard w.|! .n a reea T car.domre under k,opart Gance of a construction permit, the board willits mitaal decision. in accordance with * 5 thor. 2 N .ho permits a lenard, m the )determine the following tasues:

it) Whether in accordance with the provi. Subpart A of Part 51 of this chapter. ? sarn, ige of prtu reding so consnit with ji

b) Determine whether the requuemevs of mmbors of the panelfrom whuh the |a6ons of. | 60.3$(a) of this chapter:(e) The appl 6 cant has described the pro. Nsection 10212}'AL (C) and (E) of the Nstienetmembm of :he board are drwn

posed design of the facillty including, but ;Part 51 of *h:s chapter have beer corrt edErwiront-ental Polg Act and 5;brart A cfnot limited to, the principal architectural h

~ i

5and engineering etiteria for the design and ewith 6n the proceed.ng.has 6dentitled the major features or compo. * Ds) Independently consider the finalpents incorporated therein for the protec. balance a'nong confhttmg factors contamedtion of the health and safety of the publ6c; in the recc,rd of the proceeding wdh a uem tu

4 6) Such further technical or design infor-*Emation as .nay be required to complete the driermmag the appropnate actior. to be

ta k en. a nd !," safety analysis and which can reasonably be

(iii) Determine whether the const ucticig lef t for later tensideration, will be suppliedme in the final safety analysts report; peamt should be nasued denied or

tc) Safety features or components. If any, appropt..lely condelioned to protett'

have been described by the applicant and-enuror.rr.cnt.1 s alueswh6ch requires research and development

the applicant haa identified, and there will (d) It la capected that ord6narily a boardbe conducted, a research and development mill render its initial decialon within 35 daysprogram reasonably designed to resolve anysafety questioria annociated with such fen- after its receipt of proposed findings of fact

s.nd conclusions of law filed by the partiestures and components; and(d) On the basta of the foregoing, there is In a conteated case and within 15 days after.

reasonable assurance that receipt of such proposed f6ndings and con-4J) Such safety questions will be satisfac* clusions in an uncontested case.

tortly resolved at or before the latest date te) The initial decision will be transmitted~

stated in the application for completion of to the Chief. Docketing and Service Section, Vlll. Procaopts Aercscast.s to OPrasTINGOf fice of the Secretary. for estuance. Lectnst Paoctro Mcsennstruction of the proposed f acility. and cr(2) Taking into consideration the alte cri. 6*. if) Af ter the board's initial decialon is

ta) This section acts out'certain differ.teria contained tri Part 100 of this chaptet. glasued, the entire record of the hearing, in-ences in procedure f rom those described in

the proposed facility can be constructed and ciuding the board a initial decision, will bc;; sect 6cns 1 VII abote. which are required bys.cnt to the Commissionoperated at the proposed location withoutundue risk to the hen!Lh and safety of the for review. In theg the f act that the proceeding is for the Lasu.

e ante of an operating license rather than apubliccourse of this review. the Commtaston may a construction permit. Otheralse, the provt.til) Whether the applicant is technically a.llow the board's decision to become the R stons of sections I through VII of this state.quallfled to design and construct the pro, f6nal decision of the Commission, may'

A f actl;ty; modify a board decision, or may send the ment of general policy also apply to an op.trating beense proceedmg. except as the !ase back to the board for additional testi- context requires otherstse.

Ip mony on particular points or for furtherw .40ns6deration of particular tsaues. 1

". qu(ahfied to design and construct theill) Whether the applicant is financially ]=

- -

Vll. Orntasca propowd facility:

Ia) Tso members, being a majority of theo board constitute a quorum, if one of thosefL. R members la the mernber qualified in the

j conduct of administrative proceedmgs Thevote of a majority controls in any decialon f

f y a board. Including ruttngs during the (bK. course of a hearing as well as formal ordersand the initial decision. A dissentmgmember is of course, free to espress his dtssent and the reasons for it in a separate

, opinion for the recordApril 30,1992 2-72

_. _

.

APP. ^ W ill)App. MVill) PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ..,-

(b) In an operatina licenae proceeding the [ Edl in operating fleenne provvedinen, the~

board 3111 determine the matters in contro- a procedure for nummary disposition of theterey amtent the parties, and shcre the E proceeding on the pleadinen described inbnard delermitwn that a art 6oun safety.cnni- { 5 2.149 may be used to determine the ulsi-

* sosunental, or common defenne and securtty mate lanuc of e hether the operating license,

?, matter was not entned by the partics. the " should bc innued.* board will determhie such matter as bring

I amous the insuca to be decided. Those insurawill be apreifirst in the notice of a hearing.

*Innued by the Comminnion, or in a prehear-Ina ennference order lanned by the board inthe exercise of its discretion during thehearing.

WN The lasues aill be the mallern in contro-terny among the partlen or rained by the ,

f board witloin the purriew of Ibe following:

L_

(il Whether there is reasonable assurancethat construction of the faelHty mill be nab-

stantially completed, on a timen t banin. In.conformity a-ith the conalructlin permitanrt the application as amended. the pros t-stons of the Act, and the ruten nno regula-tions of the Comminnion;

ha its Whethrr the facility mill operate in= conformitt alth the apphration an ai cnd-'i

a fd. the prostalons of the Act, and the rt len6 anel regulations of the Comminnion;

E (3) Whether there in reasonable assuranc*10 that the activillen to be authorized by

the opetallna license can be conducted with-out endangering the health and safety ofthe public, and (10 that such activitics millbe conducted in compliance with the Com-

*mission's rerutations:

(~

,(4) Whether the opplicent is technicallyand financially qualified to engege in the

< - activities to be authorized by the operetingZ license in accordance with the Commiselon'sE reguistions, encept that the leeue of financiale qualification shall not be considered by theI board if the applicent is en electric utihty* oceking a license to operate e utditation

facility of the type desenbed in l 50.21(b) or| $0.21

[(S) Whether the applicable provisions of210 CFR l' art 140 hate been natisfied.

461 Whether lanuance of the lleense mill beE inimical to the common defense and secu.E rity or to the health and safety of the

0.; public; and.

.-- |t| Whether, with respect to theecquirements of certion 10212|( A). IC) and

* 10)of the National Environmental Puhey Att.8 in accordance with Subpart A of part $1. the, operating bcense should be innued etLpropomt

s

(c) The board. In operating licenne pro-credinen. allt make findings on the mattern

!J in contrmerny among the parties and anyK matter not tatsed by the parties but exam.e ined by the bnnrd in its discretion in accord." ance with paragraph (b) of this section andI I 2?l60s. Dependint on the renotidion of

thone mattern the Director of Regulallanwould innue, deny nr appropriately condi-t on the operating license.

2-73 January 29,1993 (reset)

, . . - . . - - - -- - , - - . - .- - - . -. -

. t

Mlv M 'PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS . . .,

~ Aci, to the Attorney General se regelred by - IAnglerust bilermetten? h notice shallinsite section leec of the Act.Under that accelen.poseene to submit, wishin thirty (sol days the Attorney General wlE, within e

;

asherpublicellen of the notice, commente er _- reasenoble time, but in no evoet to emend tinfesmeteen asnoornese emetruet especte of las days eher receipt, render serb edelse to !the opptcenen se esseet 6e Directw in the Commission se le determined to be -u_ _ purement to sect 4en lese d th, e se in regard to es Anding to to t

,

Act, M signtAcent ebenges la em snede the Commiselon es to whether the 'Moonen's est6vtWee er activitie, activlun under the licones would ewete erbeve soeurved einee tien of the - meestein a sheeteen Insensistent wie heprevleus antitruet soview te connectlen with entitruellowe spec 4Aed in h lese of :

the eenstrusman permit applicatiest De to Actsestice simil else elete nei m who wash ; - (a) m mnew by the Atlmney Cenal

, ;

to have their views en the entitruet espects of . ; dncreed la peregraph | 1) aben is set,

,

aregeled for applicensos epwe .6e opptesten eeneidesed by the Netc andpresented to the Attorney GenwelIer "' I'"""8 for Production er stilisellen use .;eensidereden should embait such views ; eda wcdon im of the Ast for wWch hewithin thirty fael doye aAer senties of the ""'""*"** P""" *** *I" I'***0 '"0" -

*"* section 103, emiese the Illrector of Nuclear - a

,",a'hyg(,,g,I'8" Reactor Reguieteen er the Director of Nuclear '

,

DC*'"I*I O*I 'I **0 8* **Atienden:(Sief Aetitrust and Eeenemic oppropriate,' determines, eher eensu'hetloeAnalyels Smack .

with me Attorne G(3)If the Director of Nuclear Reector we I nom beneraland in messedencewh mkw is adelmW !Regulenen er de proctw emoclurMateriel Sefety and Safeguards, se en the ground that algnificent eherigee in the !appropriate, arter soviewing any comments or beenm's ocHWen w propwd eseW6uInformation recefwdin raponu to the ben occured subgnt W predoes 'published notice and any commente e' review by the Attorney General and by theinformation regarding the opplicant received Commleston under section lasc of the Act lafrom the Attorney GenereL concludes that eenenHon wie ne eenewucdos pumit. !-

mere have been se significant danges since'

-

the completion of the previous antitrust (d)The Director of Nuclear Reactor Resu-lation or Director of Nuclear Maternalreview in seemoction with the constructiod Safety and Safeguards, as appropriate, eill '!

perinit, a flading of no significant changes pubilsh the Attorney General's advice inohell be published la the rederal Regleter, the y'rocn4L Recastsn promptly upon re-together wie a notice stating that any ceipt, and will make atleh advice a part of i

,

request fer reevefueHon of ouch linding the record in any proceeding on antitrust .abound be submitted within thirty (30) days of enattere conducted in accordance with sub-,

publicotten of the petice. If ne requeste for section 106ctll and section iges of the Act. .

!reevaluetten are received within that time. The Director of Regulation will also publish |

1. ,s.c die.ge f. Co.eateno. ofthe nnding In the y'corest Rossersa a notice that, the .;

,

: determinetsheR boceme the NRC's Anet .em Re,ueste foe e ,eeveiu.uon of ^ig 4,,3:',hg, ;&r;Astitrust Aspecie of Faculty License - the no elsnincent changa determinetton,

. ,

A W '"" yseenat, Racistra stil also include a notice :[ Director's And6ag becomes final but before

eheu be accepted eher the dele when the of hearing, if appropriate, or, if the Attor, tle| Under the Aloedc Energy Act of 1954, ney General has not recommerused a hear- '.

as asumded, the Commleelen la required, ' the leeuence of the OL only if they contain ing, stil atste thet any person whose inter-wth seepect to applicatione for constructjos new lafermetion, such as information about est may be affected by the proceeding mey,pennite er opereung licensee for producilas facts or events of antitrust significance that pursuant to and in accordance tith 12334.and stillution facilities for ladustrial or have occurred since that date, or information file a petition for leave to intervene and re- j

ensumercial purposee licensed under section that could not reasonably beve been ouest a hear 6ng on the antitrust aspects of15, ubieb include power reactere subject to submitted prior to that date. ,gj,Pn Yor cethe mandatory hearing requirements of (4)If, as a result of the toevoluetton of the oi r er a requesasceen tese of the Act, to follow procedures Anding described ebees,it la detanteed that for hearins shall be filed wtthan 30 deseler entierwet reelewla section lose of the Act there have been no alsnl6 cent changes, the

af ter pubucation of the notice,M eseGon outhnee the proceduree used by Director of Nuclear Reactor Regulation er telIf a hearing on antitrust aspects of the

~

he Comenisalon te implement that settlerLDirector of Nucleer heelertal Sele and application is requested. or is recommendedIWhen the entitruelInformation Befeguarde, es to, shall the try the Attorney General,it aill generally be ,

.

3 eten oppliceflon le received and requwt end she e notice of adtog held separately from the hearing held on 1g deshoted for a facility construction permit of no righificest eages le the Federal matters of radiological health and sofety|

.

t6 undee mession les of the Act which le subject Regleter, the modes and Snding becorrie the and common delense and security described -.to eastestmiew unda secuen toscJe ,

* nettee of secolpt of the entitreet information final NitC decrelse thirty (sol doye eher beleg in sections 1 Vill of this appendtz. The,

published la the Fedwel Reglenw shou edete M and ordy in he went b 6e notice of hearing will fix a time for the4

het peresse who week to beve their wiewe on Comssiteelen bee not enerdad see specte hearing, which mill be as soon as practicable rj'[yh'[ ,(I NT) |

e,,lew,he entitrust espects of the application

(s)If die D6tector of Nuclear Reactor,

assoldered by the NRC etd prwented to the R,galetten er the Director of Neclow 4 Hosever. as permitted by subsection losetsithe Act and other provisions of this parL. I

Asteroey Cenere! for monoideret6en sheU Meterial selety and Befogumeds, es " of the Act, with respect to proceed 6nes ineenenit such views to the Commiselon within a te eencludes that elgelficent E shich an application for - a construction :|City 1001 doye afterpublicotton of the notice, nyee beve occurred since the semplettoe { permit e as itied priot to December 19,1970, i(g) Upon receipt er the entitrust Information of the prevlees entitteet review la tennecties ,,, and proceedings in thich a wtttten request i

toepenelve to Regeletery Celde 9 3 submitted with the eenetruction permit, thee the a for anutrust revies of an application for an lhe eennection with en application for a provielene of $ 1103(d] sheB apply, opersting 16 cense to be leaved under sectionlocd6ty operating license under section 103 of Ic)(1) Encept as provided in parepeph 404b has been made by a person sho inter-the Act, the Derector of Nucleet Reector (c)(2) below, the Director of Nuclear Reacter vened or sought b) timely s'ritten notice toReguleuen er the D6tecter of Nuclear Regulettee er the Director of Nuclear strue lo[pc ir[for he fac$tyhesterial Safety and Safeguerds, se nieterial $efety and Befoguards, se l o

to obtain a determination of antitrust con-appropelete, shall pubhen in the Federal e te she5 refer and transedt e esPF sideration or to advance a Jurned6etlonalReWeser and la appropriate erade lournale e oe application for e eenetruction pere it bants Ior such determination 311hin 25 days" Notice of Receipt of Opereting License er en operating liconee for a utilisetlee et after the date of publication in the F'rntaat,producoon faceuty undw accen los of the ascasrca of not6ce of filing of the applica-

6

Jeriuery 29,1993 (feset) 2J4i

.- - m- .m., __ . . . , - _ _ . _ - - - - - _ _ , . - - - _ . - - - . ._. -

_ _

:4

App.A(N) . . APPE. . PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS-a =

. ), 19.1970. s hiehever is later, the Commission(60n for an operating heenae or December

g Appendi% B 10 Part 2 ' Appendix C-General Statement ofis may tasue a construction permit or operal-* ins Ilcense. provided that the permit or 11 |Remal 9 FR 46610.] Policy and Procedure for NRC

Enforcement Actions2 cene so tasued contains the condstion spect-fied in i f4.55h of this chapter.

,

'

'

(fl Hearinge en antitrust aspects wiB besenducted by a presiding officer, either as Tale nIContentsAdmeatstrative Law judge or as atomica

3 and hoensing board comprised of threePreface -

O , one of whom wiu be qualified lac to condect of adminletrative proceedings I. Introduction and Purpesej and two of whom wiu heve such technical or II Statutory Authority* ether alushfications se the Cosimissioe A. Statutor3 Authority - .

deems appropriate to the issues to be B. Procedural Framework i

decided. 111. Responsibilities.

- tal When the Attorney General has ad- IV S''"I'Y "I Y' Id''.iolations"8

A. Aggregation of \ i

0 vised that there may be adverse antitrust* aspecta and recommends that a hearing be B. Repetitive Violationsa held, the Attorney General or his designee C. Willful Violations.

a. may participate as a party in the proceed- - D. Violations of Reporting Requirements

{1ngs. V. Enforcement ConferencesVI. Enforcement Actions_

(h) At the bearing, the presiding omcer will A. Notice of Violationwe due consideration to the advice received B. Civil Penalty

the Attorney General and to evidence 1. Base Civil Penaitv'rtaining to antitrust aspecta received at the 2. Civil Penalty Adiustment Factors

(a) Identification() presidin officer will. in the initialdocioloa, make a finding as to whether the (b) Correctne Action

(c) Licensee Performanceactivities under the proposed license wouldcreate or maintain a situation inconsistent (d) Prior Opportunity to Identify -

with the antitrust laws as specified in section (e) Multiple Occurrences106e of the Act.lf the presiding officer finds (f) Duration ;

that auch e ettuation would be created or C Ordersf maintained, lt will consider. in determining D.Related Admimstrative Actions( whether the permit or license should be Vll. Exercise of Discretion

leseed or continued, such other factors as it A. Escalation of Enforcement Sanctionsdeems necessary to protect the public (1) Civil Penaltiesinterest including the need for power in the (2) Ordersallected area.%e certainty of contravening (3) Daily Civil Penaltiesthe antitrust laws or the policies clearly B. Mitigation of Enforcement Sanctions ,

under;ying these laws is not intended to beimplicit in this standard, not is mere (1) Severity Level V Violations

possibility ofinconsistency.The finding will (2) Licensee Identified Sesenty Level V &a

3 De beoed on reasonable probability of IV Violationscontravention of the satitrust laws or the (3) Violations identified During Extended

Shutdowns or Work Stoppagesse policies clearly underlying these laws.De. (4) Violations ins olving Old Design Issuespresiding officer will conclude whether. in its'

I judgment. it is reasonably probable that the (5) Violations identified Due to Previousactivities under the license would, when the Escalated Enforcement ActionBoonee le issued or thereafter. be inconsistent (6) Violations involving Specialwith any of the antitrust law s et the policies Circumstancesclearly underlying these laws.

0) on the basis of the findinss in the f(7) Enforcement Discretion for'

Discrimination Cases -proceeding on the antitrust aspect of theapplication, the presiding officer may (i) C Exercise of Discretion for an Operating

authorize the issuance of the permit or Facilitylicense after favorable consideration of Vill Enforcement Actions involving

,'

matters of redinlogical health and safety and Individuals .

common defer.se and security, and matters 11 Inaccurate and Incomplete Informationraised under the National Environmental X. Enforcement Action Against NonlicenseesPolicy Act of 1969, at the hearing described in XI Referrals to the Department of Justicesectkns I-Viti of this append;x:(ii) authorize Xil. Public Disclosure of Enforcement Actionsthe cor.tinuation of a permit or license Xill. Reopening Closed Enforcement Actionsa!:e4 hsued. (iii) direct the denial of the Supplementsapplication for the permit or license, or thertsdss!on of a permit or license alreadyissued; or (iv) authorise the issuance of apermit or heense subject to oppropriate i

cc.nditions, and subject to favorable '

'

consideration of matters of radiologicalhealib and safety and common defensen:atters raised under the NationalEnvironmental Policy Act of1909 at thehearing described in sections 1-VI!! of this ;

_ appendit !!

2-75 November 30,1994 l

<

, , -- , , n - - , - - . - -.

_

.

' App.C App. C(ll)PART 2 o RULES OF PRACTICE FOR DOME 6 f6C LICENSING PROCEEDINGS ...

.

-,

Preface case and requires the esercise of violates NRC requirements such that adiscretion after considerstmn of these basic component could be signifiamily

The followmg statement of general policies and procedures. In no case. impaired. Section 235 provides thatpolicy and procedure esplains the however, will licensees who cannot cnmmal penalties may be imposed onanforectnent pohcy and procedures of achics e and mamtain adequate levels of ;; persons who interfere with inspectors.the Lt.S. Nuclear Regulatory Commission protection be permitted to conduct g Section 236 provides that criminalend its staff m initiating enforcement bcensed activities. g Penalties may be imposed on personscctions. and of the presiding officers and 11. Statutory Authority and Procedural E* *ff c i|y or o n cles i el

* "' '

the Commission in reviewing these F'****0'ka

cct6ons.This statement is applicable to Alle8ed or suspected criminal violationscnforcement in matters involving the A. Stotutory Authority of the Atomic Energy Act are re7 erred to.

pxblic health and safety, the common The NRC's enforcement junsdiction is the Department of justice fordifense and security, and the drawn from the Atomic Energy Act or appropriate action.anvironment.' This statement of general 1954, as amended. and the Energypohey and procedure is published in th" Reorganization Act (ERA) of 1974, asCode of Federal Regulations to provide amendedwidespread dissemination of the Section 161 of the Atomic Energy ActCommission's Enforcement Pohcy. authorizes NRC te conduct inspectionsH wever, this is a pohey statement and and ins estigations and to issue orders asnot a regulation. The Commission may may be necessary or desirable todzviate from this statement of policy promote the common defense andand procedure as appropriate under the- security or to protect health or tocircumstances of a particular case. mimmize danger to hfe or property.I. Introduction and Purpose Secti n 186 authorizes NRC to revoke

licenses under certain circumstancesg The purpose of the NRC enfor;ement (e.g.. for material false statements. in

program is to promote and protect the response to conditions that would haveeE r:diological health and safety af the warranted refusal of a license on ang public,includmg employees' health and original apphcation. for a hcensee's

sciety the common defense and failure to build or operate a facility inascurity, and the environment by: @ accordance with the terms of the permit

. Ensurms compliance with NRC * or hcense, and for violation of an NRCrzgulations and hcense conditions: E regulation) Section 234 authorizes NRC

. Obtaining prompt correction of u to impose civil penalties not to exceed Iviola tions and adverse quahty $100 000 per violation per day for theconditions which may affect safety: violation of certam specified licensing

'i

. Deterring future violations and provisions of the Act, rules. orders, andoccurrences of conditions adverse to bcense terms implementmg thesequality: and prousions, and for violations for which

+ Encouraging improvement of licenses can be revoked. In addition tolicensee and vendor 8 performance and the enumerated provisions in sectionby example, that of industry, including 234. sections 84 and 147 authorize thethe prompt identification and reportm8 imposition olciul penalties forcf potential safety problems. violations of regulations implementing

Consistent with the purpose of this those provisions. Section 232 authorizesprogram. prompt and vigorous NRC to seek injunctive or othercnforcement action will be taken when equitable relief for violation ofdealing with hcensees, vendors. regulatory requirements.contractors, and employees of any of Section 206 of the Energythem, who do nnt achieve the necessary Reorganization Act authonzes NRC tometiculous attention to detail and the impose civil penalties for knowing andhigh standard of compliance which the conscious failures to provide certainNRC expects.8 Each enforcement actioh safety information to the NRC.is dependent on the circumstances of the

Chapter 18 of the Atomic Energy Actprovides for varying levels of criminalpenalties (i e.. monetary fmes and

e Anhtrust enfortemens manm mil be desh with imprisonment) for willful violations ofNMd WONMMMNda i, , ador s v ,d m this poncy m,an,

a ooppher of prod css or services to be used in an under sections 65.161(b).161(i). orNRC 4 sensed tacihty or actmty 161(o) of the Act. Section 223 provides

e nie pohcy pnmanly addresses the actmues of that criminal penalties may be imposedNRC heensees herefore. the term "hcensee" is on certain individuals employed byd throushout the pohcr However. m those cas''where the NRC deiermines that it se appropnele to firms constructm8 or supp1ying basictake enforcement acuen asemsi e non-heenm o, components of any utilization facihty ifindmd.at. ihe evidence en this pohcy mil be used the individual knowingly and willfullyas apphcable Spenfec guidance regardingenforcement schon aseenet individuals and non.hc.n-s add emd in sections viii and xrespectively

August 31,1993 (reset) 2-76

.

.,

M PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ....

B. Procer/uralfromewotA Ill. Responsibilities in recognition that the regulation of""' "' "'I " " "'"F'"""' "

Subpart B of to CFR part 2 of NRC's The Executive Director for Operationi n t lend itself to .i mechanisticregulations sets forth the procedures the (EDO) and the principal enforcement " * " " ' " '' " ' " ' '

d - |rmi i g hcNRC ukes in exercisk its enforcement officers of the NRC, the Deputy be e e cis er yauthority.10 CFR 2.201 sets forth the Executive Director for Nuclear Material levels of the violations and theprocedures for issuing notices of Safety Safeguards and Operations appropriate enforcement sanctions.violation- Support (DEDS) and the Deputy including the decision to issue a Notice

The procedure to be used m assessing Executive Director for Nuclear Reactor of V olation, or to propose or impose acivil penalties is set forth in 10 CFR Regulation. Regional Operations, and civil penalty and the amount of this2.205.This regulation provides that the Research (DEDR). have been delegated penalty, after considering the generalcivil penalty process is initiated by the authority to approve or issue all principles of this statement of policy andissuing a Notice of Violation and escalated enforcement actions.* The the technical significance of theProposed Imposition of a Civil penalty. DEDS is responsible to the EDO for the violations and the surroundingThe licensee or other person is provided NRC enforcement programs.The Office circumstances.an opportunity to contest in wnting the of Enforcement (OE) exercises oversight Unless Commission consultation orproposed imposition of a civil penalty. of and implements the NRC enforcement notification is required by this policy.After evaluation of the response. the programs. The Director. OE. acts for the the staff may depart. where warranted i

civil penalty may be midgater'.. rem:tted. Deputy Executive Directors in in the public's interest. from this poheyor imposed. An opportunity is provided enforcement matters in their absence or with the approval of the appropriatefor a hearing if a civil penalty is as delegated. Subject to the oversight Deputy Executive Director andimposed. If a civil penalty is not paid and direction of OE. and with the consultation with the EDO asfollowing a heanng or if a hearing is not approval of the appropriate Deputy warranted. (See also Section Vll.requested. the matter may be referred to . Execu : Director, where necessary. Exercise of Discretion?)

30 he U.S. Department ollustice to !E the regional offices normally issue The Commission will be provided*tinstitute a civil action in District Court. y Notices of Violation and proposed civil written notification of all enforcement

The procedure for issuing an order to R penalties. However, subject to the same actions involving civil penalties or* institute a proceeding to modify. overught as the regional offices, the orders.The Commission will also bee

Office of Nuclear Reactor Regulation provided notice in those cases wheresuspend. or revuke a license or to take g(NRR) issues Notices of Violation and |;; discretion is exercised ane liscussed inother action against a licensee or otherPr Posed cml penalties to vendors and g Section Vll.B.6. In addition, ti.'person subject to the jurisdiction of the suppliers and the Office of Nuclear C,oramission will be consulted pilor to

',

Commission is set forth in to CFR 2.202. Material Safety and Safeguards (NMSS) * taking action in the following situationsThe licensee or any other person issues Notices of Violation and (unless the urgency of the situationadversely affected by the order may proposed civil penalties to certificate dictates immediate action):;request a hearing. The NRC is holders and to fuel cycle facilities for (1) An action affecting a licensee'sauthorized to make orders immediately violations involving material control and operation that requires balancing theeffective if required to protect the pubbc accounting. Escalated enforcement public health and safety or co.nmonhealth safety, or Interest, or if the actions are normally coordinated with defense and security implications of notviolation is willful. Section 2.204 sets out the appropriate offices by the OE. operating with the potential radiologicalthe procedures for issdag a Demand for Enforcement orders are normally issued or other hazards associated withInformation (Demand) to a licensee or by a Deputy Executive Director or the continued operation;other person subject to the Director. OE. However, orders may also (2) Proposals to impose civil penaltiesCommissioner's jurisdichon for the be issued by the EDO, especially those in amounts greater than 3 times thepurpose of determining whether an involving the more significant matters. Severity Level I values shown in Tableorder or other enforcement action The Directors of NRR and NMSS have 1A:should be issued.The Demand does not also been delegated authority to issue (3) Any proposed enforcement actionprovide heanng rights, as only orders, but it is expected that normal that involves a Severity LevelIinformation is being sought. A licensee use of this authority by NRR and NMSS v;olation;must answer a Demand. A cnlicensed will be confined to actions not (4) Any enforcement action thatperson may answer a Demane by either associated with compliance issues. The involves a finding of a material falseproviding the requested information or Director. Office of the Controller, has stetement:explaining why the Demanc should not been delegated the authority to issue (0) Exercising discretion for mattershave been issued. orders where licensees violate meeting the criteria of Section Vll.A.1

Commission regulations by nonpayment for Commission consuhation:of license and inspection fees. (6) Refraining from taking

enforcement action for metters meetingthe criteria of Sech V11.B.3:

(7) Any propose.1:nforcement actiontbst involves the issuance of a civil

* *rm wlated 'aforcem'"' *c''*"" *' penalty or order to an unlicensed'' "'' individual or a civil penalty to a

y er y vel i II v t n a ci

penalty for an) Severity levell. !!. In. or IV licensed reaClor operator;violauan and any order based upon a viotauon- (8) Any action the EDO believes

warrants Commission involvement:-

.

2 77 Novernber 30,1994 (reset)

'

PART 2 o RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS -

~'

Comp:risons cf significence between B Repetslne IMofmm *

191 Ant proposed enfortement c.ase activity areas are inappropriate. For The seventy in el of a Severity inelinvolvinst an Offste of Invnfiseison (Oli example. the immediacy of any hazard V or IV violation may be increaseil to

'

I report where the staff lother than the 01 staff)to the public associated with Severitydoes not arrive at the same s.ontiusions as LevelI violations m Reactor Operations Seventy LevelIV or til respectiscit if

gg the violation can beshone in the O! report conc crning issues of is not directly comparable to that repenhve vi lation.. considered a' 66

The purpose ofE intent if abe Ditmior of 01 concludes th.i associated with Severity Levell.

Commission wnsultation is warranted, and violations in Facility Construction. "C"I"#8 '. I* "*" ".D I#' '.I *I "" " ' ' '

Supplements I through Vill provide "P'' d " ' " k" 'Mexamples and serve as guidance :n the added sigmfvance i i tj a tuation

'

ejlor n h of heon i he mmies na sto e ep ous t on n c no,

'

are neither exhaustive nor controllmg. In escalate the socrity inel of a repchtneIV. Severity of Violations addition. these examples do not create violation will depend on the

'"'ch a s oRegulatory requirements * have yw regui em C t nu nber t mes'the v ola o has '

,v:rying degrees of safety. safeguards, or,

environmental significa nce. Therefore* p sces on a particular type of violation occurred, the similarity of the violations

the relative importance of each of NRC requirements. Each of the , and their root causes. the adequacy of.

violation. including both the technical exSmples in the supplements is R previous correctne actions. the period

significance and the regulatory predicated on a violation of a regulatory E 0.I time between the violations. and thesignificance of the violations. (Civili : .6

'' "''''E h!R eviews each case being Oi penalties may also be proposed forthe nforcement p cess'considered for enforcement action on its repetitive Sever:ty Les el IV violations as

,

Consequently, violations are normallycctegorized in terms of five levels ,f own merits to ensure that the severity of discussed in S-ction VI B-)

srverity to show their relative g a vi lation is characterized at the level C. Wd//u/ Vio/c:.'ons t

importance within each of the following m best suited to the significance of the ;

alght activity areas g particular violation. In some cases. Willful violations are by definition ofs special circumstances may warrant an particular concern to the Commission

1. Reactor Operstions. adjustment to the severity level because its regulatory program is based*

% 'h categorization, on licensees and their contractors."'""N""'

* IV. Hesfth Physics; emP oyees. and agents acting withlE V. Transportation:

A. Aggregation of Vio/otions integrity and communicating withLi VI. Fuel Cycle and Materials Operations. A group of violations may be candor. Willful s iolations cannot be

VII. Miscellaneous Matters; and evaluated in the aggregate and assigned tolerated by either the Commission or aVill. Emergency Preparedness a single increased severity level. licensee. Licensees are expected to take I

3

IJcensed activities will be placed in thereby resulting in a Severity Levelill significant remedial action in respondmg *

thi activity area most suitable in light of problam. if the violations hase the same to willful violations commensurate with :

the particular violation involved underlying cause or programmatic the circumstances such tFat itincluding activities not directly covered deficiencies, or the violations demonstrates the seriousness of theby one of the above listed areas e g.. contributed to or were unavoidable violation thereby creatmg a deterrentcaport license activities. Within each consequences of the underlying effect within the licensee's organization.cctivity area. Severity Levell has been problem. Normally, Seventy Level I and While removal of the person is notcsaigned to violations that are the most 11 violations are not aggregated into a necessarily required. substantial

i

significant and Severity Level V higher severity level. disciplinary act.on is espected. ;violations are the least significant. The purpose of aggregating violations

iSeverity level l and 11 violations are of is to focus the licensee's attention on the !v ry significant regulatory concern. In fundamental underlying causes for i

general e ' $lations that are included in which enforcement action appearsthese a@ categories involve actual warranted and to reflect the fact thator high Nw alimpact on the public. several violations with a common causeSeverity ta vei lll violations are cause may be more significant collectivelyfor significant regulatory concern. than individual y and may therefore.Severity levellV violations are less warrant a more substantial enforcements:rious but are of more than minor action. In additioit a civil penalty forconcern. i.e if left uncorrected, they multiple occurrences of a violation withcould lead to a more serious concern. the same root couw may be subject toSeverity level V violations are of minor escalation of the base civil penalty. (Seesafety or environmental concern. Section VI.B.2.(e))

* The term *repe- ise vio e' son" or "similarviolabon" as used ? this po. c) statement means aviolation that reascisbly cc.!d have been

e The term *regerement" as used in this policy presented by a bce f see 6 creechve schon for asneene e legaliy bmdang requirement such as a pret sous seclahon farmall) *.atcumng (1) withm the j

statute. toeutation, luense condition. technicat past two years of tr e inspec .on at assue. or 21 the i1specnicahon. or order pened withm the last two erspechens, whicheter as

tanger

i

November 30,1994 2-78

a

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ...'

.

Therefore. the unent) les+; of a orcumst.mres e.urroundmg the matter A When needed to protect the pubhc

violation may be ine.r*wd d 'ne h.enwc wdl not normally be cited for a health and safety or comrnon defene.ecircumstances surrourdirig ther matter f athere to report a conditnin or esent and secunty, escalatrd enforcerrattinvolve careless disaq.std of ueles,, the hcensee was actu.dly aware actica. such as the inuance of r.nrequirements decepuon. or eher of the wndition or event that it failed to immediately effectise order mcdifying.indu atmns of wdifulnm 'Ibe term report. A licensee will, on the other suspendmp. or retokmg a hcense, will ;

" willfulness ** as us.ed in thm p9hcy hand, normally be cited for a failure to be taken pnor to the enforcement '

embrates a apectrum of ut,t mns eport a condition or event if the conference. In these cases. anransmg from deliberve intent to violate hcenser knew of the information to be enforcement conference may be heldor falsify to and including c re.less reported. but did not recognize that it after the escalated enforcement actiorn isdisregard for requiremen's Wdifulness uas required to make a report, taken.does not include acts which do not rise

V. Eniorrement Conf erencesto the level of careless d.sregard. e g..inadvertent clerical errors in a document Whenever the NRC has learned of Ihe VI. Enforcement Actions ,

subnutted to the NRC. in determining i ustence of a potential violation for This section destnbes the

|n o'l |o w hich escalated enforcement actmn enforcement sanctions available to the'

n il u n itma) be wananted. or recunmS NRC and specihes the conditions underbe given to such factors as th+ position n ne nf rmance n the part of a vendor. w hich each may be used. The basicand responsibilities of the person the NRC will normally provide an sanctions are Notices of Violation. civilinvolved in the violation le g.. hcensee pportunity for an enforcement 5 penalties. and orders of various types. i

official' or non supervisory employeci c nference with the licensee, vendor. or E As discussed further in Section VI.D. |the significance of any underlymgE violation. the intent of the violator (i e..

other person prior to taking enforcement E related administratise mechanisms suchacti n. Although enforcement 3 as Notices of Nonconformance. NoticesE careless disregard or deliberateness).

4

E and the economic or other adsantage. if _ c ninences are not normally held for of Deviation. Confirmatory ActionE any. gained as a result of the uolation. fs Ses crity LevelIV vi lations. they may L.etters. letters of reprimand, and

,

m be scheduled if increased management Demands for Information are used toThe relative weight given to each ofthese factors in arrivmg at the E auennon is warranted e.g.. if the supplement the enforcement program. In

,

appropriate seventy level wdl be 3 nolations are repetitive.The purpose of selectmp the enforcement sanctions todependent on the circumstances of the tl'e enforcement coninence is to (1) be apphed. the NRC will consider

discuss the violations or enforcement actions taken by otherviolation. However, the severity level ofa willful seventy les el V violation will nonconformances. their sigmficance, the Federal or State regulatory bodiesbe increased to at least a ses enty level reason for their occurrence. including having concurrent jurisdiction, such asIV. the apparent root causes. and the in transportation matters. Usually,

licensee s or vendor s corrective act. ions, whenes er a violation of NRC( D. %olutions o_f fleporung flequrernens (2) determine whether there were any requirements is identified, enforcement

The NRC expects licensees to provide aggravating or mitigating circumstances. action is taken. The nature and extent ofcomplete. accurate. and timely and (3) obtain other information that the enforcement action is intended toinformation and reports. Accordingly, will help the NRC determine the reflect the seriousness of the violationunless otherwise categorized in the appropriate enforcement action. ins olved. For the vast majority ofSupplements. the severity les el of a During the enforcement conference. violations. a Notice of Violation or aviolation involving the failure to make a the licensee. vendor, or other person will Notice of Nonconformance is the normalrequired report to the NRC will be based be given an opportunity to provide enforcement action.upon the significance of and the information consistent with the purposecircumstances surrounding the matter of the conference. including anthat should have been reported. explanation to the NRC of theHowever, the seventy level of an immediate corrective actions (if any)untimely report, in contrast to no report. that were taken following identificationmay be reduced depending on the of the potential violation or

nonconformance and the long termcomprehensive actions that were takenor will be taken to prevent recurrence.Licensees. vendors, or other persons willbe told when a meeting is anenforcement conference. Enforcementconferences will not normally be opento the public.

' The seem "hcensee officiet" es used m thispohey statement mer no e first ime supervisor orabove, a hcensed mdividual a radiation seletyofheer. or en authortzed user of hcensed metenelwhether or not 1.sied un a hcense Notwithstandmgen andmdual's lob titie, seventy levelceteeor setson for willful acts involvm3 andmdualswho con be considered hcensee ofricials wall

! consider several factors, mcludmg the position ofthe mdmdual relative to the hcensee sorgentsat:enet strucevre and the andmovei'sresponsibd tees reletne to the oversight of hcensed

,

eenvities and to the use of hcensed metenet

'

2 79 August 31,1993 (reset)

.

PART 2 o RULES OF PRACTEE FOR DOMESTIC LICENSING PROCEEDINGS m.

| A.Noticeof Molation 1. Base Civil Penalty 2. Civil Penmity Adictment Factors| . A Notice of Violation le a written The NRC imposes different levels of in an effort to recognire and '

notice setting forth one or more penalties for different severity level encourage good performance. deter poorviolations of a legally binding uolations and different classes of perf<irmance, and emphmic siol.itionsrequirement.ne Notice of Violation hcensees. vendors. and other persons. of particular regulatory concern. thenormally requires the recipient to Tables 1 A and 1D show the base civil NRC reviews each propnsed civilprovide a written statement describing penalties for various reactor, fuel cycle. penalty on its own merits and. after

(1) the reasons for the violation or if materials. and vendor programs. (Civil considering all relevant circumstances.contested, the basis for disputing the penalties issued to individuals are may adjust the base civil penahtiesviolation;(2) corrective steps that have determined on a case by-case basis.) shown in Table 1 A and 1B for Ses enty

been taken and the results achieved. (3) The structure of these tables generally Level 1.11. and lil violations based on ancorrective steps that will be isken to takes into account the gravity of the assessment of the following civil penaltyprev:nt recurrence and (4) the date siolation as a primary consideration and adjustment factors. Civil penalties forwhen full compliance will be achieved. the abihty to pay as a secondary Severity LevelIV violations arehe NRC may require responses to considera tion. Generally. opera tions normally proposed at the base values

Notices of V6olation to be under oath. involving greater nuclear material identified in the tables withoutNormally, responses under oath will be inventories and greater potential assessing the civil penalty adiustment

reqrired only in connection with civil consequences to the public and licensee factors.

pen:lties and orders. emplo) ees receive higher civil penalties. While management invoh ement.Regarding the secondary factor of direct or indirect. in a violation may

He NRC uses the Notice of Violation ability of various classes of hcensees to lead to an increase in the c:vil penalty.es the usual method for formalizing the P"F 'he civil penalties. it is not the the lack of management ins olvementexistence of a violation. Issuance of a s ictention that the economic may not be used to mitigate a enilN:tice of Violation is normally the only $ 'NRC.mPact of a civd penalty be so severe g penahy. Allowing mitigation in the lattercnf:rcement action taken, except in g

g (that it puts a licensee out of busmesse case wuld encourage lack of

cas:s where the criteria for issuance of orders, rather than civil penalties, are E manage.cnt insolvement ie. ticensedmcivil penalties and orders, as set forth in used w hen the mtent is to suspend or g activitias and a decrease ir proicction ofSections VI.D and VI.C. respectively, are

terminate licensed activities) or the pubhc health and safety.m:t. However, special circumstances adversely affects a licensee's abihty to (a!idents/scorson. The purposes of thisreg:rdmg the violation findings may safely c nduct hcensed activities.The factor is to encourage hcen! to

I wart:nt discretion being exercised such deterrent effect of civil penalties is best momtor, supervise. and audit activities| th:t the NRC refrains from issuing a

served when the amounts of the in order to assure safety ardNotice of Violation. (See Section Vll.D. pnahics take into account a hcensee,s comphance. Therefore, the base civil

% " Mitigation of Enforcement Sanctions.") abilit) to pay., In determining the penalty shown in Tables 1 A and 1B may* In cddition. licensees are not ordinarily ,

arnount I ciul pnahies for hcenseas be mitigated up to 50% when a hcenseeE cited for violations resulting fromf r whom the tables do not reflect the identifies a violation and escalated up to i

E mitt:rs not within their control, such asabihty to pay, the NRC will consider as 50% if the NRC identifies a uclation.

equipment failures that were not necessary an increase or decrease on a The base civil penalty may also beevtidable by reasonable licensee case bs-case basis. Normally,if a mitigated up to 25% when a hcenseequ:lity assurance measures or license'e can demonstrate fmancial identifies a violation result:ng from aminigement controls. Generally, hardship, the NRC will consider self-disclosing event * where thehow:ver, bcensees are held responsible payments over time. including interest. heensee demonstrates init:ative in ;

I

|f:r the acts of their employees. rather than reducing the amount of the identifying the root cause of the I

- Accordin ly, this policy should not be civil penalty. However, where a licensee violation. In addition, the base ciul Iconstrue to excuse personnel errors. claims fmancial hardship. the hcensee penalty may also be mitigated where j

B.Crvi/Penohy will normally be required to address warranted if a hcensee identifies awhy it has sufficient resources to safely violation as a result ofits tesiew of a

th:1 may benalty is a monetary penaltyA civil c nduct hcensed activities and pay genene notification. While mitigation

,

!e imposed for violation of (1) license and inspection fees. under this factor is approp iate for a |certain specified licensing provisions of , " "U ' " ' " " ''""

| the Atomic Encrity Act or n t rep rted I the NRC. a separate| supplementary NRC rules or orders. (2)

cny requirement for which a hcense may issued for the I censee." "fa .are to make'" ''**"''CU""' ''' * " D

i

s '

be revoked; or (3) reporting the required report.requirements under section 200 of the

-

Energy Reorganization Act. Civilpen:Ities are designed to emphasire theneed forlastmg remedial action and todeter future violations both by the -involved licensee as well as by otherlicensees conducting similar activities.

Civil penalties are proposed (absentmitigating circumstances) for Severity . w ,,,,,.,,, g ,,g, ,,,,,. ,,,,,,,,3,,

j level I.11. and til violations. and may be pono . . ,m.ni . . . . n ,n, .. ., ,, ,..d,i,

, proposed for repetitive Severity LevelIV obsmus to hum.a ot>.ers.ima o mh.n.ui| viol:tions or for any willful violation. In **"va'a'*'*a mh " * *P'il af 9='d a a ac'"

| cddition. civil penalties will normally be d*"''"""'d',""*"dl""*'".".P"'""dotvmented m dosimetry repor* n nnuncatoressissed for knowing and conscious .t.rm o, , ,,.cio, irip

violations of the reportmg requirementsof s ction 200 of the EnergyReorganization Act.

November 30,1994 (reset) 2-80

. -

_

.

Iapp.CWDPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ..

. -

h(b) Corrective ochon. The purposes of incnnsistent with a licensee's notification. or (3) through other :'

this fator is to ent.ourage lir.cnsers to outstandingly good prior performance. reasonable indication of a potential

,- 11) take the immedi.ete ar.be,ns necessar) The base cini penalty may also be problem or violation, such as e

upon shscovery of a vmlatnen that will escalated by as much as 100% if the observations of employees and

restore safety and uimphane.c with the current nolation is reflecli<c of the contractors, and had failed to take

he.cnse. regulationhi. ,,r ot her licensee's poor or dechning prior effective corrective steps. Prior '

requirementbl. arul(21 develop and performance. Neither mitigation nor notification may include findings of the

implemeni(in a timely manner) the escalation may be appropriate based on NRC. the licensee, or industry made at

lastmg actions that will not only present this factor where a licensee's poor prior other facilities operated by the licensee

recurrence of the violation at issue, but performance appears to clearly be where it is reasonable to expect the

will be appropriately r.rsmprehensis c. improving. Prior performance, as used in licensee to take action to identify or

given the sigruficance and compteuly of this policy statement. refers to the prevent similar problems at the facihty

the violation, to prevent occurrence of licensee's performance normally (1) subject to the enforcement action at

similar violations. Therefore. the base within the last two years of the issue. In assessing this factor,

civil penalty shown m Tables 1 A and 1B inspection at issue, or (2) the period consideration will be given to. among

may be either mitigated or escalated by within the last two inspections. other things, the opportunities available

as much as MrE dependmg on the whichever is longer. In assessing the to discover the violation, the ease of

promptness and extensiveness of the licensee's prior performance, discovery, the similarity between the

hcensee's corrective action. In assessing consideration will be given 10. among violation and the notification, the period h

this factor. consideration will be gis en other things the effectiveness of of time between when the violation b

to. among other things. the timeliness of previous corrective action for similar occurred and when the notification was

the corrective action lincluding the problems. overall performance such as issued. the action taken (or planned) by

promptness in deseloping the schedule Systematic Assessment of Licensee the licensee in response to the

for long term correctne action). the Performance (SALP) evaluations for . notification, and the level of

$ degree of heensee initiative (i e . _ power reactors and the licensee's prior R management review that the notification,

E whether NRC involvement was required R enforcement history overall and in the * received (or should have received).

E before acceptable action was taken). the $ area of concern. including escalated and g Escalation of the civil penalty basedg adequacy of the hcensee's root cause ; non-escalated enforcement actions and e solely on prior notification is normally

analysis for the violation. and. given the e any enforcement actions that the NRCnot warranted where the licensee

exercised discretion and refrained from appropriately reviewed the notificationsigmficance and complexity of the issue.the comprehensiveness of the correctne issuing in accordance with Section for application to its activities and

*

action (i.e., whether the action is Vll.B. Notwithstanding good prior reasonable action was either taken or

focused narrowly to the specific performance, mitigation of the civil planned to be taken within a reasonable

violation or broadly to the general area penalty based on this factor is not time.

of concern). Notwithstanding good normally warranted where the current (e) Multiple occurrences. The purpose#

violation reflects a substantial decline in of this factor is to reflect the addedcomprehensive corrective action. if

performance that has occurred over the significance resulting from multipleimmediate correctise action was nottaken to restore safety and compliance time since the last NRC inspection. In occurrences of the violation.Therefore,

once the violation wa's identified.addition, this factor should not be the base rivil penalty shown in Tables

mitigation of the civil penalty based on applied for those cases where the 1 A and 1B may be escalated by as muchlicensee has not been in existence long as 100% where multiple examples of a

this factor will not normally beconsidered and escalation rnay be enough to establish a prior performance particular violation ere identified during

considered to address the licensee'sor inspection history. Similarly, the inspection period. Escalation of themitigation based on this f actor is not civil penalty based on this factor will

failure. normally appropriate where the area of normally be considered only when thereA civil penalty for notations intoh mg concern has not been previously are multiple examples of Severity Level

discrimination should normally only bemitigated if the brensee takes promb inspected, unless overall performance is I,!!. or til violations with the same root

comprehensive correctne action that (1i good- causes. Alternatively, separate civil

addresses the broader environment for(d) Prior opportunity to identify. The penalties may be imposed for each

reming safety concerns in the work place, and purpose of this factor is to encourage violation. |

(2) provides a remeds for the particular bcensees to take effective action in (f) Duration. The purpose of this factor |

dacnmination at issue response to opportunities to identify or is to recognize the added significanceprevent problems or viohtions. associated with those violations (or the~

Therefore, the base civil penalty shown impact of those violations) that continue-

(c) Licensee performance. The in Tables 1 A and 1B may be escalated

purpose of this factor is to recogmre and by as much as 100% for cases where thelicensee should have identified the

;;; encourage good or improving bcensee violation sooner as a result of priorg performance and to recognize and deter opportunities, such as (1) through% poor or declining performance.cr

Therefore. the base civil penalty shown normel surveillances, audits. or quality

* in Tables 1 A and IB may be mitigated assurance (QA) activities: (2) through *

by as much as 100% if the current pnor notice i e specific NRC or industry

violation is an isolated failure that is

2-81 November 30,1994

.

_-

.

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS .. . 4P M

.

or teen.no une enret ted fe,r anore than one The e sul grnally ailimtment f.n.te,rs normall.s the unh adr. inn.nt f...J.,r s .day. Ilmselure whcthes <>r mit .e presented in paragraphs (a) Ihren.uh iff s ha , w ,il t ,,. <,,e s,,j, .,e. .y b,,,.r Leelaennee is aware or e le orh sheeshi has e are aihhmc Ilowetet,in no muta."" teul p. n.dts mi! le.. i.i. tdv aton. n.1been uware i,I a s n.hitnes. the lesse i sul sull a eml penalty lur ans e,ee s toi tsen , , rreotn e. o tii n f..e I. * In .nMisie,n as.

perialts sin,wn in 1al.l.. 1 A rul .It ni.is ' se a cil MNim In r d.:v. p,,,,,, led in 'we ' ...n VI' ' I .mer e.isi ..fhe aw. lated in as rua,.h as im . !" %t mth tan.hns the appia...tm.i n! 'h. 5. Deu.tet.n - ' dn. . tee: - atle..e rrosedre Ilect the ad led Icthn.e..el and/or . .s .1 penalt.s ad minmnt f.n.' ors a riot <. l.3 ett hes .,e ..l.. t.nu <e utigatmu slo

'

irtitulatory s.gntin.ume sesultene ham the penalti will mermall.s he propeesed n: an E .cnnunt e the e sul p. Nit) arrsued ..tviolation or the impae i e,f it rom..nnne ;;; amoun' of at least 'str". of the base vobee ,', iter upph mg 'ne r.su. ,menaittunesarrette:1 fue more than one dar. Ihn ';; in Tal,les I A and Ifl for Seserit3 e seiI adjusimi tit f act.us to e mure that thelkr. tor 09.4d normally be apph d m g ..nt' !! s u.tatinns imohing sne. posed i sul ; en.W. eflee.ts the.

azscs insohing paren.ularly salets m eresposures reh ase nf rado .n.tsu- MCs s em ern . uar.r.r e 'he unl..tinr. ..te-

signifn:ar.1 s ndations to where a ' m.tterial nr low of radown.tn e matereal is ue ural ; hat e . .nu : s the apptopriais#'

s?gnilmant regulatary message a to rmph. ewe to the be.cnwe the mess ee t. the h ens.warranted. h ben nf ese alatins the sui seriennness with whi..h the NRC vompennity Inised on thee. Im. int, the Nim these es ents and the importante v.fena) impose dail) tiul pcroltes for i nndue tmg brensed activities in aviolatinns that contmue for more than manner to avoid these unlat nns. Inene day. (See Settson Vll.A.3. "D.cl> considering rme.gation fair shese ruses.Civil Penalties ")

TADLE 1 A-DAst Civil PENALTIES- . . . - - .-- - . - - . . _ . _ . . - . - _ . . . . . . - - - - . . . . . . - ..- -

Piant opt.raiens '''# " ' #'-

( $4 egua'OsConstruchon. heette i3,,, m, .. ,, 3 . , p, g g,,ng.,, 9,y physics and E P

g,,..,,,i segs .u

E a Powse #*artors . $100 000 5100 0 % 510* |00 550%ti Teet teacacts .. , . t0 000 to tm * * ;30 20%c Moseesch teactors and entscal facihtes ...

.

5 000 5 000 4 ?OO 10'Md Fuel fatnicaiors and .ruk,6Wei processors * 25.000 100 000 2? 000 5 00C3. hans and Uranium corwerten lacartes 10.000 - ? ;00 2 000t iniksseret users 0 malereis 8 and contractors and vendes to 000 - 5 ~CO 2 %0

8

g Weste deposai heenneet .. 10 000 - i ;0C 2 300

,

h Acadovs or medical mshiue nsa .. 5.000 - i 500 1 003e! 4 indspondent spent hsei and moratored renewade stosage estalia-

hone - ,

i Oiner metenes hcensees .. -. . . . 25 000 100 000 25 000 5 000

1.000 - 2 500 1 000

8 includes eradiated fust high ieval waste. urunad ated fissne maiores. and any c.her quanhees teover.rq Type B pa:maging_ - - - _

* Inciudes now epocifsc schwiry waste IL5a). som seves waste. Trpe A packages. and eiicopied esantines and articles* Large firme engaged an manu9acturmg or destribuhc,n of byptorsuct. source or specei nucioar materet* fles amount reiers to Category 1 hcensees las det.ned in to CFR 73 2) Lacensed fuel tatmcators not e,it v;teec to possess Category 1 a' era. have a testamount of $50.000* andustnal radiog'apners. *iuciear pharmaces. and other enduswei users* Ties appnos to norwoeii mitausens noi etnerw.se ca:egorued unde, seci.ons r 'hrougn "e" a th's table sad * cue auc* se :es

TAatt 18-BASE Civil PENALTits

Seventy Loved~ ease Cevd Penafty Amount

gp , cent or amount hsted iniable t A)

-

| 100m soO 50fV 15

August 31,1993 (reset) 2-82 !

-- - -

,, ,

PART 2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS m*

.

comply with requirements where such for not taking the action as proposed.C On/e" failure is not willful and adequate the licensee will ordinarily be afforded

An order is a written NRC directive to corrective action has been taken. an opportunity to show why the order ;

modify. suspend or revoke a hcense; to (3) Revocation Orders raay be used: should not be issued in the proposed i

cease and desist froni a giveyractice (a) When a licensee is unable or manner by way of a Demand for |Ior activity; or to take such other action unwilling to comply with NRC Information. (See to CFR 2.204)

as may be proper (see 10 CFR 2.202). requirements:Orders may also be issued in lieu of. or (b) When a licensee refuses to correct

D. Related Admimstmfive Actions..

in addition to. civil penalties, as a violation: In addition to the formal enforcement 1

appropriate for Severity Level 1.11. or 111 (c) When licensee does not respond to mechanisms of Notices of Violation,violations. Orders may be issued as a Notice of Violation where a response c vil penalties, and orders, the NRC alsofollows: was required; uses administrative mechanisms, such

(1) License Modification orders are (d) When a licensee refuses to pay an as Notices of Deviation. Notices ofissued when some change m licensee applicable fee under the Commission's Nonconformance. Confirmatory Actionequipment, procedures. personnel, or regulations; or Letters, letters of reprimand, andmanagement controls is necessa ry. (e) For any other reason for which Demands for information to supplement

(2) Suspension Orders may be used: revocation is authorized under section its enforcement program.The NRC'

(a) To remove a threat to the public 186 of the Atomic Energy Act (e.g., any expects licensees and vendors to adhere.- health and safety, common defense and condition which would warrant refusal to any obligations and commitments[ security, or the ensironment; of a license on an original application). resulting from these processes and v illg (b) To stop facility construction when. (4) Cease and Desist Orders may be not hesitate to issue appropriate orders

(i) Further work could preclude or used 12 stop an unauthorized activity to ensure that these obligations andsignificantly hinder the identification or that has continued after notification by commitments are met.correction of an improperly constructed NRC that the activity is unauthorized. Esafety.related system or component: or R (5) Orders to unlicensed persons, g (1) Notices of Deviation are written

(ii) The licensee's quahty assurance E including vendors and contractors, and E notices describing a licensee e failure,toprograrn implementation is not adequate ' employees of any of them, are used * sadsfy a commitment where the

* commitment m, volved has not beento provide confidence that construction E when the NRC has identified deliberatemade a legally binding requirement. Aactivities are being properly carried out; misconduct that may cause a licensee to Notice of Deviation requests a licensee

(c) When the licensee has not be in violation of an NRC requirement orto provide a written explanation orresponded adequately to other where incomplete or inaccurate

enforcement action: information is deliberately submitted or statement describmg corrective stepstaken (or planned), the results achieved,

(d) When the licensee interferes with where the NRC loses its reasonable and the date when corrective action willthe conduct of an inspection or assurance that the licensee will meetinvestigation; or NRC requirements with that person . be completed.

(e) For any reason not mentions 1 involved in licensed activities. (2) Notices of Nonconformance areabove for which license revocation is Unless a separate response is written notices describing vendor's >

legally authorized. warranted pt.rsuant to 10 CFR 2.201, a failures to meet commitments whichSuspensions may apply to all or part Notice of Violation need not be issued have not been made legally 1,inding

of the licensed activity.Ordmarily, a where an order is based on violations requirements by NRC. An e . ample is alicensed activity is not suspended (not is described in the order. The violations commitmenM in a tr#:urementa suspension prolonged) for failure to described in an order need not be contract with a licensee as required by

entegorized by severity level. 10 CFR part 50. appendix D. Notices of

Orders are made effective Nonconformances request non-licensees

unediately, without prior opportunity to provide written explans tions orior hearing, whenever it is determined statements describing con ective steps

,

that the public health. interest. or safety (taken or planned), the results achieved.so requires, or when the order is the dates when corrective actions willresponding to a violation involving be completed. and measures taken towillfulness. Otherwise. a prior preclude recurrence.opportunity for a hearing on the order is (3) Confirmatory Action Lettersafforded. For cases in which the NRC (CALs) are letters confirming abelieves a basis could reasonably exist licensee *s or vendor's agreement to take

.

2-83 August 31,1993 (reset)

.

_. - _-

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

.

certain actions to remove significant to be of significant regulatory concern. If adjusted civil &cnalty to ensure that tht.Concerns about health and safety, the application of the normal guidance proposed civil penalty reflects thesafeguards. or the environment. in this policy does not provide an NRC's concern regarding the violation e-

(4)istlers of reprimand are letters appropriate sanction. or if particularly issue and that it conveys the appropriateaddressed to individuals subject to serious violations oc:ur, such as in message to the licensee. In addition toComtnission jurisdic. tion identif>ing a cases involving willfulness, repeated the approval of the appropriate Deput)significant deficiency in their poor performance in an area of concern. Executive Director, consultation withperformance of hcensed activities. or serious breakdowns in management the Commission is required if the

(5) Demands for Information are controls, the NRC may apply iM full deviation in the amount of the civildemands for information from licensees enforcement authority where the action penalty proposed under this discretionor other persons for the purpose of is warranted. NRC action may include from the amount of the civil penaltyenabling NRC to determ'ne whether an (1) escalating civil penalties. (2) issuing assessed under the normal process isorder or other enforcement action appropriate orders, and (3) assessm? E more than two times the base civilshould be issued. g civil penalties for continuing violations * penalty shown in Tables 1 A and 18.VII. Exercise of Discretion on a p sis up sa on (2) Orders. The NRC will, where

. y,Nntwithsta.sdmg the normal guidance * "#''''* '' ' " "* "I""'N "(1) Civi/penohles. Notwithstanding

contained in thn so,licy. the NRC may the outcome of the normal civil penalty with civil penalties to achieve or*

choose to exercise escretion and e4ner I rmalize c trective actions and to deterassessment process (i.e.. base civilescalate or mitigate entorocinen' . penalty adjusted based on application of furdier recumnce of seious vWaHons.sanctions within the Commission s the civil penalty adjustment factors Examples of enforcement actions that

g statutory authority to ensure that the addressed in Section VI.8). with the c uld be taken for similar Severity Level,,, resulting enforcement actiong appropriately reflects the level of NRC approval of the appropriate Deputy 1.11 : !!! violations are set forth in

, Executive Director and consultation "able 2. The actual progression to beg concern regarding the violation at issue with the EDO as warranted. the NRC used in a particular case will depend on

and conveys the appropriate message tmay exercise discretion by either the circumstances. Enforcement* ' * " " ' 'proposing a civil penalty where sanctions will normally escalate for

A. Escalation of Enforcement Sanctions application of the factors would recurrhig similar violations.The NRC considers violations otherwise result m zero penalty or by

categoriwd at Severity Les el 1. II. or !!! further escalating the amount of the

TABLE 2.-EXAMPLES OF PROGRESSION OF ESCALATED ENFORCEMENT ACTIONS FOR SIMILAR VIOLATIONS IN THE SAME ACTIVITYAREA UNDER THE SAME LICENSE t

! Number of e rratar notations from the date of the; last inspecten or wittun the pronous two years

Seventy of Venataon twtuchever penod a greater),

It st ! 2nd 3rd

i'4

- a+c a+b+c dR . , - . . . - ai s+b+c a+b+cIN - . . - at a+c a*b

m se.va pen nsac vtt Suspennen of attected operataons unos the Othce Ovector as setafsed that there e reasonoble assurance that the hcensee can operate an comphance entf' the

appseta rewrements. or mooascaten e tne icenu. as appropnaiec. consoor . suing an ord.t for moathcaion, susp.nson, or revocaion oe ine ac.nw. n appropree, in,ougn use or a oemend for informa=ne Further octon, as appeopnate

August 31,1993 (reset) 2-84

, .. . _ . _ .

.

App. C(Vil) App. C(VII) <

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS... '

,

l

(3) Dody cm/penchies. In order to (b)It was or will be corrected within a (3| Violations identified During ;

recogmze the added technical safety reasonable time. by specific corrective Extended Shutdowns or Worksigmficance or regulatory signihcance action committed to by the hcensee by Stoppages.The NRC may refrain fromfor those cases where a vc y strong the end of the inspection. includmg issumg a Notice of Violation or amessage is warranted for a significant 'mmediate corrective action and proposed civil penalty for a violationsiolatmn that contmues for more than comprehensive corrective action to that is identified after (i) the NRC hasone day. the NRC may esercise P'" vent recurrence: taken significant enforcement action

(c)It was not a willful violanem. based upon a major safety eventdiscretion and assess a separateviolation and attendant civil penalty up it,12) L censee Identihed Seventy I evel

contributing to an extended shutdown ofand V Vmlations.The NRC may an operating reactor or a materialto the statutory hmit of $100.000 for each re rain r m ssuing a Notice of licensee (or a work stoppage at a

day the siolation contmues. The NRC Violation for a Severity Level IV or V construction site), or (ii) the licenseemay exercise this discretion if a licensee uolation that is documented in an enters an extended shutdown or workwas aware or clearly should have been inspection report (or official field notes stoppage related to generally pooraware of a violation, or if the hcensee for some material cases) provided that performance over a long period of time.had an opportunity to identify and the inspection report includes a brief provided that the violation iscorrect the violation but failed to do so. description of the corrective sciion and ' documented in an inspection report (or

that the violation meets all of the official field notes for some materialfollowing criteria: cases) and that it meets all of the

B Mdisation of fnforcement Sanctions (a) It was identified by the hcensee. following criteria:including as a result of a self. disclosing (a) It was either licensee identified as

Because the NRC wants to encourage es ent; a result of a comprehensive program forand support licensee initiaine for self Ib)It was not a violation that could problem identification and correctionidentification and correction of reasonably be expected to hat e been that was developed in response to theproblems. the NRC may exercise prevented by the licensee's corrective shutdown or identified as a result of andiscretion and refrain from issums a action for a previous violation or a employee allegation to the licensee:(if

. civil penalty and/or issuing a Notice of previous hcensee fmdmg that occurred the NRC identifies the violation and allR Violation under certain circumstances, within the past two years of the of the other criteric are met, the NRC$ in addition, while the NRC may exercise inspection at issue. or the period within should determine whether enforcement7 this discretion for violations meeting the the last two inspections. whichever is action is necessary to achieve remedial* required criteria where the licensee . longer. . action, or if discretion may still be

failed to make a required report to the g (c)It was or will be corrected within a y appropriate.)(b)It is b,ased upon activities of theNRC. a separate enforcement action will p reasonable time. by specific corrective g

normally be issued for the licensee's ' action committed to by the licensee by licensee prior to the events leading to

( failure to make a required report. The 3 }he end f the inspection,includmg e the shutdewn:immediate corrective action and (c)It would not be categorized at a

circumstances under which this c mprehensive corrective action to severity level higher than Severity Leseldiscretion may be exercised are as prevent recurrence: !!;I0Il0*8 (d) It was not a willful violation or if it (d)It was not willful; and

was a willful violation; (e) The licensee's decision to restart(t) The information concerning the the plant requires NRC concurrence.

(1) Severity Level V Violations.The violation. if not required to be reported. (4) Violations involving Old Design

NRC may refrain from issuing a Notice was promptly provided to appropriate issues. The NRC may refrain from

of Violation for a Severity Level V NRC personnel. such as a resident proposing a civil penalty for a Severity

violation that is documented in an inspector or regional section or branch Level !! or III violation involving a pastchief; problem. such as in engineering, design.inspection report (or official field notes (ii)'I,he violation involved the acts of or installation. provided that thefor some material cases) provided thata low levelindividual(and not a violation is documented in an inspection

the inspectmn report includes a brief licensee fficial as defined m section report (or official field notes for somedescription of the corrective action and IV.C); material cases) that meludes athat the violation meets all of the (i i) The violation appears to be the description of the corrective action andfollowing criteria: isolated action of the employee without that it meets all of the following critena:

(a)It was not a violation that could management involvement and the (a)It was a licensee identified as areasonably be expected to have been violation was not caused by lack of result of a licensee's vol ntary formalprevented by the licensee's corrective management oversight as evidenced by initiative, such as a Safety Systemaction for a previous violation or a either a history of isolated willful Functional Inspection. Designprevious hcensee fmding that occurred violations or a lack of adequate audits Reconstitution Program. or otherwithin the past two years of the or supervision of employees; and prog:am that has a defined scope andinspection at issue. or the period within (iv) Significant remedial actian timetable end is being aggressivelythe last two inspections. whichever is commensurate with the circumstances implemente tlonger; was taken by the licensee such that it (b)It was or will be corrected.

demonstrated the seriousness of the includir g imi.,ediate corrective action ;

violation to other employws and and long term comprehensive correctiucontractors, thereby crer. ting a deterrent action to prevent recurrence, within aeffect within the licensee's organization. reasonable time following identificationWhile removal of the employee from (this action should involve expandingbeensed activities is not necessarily the initiative. as necessary. to identify

( required. substantial disciplmary acti- other failures caused by similar rootis expected. causes); and

2-85 August 31,1993 (reset)

t

PART 2 o RULES OF PRACTICE FOR DOMESTC LCENSING PROCEEDINGS...

!~ .(c)It was not hkely to be identifwd performente of the hcensee. and other

{(:ller the violation occ.urred) by routine reles ant circumstances. ini'luding any ht*t I:rdnn cnwnt ihm n ficm int ;

licensee efforts such as normal - that may have changed since the Ib(riminAm h 1:nfonsnnt sh= reteunsurveillance or quahty assurance (Q A) h siolation. providert prior notice has been m.n be escriimt Inr ih= rimiminon uncclivities, sr gn en the Commission. Thia discretion is w here a lun.cc ss ha without tir nmi for i

In addition. the NRC may refrain from A chpected to be exercised only where ge nnment intenrntion. identifies an issueissuing a Notice of Wolation for cases *" application of the normal guidance in of d''Crimi"'ti " and 88L'' pmmpt,that meet the above criteria provided the policy is unwurranled. '$P,'[,"$st 'Iibar

" ', dthe violation was caused by conduct e %

that le not reasonably linked to present- and the m etall work environment for raising

safety conenns. Similariv. enforcement mayperformance (normally. violations that not be warranted where a complaint is filedcre at least three years old o. violations with the Department of Labor (DOL) underoccurring during plant construction) and Section 211 of the Energy Reorganizadon Actthere had not been prior notice so that of 1994, as amended, but the hcensee settles

th> licensee should have reasonabl> the matter before the DOL makes an initialII"d''identified the violation earlier.This mna f w*I d '''''I*I"*'i*" '"d *dd"'''S th'envimnrnent Ahnnaduly, d acaercise of discretion is to place a m

premium on licensees imtiating efforta to finding of discrimination is made. the

identify and correct subtle violations licenen mar choose to settle the case beforethe evidentiary hearing begins in such cases.

th*t are not likely to be identified b) the NRC may exercise 6ts discrition not toroutine efforts before degraded safety take enforcement action when the licenseesystems are called upon to work. has addressed the overall work environment

(5) Violations identified Due to i r raising safety concerns and has publicizedpr2vious Escalated Enforcement Action. ;;; that a c mp.aint of discrimmation forThe NRC may refrain from issuing a g engaging in pr tected activity was made to

the DOL that the matter was settled to theN:tice of Violation or a proposed chil g s.n. faction of the emplovce Ithe terms of thepenalty for a violation that is iderdified g specinc sett.ement agree' ent need not bemefter the NRC has taken escalated posted), and that. if the DOL Ares Officecnforcement action for a Severity Les el found disct:mination, trie licensee has taken11 or til violation, provided that the acnon to positivelv reemphasize thatviolation is not umented in an inspection discriminat:on will not be tolerated

$ report (or official field notes for someSimilarly the NRC may refrain from taking-

m:terial cat,e:) that includes a '"I'''*'"'''""d'h''"'"''"I"*

g d:scription of the corrective sch.on and matter pror::ptly after a person comes to theNRC without going to the DOL Such

g th:1 it meets all o' the followmg cnteria: dncretion would normally not be exercised a(a)It was a licet seeidentifico 9s part in cases in w hich the hcen'see dc,es notof the conective at tion for the previous appropriate:y address the mere'l work

,

'

cocalated enforcement action; enuronme .t (e g., by using tsaining.(b)It has the samt or similar root ' Postings, reyised policies or procedures any

c:use as the violation for which r.ecessary c:sciplinary action. etc.. toEscalated enforcement action was comumca:e us policy agamst

d dncriminat nl r in cases that intoh e:(c)It does not substantially chanFe *!iegations of dncrimination as a result of

the safety afgnificance or the character prouding information directiv to the NRC.

ei the regulatory concern ansing out of al;eganons of dncrimination iaused by athe initial violation; and manager above first line supenisor

(consistent with current Enforcement Policv '

(d)It was or will be corrected. classificatic,n of Severity 12ve!I or 11~

including immediate corrective action violations). allegations of discrimmationcnd long term comprehensive corrective w here a hn:ory of findmgs of dacnminationcetion to prevent recurrence, within a iby the DOL or the NRC) or settlementsre:sonable time following identification. suggests a p ogrammanc rather than an

(6) Violations involving Special is lated dncrimination problem. orCircumstances. Notwithstanding the allegati ns f discnmination which appearcutcome of the normal civil penalty Particularly blatant or egregious

casessment process (ie base civil -

penalty adjusted based on application ofthe civil penalty adjustment factors icddressed in Section VI B) as providedin Section Ill. '' Responsibilities." thecppropriate Deputy Executive Directorm y reduce or refrain from issuing acivil penalty or a Notice of Violation fora Severity Level 11 or til violation basedon the merits of the case afterconsidering the guidance in thisat:tement of pohey and such factors asthe age of the violation, the sr.fetysignificance of the violatioc, the os erall

November 30.1994 2-86,

. _ . _ _ _ _ _ _ _ _ _ _ _ .a

_

_ _ _ _

,

.w"'App,C(V10 App.C(Vil) ;

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS-.

:,

L |-

|. 'lm. . .

does est provide a estety benent er may,inC Esercise of Ascrossen for en Operotingfacihty - fact. be detrimental to eefety le the particular *

|

'*

P ant "a=**% Bearcleing esinrcementlOs ="ada=, circuenstamme sesy erw 'where e licenses *e esapliance with a discrettee for pleets attempting to etertup le |

'r ' ; Tw.br.ical*

(TS)1.Amauss .less liksly thee seesclelag it for en operating !

P ent, as simpi deleyleg startup does notlCondation for er with other licensecondelions levolve en tenseonesery usually leave pleet la e esedition in

plant treesiset er '- - oftestieg, which it could superleece tsadesirabler transiente. In such cases, the Comminion

sospsanos, er system seeligneeset that is ."i - - jets with the speciAc pleet would esped that discreties would be- b, erAditlIIas,or useenessary deleys la plant esercised with suspect to equipment or 2

startup without a corresponding beenth med systano cely whee it has et least concluded

eefety bemeSt. le these ciscumetences, the that, entwithetending the condit6one of the ,

'

Mtc staff may choses est to enforce the license:(1)no t er system does *

applicable T5 or other licones condition, no(perform a esfoty son in the mode inTMs enforcement diamotion will only be which operation la to eczur; (2) the selety ,

esorcised if the NitC etelf is clearly setiened function performed by the equipment or ;

that the acties le onesisteet with protecting system le of only maf5 nel esfoty benefit,L

the public beelth and selety. A licensee ided le the curuset madeseeking the esercise of esforcement themah of as ==- y

tdiscretion must provide a writtee plaat treesleet; or (3) the TS or other license- justification,er le circymatences where good condition requires a test,laspection or

cause la abown, eral justification followed as system reallspenent that is inappropriate for8 soon as possible by written lusti6 cation, %, the particular plant conditions in that it done

,

i

not ide e selety benefit, or moy,in fact,y which docanneels the safety basis for thea

uses med psovides whatever other y be tal to esfoty in the particularE in ice the NitC staff deems necessary in u. plant condition.$ making a de teios on whether or not to $ ne decision to esercise enforcement

exercise ento coment discretion. discretion does eat change the fact that aThe appropnene Regional Administrator,or violation will occur ear does it imply that

ins designes, sesy esercise discretion where enforcement discretion le belag exercised forthe noncompliance is temporary and any violation that may beve lec to thenonsecurring when en amendment is not violation et leeue. In each case where thepractical.The Director. Office of Nuclear NRC staff has chosen to esercise enforcement i

*

Reactor Reguhaian or his deelspoo, may discretion, enforceaset action will normally 'esercise discretion if the expected be taken for the soot muses. to the extentnoncompliance will occur during the brief violations were involved, that led to the

'

per6od of time it sequires the NRC steft to noncompliance for which enforcementI process en or salgent license discretion was used. The soforcenant.ection -

amendment the provisions of to CF1t le intended to empbasies that licensees ,

$0.911eX6) er (4). The person esercielag should not rely on the NitC's authority to .'

enforament discretion will document the exercise enforcement discretion as a routinedecision. eubstitute for compliance or for requesting a

For en operating plant, this emerciso of license amendment.enforcement discretion le intended to Finally,it le expected that the NRC sie!Yminimies the potential eefety consequences will eurcise soforcement discretion in Ibis =

of unnecessary plant transients with the eres infrequently. Although a plant must shut ,

!eccompanying operational risks and impacts down, refueling activitin may be suspended.or to eluniente teetleg lospection, or systern or plant startup may be delayed, ebeent therealignment which le inappropriate for the exercise of enforcement discretion, the NRC

particular plant conditions. For plants la e staff is under no obligation to take such e i

shutdown conditloa, esercising enforcement step merely beceues it has been requested

discretion is intended to reduce shutdown The decision to forego enforcement is

risk by, egene, avoiding testing. loopection or discretionary. Where enforcement discretionis to be sawcised, it is to be eserciwd onlysystem realignment which is inappropriate

for the particular plant conditions, in that,it if the NRC staff is clearly satisfwd that suchaction is warranted from a health and oefetyperspective. ,

__

|

I

!

I

i.

;

|!t

fI

tf

.;

'2-87 November 30,1994(reset)

:-

, _ _ .- ._ _ _. _

App.C(Vill) App. C(Vill) *|PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS- 1

!

.|I

* Inadvertently missing an * Dereliction of duty. I

insignificant procedural requirement * Falsifying records required by NRCw hen the action is routine, fairly regulations or by the facility license.uncomplicated. and there is no unusuisl * Willfully proudmg. or causing acircumstance indicating that the licensee to provide.an NRC inspector orprocedures should be referred to and im estigator with inaccurate orfollowed step-by-step, incompletc information on a matter

* Compliance with an express material to the NRC.direction of management such as the * Willfully withholding safety

'i

Shift Supervisor or Plant Manager, significant information rather thanresulted in a violation unless the making such information known to .

individual did not express his or her appropriate supersisory or technical-

Vill. Enforcement Actions involving concern or ob{ection to the direction. personnel in the licensee's organization.

ladividuals * Individual error directly resulting * Submitting false information and as ,

from following the technical advice of a result gaining unescorted access to aEnforcement actions invulving an espert unless the advise was clearly nuclear power plant.

Individuals. includint icensed unreasonable and the licensed * Willfully providing false data to a il -

operators, are signific.nl personnel individual should have recognized it as R licensee by a contractor or other person'

cctions, which will be closely controlled such. E who prosides test or other services. <

and ludiciously apphed An enforcement . Violations resulting from 7 when the data affects the lic-nsee's Icction involving an individual w ill inadequate procedures unless the * compliance with 10 CFR part 50. |normally be taken only when the NRC is individual used a faulty procedure appendix B. or other regulatory !

satisfied that the indnidual fullF knowing it was faulty and had not requirement. !understood, or should have understood. attempted to get the procedure * Willfully providing false j

his or her responsibility; knew, or should corrected. certification that components meet thehave known. the required actions: and Listed below are examples of requirements of their intended use, such

.

knowingly, or with careless disregard R situations which could result in as ASME Code.(i.e with more than mere negligencel y enforcement actions involving * Willfully supplying, by vendors of !failed to take required actions which equipment for transportation of

, have actual or potential safety a' mdividuals, licensed or unlicensed. If radioactive material, casks that do notthe actions described in these examplesp significance.Most transgressions of are taken by a licensed operator or comply with their certificates of* individuals at the level of Severity Level taken deliberately by an unlicensed compliance.E Ill. IV. or V violations will be handled ndividual. enforcement action may be * Willfully performing unauthorizeda by citing only the facility licensee. taken directly against the individual. bypassing of required reactor or other

More serious violations, including However. violations involving willful facility safety systems. Ithose involving the integrity of an conduct not amounting to debberate -

individual (e.g.. lying to the NRC) action by an unlicensed individualinconcerning matters within the scope of these situations may result inthe individual's responsibilities will be enforcement action against a hcenseeconsidered for enforcement action that may impact an individual.The ,

ag: inst the individual as well as against situations include, but are not limited to. . WillfuHy taking actions that violaic |the facility licensee. Action against the violations that involve: Tec hnical 5pecification Limit ing Conditions 1

individual, however, will not be taken if . Willfully causing a licensee to be in for Operstion or other license conditions

g (will not be den if that violadon de ayuhenforcement action for a willful violationthe improper action by the individual violation of NRC requirements.

w:s caused by management failures. . Willfully taking action that would 3 of acuon taken fonowing the NRC's decisionThe following examples of situations have caused a licensee to be in violation 'c to forego enforcement of the Technic Ic

ill: strate th t. NRC requirements bunhe action did 2 Specification or other license condition or ife inadve an nd viduat mistakes not do so because it was detected and the operator meets the requirernents of toresulting from m. adequate training or corrective action was taken- CFR SOM (m). Lo.. unless the operator acted '

guidance provided by the facihty . Recognizing a violation of unreasonably considering all the relevant |bcensee. procedural requirements and willfully circumstances surrounding the emergency I |

not taking corrective action. |""'

* Willfully defeating alarms whichIhave safety significance.

tlnauthorized abandoning of reactorcontrols.

November 30,1994 (reset) 2-88|

l,

. .

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROOEEDINGS. ...

5. The degree of supervision of the Examples of sanctions that may be~

in deciding whether to issue an individual. i.e how closely is the appropriate against individuals are;

enforcement action to an unlicensed individual monitored or audited. and the * Issuance of a letter of reprimand.

person rather than to the licensee. the likehhood of detection (such as a * lssuance of a Notice of Violation.NRC rer.ognizes that judgments will radiographer working independent y in andt

have to be made on a case by case the field as contrasted with a team * Issuance of Orders. .

Ibasis. In making these decisions, the activity at a power plant). Orders to NRC-licensed reactor

NRC will consider factors such as the 6 The employer's response, e.g.. operators may involve suspension for a i

[s following: disciplinary action taken. specified period. modification, or

1. The level of the individual within 7.The attitude of the wrongdoer. e.g.. revocation of theirindividuallicenses.a

E the organization. admission of wrongdoing. acceptance of Orders to unlicensed individuals might

E 2. The individual's training and responsibility, mclude provisions that would: i

expenence as well as knowledge of the 8. The degree of management * Prohibit involvement in NRC |

potentialconsequences of the responsibility or culpability, licensed activities for a specified period '

9. Who identified the misconduct. of time (normally the period of |wrongdoing. ;;;3. The safety consequences of the y Any proposed enforcement action suspension would not exceed five years)

misconduct. cc involving individuals must be issued or until certain conditions are satisfied.

4.The benefit to the wrongdoer, e.g.. I with the concurrence of the appropriate e.g., enmpleting specified training or

personal or corporate gain. * Deputy Executive Director.The meeting certain qualifications.,

Commission will be consulted prior to * Require notification to the NRCissuing a civil penalty or order to an before resuming work in licensedunlicensed individual or a civil penalty activities.to a licensed reactor operator. Pnor * Require the person to tell anotice will be given to the Commission prospective employer or customer

on Notices of Violation without civil engaged in licensed activities that thepenalties that are issued to unlicensed person has been subject to an NRC

individuals and enforcement actions order,

taken against other unlicensed persons, In the case of a licensed operator'ssuch es corporations or partnerships. . failure to meet applicable fitness.for-The particular sanction to be used !" duty requirements (10 CFR 55.53(j)) theshould be determined on a case.by-case * NRC may issue a Notice of Violation crbasis.a g a civil penalty to the Part 55 licensee. or

an order to suspend. modify, or revokee

the Part 55 license.These actions may .

be taken the first time a licensed( operator fails a drug or alcohol test. that

is, receives a confirmed positive testthat exceeds the cutoff levels of to CFRpart 26 or the facility licensee's cutofflevels. if lower. However. normally onlya Notice of Violation will be issued forthe first confirmed positive test in theabsence of aggravating circumstancessuch as errors in the performance of '

licensed duties or evidence of prolongeduse. In addition, the NRC intends toissue an order to suspend the Part 55license for up to three years the secondtime a licensed operator exceeds thosecutoff levels. in the event there are lessthan three years remaining in the term,

of the individual's license, the NRC mayconsider not renewing the individual'slicense or not issuing a new license afterthe three year period is completed.TheNRC intends to issue an order to revokethe Part 55 license the third time alicensed operator exceeds those cutofflevels. A licensed operator or applicantwho refuses to participate in the drugand alcohol testing programs

* Except for indmduals sabiect to cml penaluesunder section 206 of the Enersy Reorsonaation Act established by the facility licensee orof 1974. as amended. NRC wdl not normally imposea civil penalty agamet an mdividual Howeser.sechon 2M of the Atomic Enersy Act(AE.A) snesthe Commission authority to 6mpose cml penalbeson ''any person." " Person" is broadly de(med inSection 11s of the AEA to include indmduals, ai *

variety of organisations. and any representahves oragents This sives the Commission authc ity tosmpose civil penalties on employees et 1:censees oron separate enuhes when a violahon of arequirement directly 6mposed on them is commined

i2 89 Novernber 30,1994(roset) j

'

|.,

_ .

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

.

who is involved in the salc. use. or to such factors as (t) the degree of information became available or thepossession of an illegal drug is aim knowledge that the communicator advncement in technology was made.subject to hcense suspension. should have had, regarding the matter. the initial submittal was correctedrevocation, or denial. in view of his or her position. training. The failure to correct inaccurate or

in addition, the NRC ma.s take and experience. (2) the opportumty and incomplete information which theenforcement action against a licensee time available prior to the licensee does not identify as sigmfacantthat may impact an individual, where communication to assure the accuracy normally will not constitute a separatethe conduct of the individual places in or completeness of the information. (3) violation. liowever, the circumstancesquestion the NRC's reasonable the degree ofintent or neghgence,if any. surrounding the failure to correct maytoeurance that hcensed activities will be involved. (4) the formality of the

'

be considered relevant to theproperly conducted. The NRC may take communication. (5) the reasonableness determination of enforcement action forenforcement action for reasons that of NRC reliance on the information. (6) the initial inaccurate or incompletewould wanant refusal to issue a hcense the importance of the information which statement. For example. anen an original appbcation. Accordmgly, was wrong or not provided, and (7) the unintentionally inaccurate or incompletecppropriate enforcement actions may be reasonableness of the explanation for submission may be treated as a moretaker regardmg rnatters that raise issues not providing complete and accurate severe matter if the licensee latercfintegrity, corrpetence, htness for duty- information. ;;; determines that the initial submittal wasor other matters that may not Absent at least careless disregard. an S in error and does not correct it or ifnecessanly be a violation of specific incomplete or inaccurate unsworn oral E !here were clear opportunities toCommission requirements. statement normally will not be subject g identify the error ifinformation not

in the case of an unlicensed erson,to enforcement action unless it involves c rrected was recognized by a licensee

whether a firm or en individua . an order significant information provided by a as signihcant, a separate citation maymodifying the facility license may be licensee official. flowever, enforcement be made for the failure to provide

,issued to require (1) the removal of the action may be taken for an signmcant infonnaHon. In any egent, mperson from all hcensed activities for a senous cases where the licensee aunintentionally incomplete or inaccura tespecified period of time or mdefmitely* oral statement provided to the NRC by a 'CI5 "* '' " I C "'CII"8 0' P'U"idi"8(2) prior notice to the NRC before

. bcensee official or others on behalf of a inf nnaHon raise questi ns about itsutibzmg the person m licensed activities.

licensee. if a record was made of the c mmitment to safety or its fundamentalor (3) the licensee to provide notice ofthe issuance of such an order to other oral nformation and provided to the trustworthiness, the Commission may

licensee thereby permitting an exercise its authority to issue orders

g persons involved in hcensed activities - opportunity to conect the oral m difying, suspending, or revoking the. making reference inquiries In addition. R license. The Commission recognizes that

,

information, such as if a transcript of theg crders ,to employers might require y communication or meeting summary enf reement determinations must be3 retralmng, additional oversight, or

. b containing the error was made available made on a case-by-case bas,s, takingi

independent venfication of activities , ." to the licensee and was not int c niideration the issues describedperformed by the person. if the person is " ''C U "'to be involved in hcensed activities. subsequently corrected in a timely

manner.IX. Inaccurate and locomplete When a licensee has correctedInfeemation inaccurate or incomplete information.

A violation of the regulations the decision to issue a Notice ofinvolving submittal of incomplete and/ Violation for the initialinaccurate orer inaccurate information, whether or incomplete information normally will ben:t considered a material false dependent on the circumstances.

,

st:tement. can result in the full range of includmg the ease of detection of thesnforcement sanctions.The labelmg of a error, the timeliness of the correction. ,

communication failure as a material whether the NRC or the licensee '

filse statement will be made on a case. identified the problem with theby case basis and will be reserved for communication, and whether the NRCegregious violations. Violations relied on the information prior to theinvolving inaccurate or incomplete correction. Generally. if the matter wasinformation or the failure to provide promptly identified and corrected by thesignificant information identified by a hcensee prior to reliance by the NRC. orlicensee normally will be categorized before the NRC raised a question aboutb: sed on the guidance herein. in Section the information, no enforcement actionIV " Severity of Violations." and in will be taken for the initial inaccurate orSupplement VII. Incomplete information. On the other

,

1

The Commission recognizes that oral hand,if the misinformation is identifiediinformation may in some situations be after the NRC relies on it, or after some '

inherently less reliable than written question is raised regarding thesubmittals because of the absence of an accuracy of the information, then some9pportunity for reflection and enforcement action normally will bemanagement review. }{owever, the taken even if it is in fact corrected.Commission must be able to rely on oral However,if the initial submittal wascommunications from hcensee officials accurate when made but later turns outc:ncerning significant information. to be erroneous because of newlyTherefore.in determimng whether to discovered information or advance in1:ke enforcement action for an oral technology, a citation normally wouldstatement consideration may be given not be appropriate if, when the new

November 30,1994 (reset) 2-90i

l!

!

1- -

- . _ . . _ _ _

,

APP. C Supp.1PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ...

.

X. Enforcement Action Against Non. XI. Referrals to the Department of Supplement I-Reactor Operations*""'' I"'NC' This supplement provides examples of

The Commission's enforcement policy Alleged or suspected cnminal violations m each of the five severit>is also applicable to non-licensees. violations of the Atomic Energy Act levels as guidance in determining theincluding employees of bcensees. to (and of other relevant Federal laws) are appropriate severity lesel for violationscontractors and subcontractors, and to referred to the Department of lustice in the area of reactor operations.employees of contractors and (DOj) for investigation. Referral to the A. Severity Level /-Violationssubcontractors. who knowingly provide DOJ does not preclude the NRC from involving for example:components, equipment, or other goods taking other enforcement action under 1. A Safety Limit, as defined in to CFRor services that relate to a hcensee's this policy. However, enforcement 50.36 and the Technical Specificationsactivities subject to NRC regulation. The actions will be coordinated with the being exceeded;prohibitions and sanctions for any of DOJ in accordance with the 2. A system ' designed to prevent orthese persons who engage m dehberate Memorandum of Understanding mitigate a serious safety event not bemgmisconduct or submission of incomplete between the NRC and the DO). 53 FR able to perform its intended safetyor maccurate information are provided 50317 (December 14.1988). function '' when actually called upon toin the rule on dehberate misconduct. XII. Public Disclosure of Enforcement work-.e p to CFR 30.10 and 50.5 Acdons 1 An accMeMal cMcaW w

Vendors of products or services 4. A licensed operator at the controlsprovided for use in nuclear activities are Enforcement actions and licensees. f a nuclear reactor, w a seniw op ratasubject to certain requirements designed responses,in accordance with 10 CFR directmg licensed activities,invohed into ensure that the products or services 2.790. are publicly available for procedural errors which result in. orsupphed that could affect safety are of inspection. In addition, press releases exacerbate the consequences of an alerthigh quahty. Through procurement R are generally issued for orders and civil or higher level emergency and who. as acontracts with reactor hcensees. E penalties and are issued at the samesendors may be required to have quality & time the order or proposed imposition of g result of subsequent testing receives ae c nfirmed positive test result for drugsassurance programs that meet * the civil penalty is issued. In addition.

& appbcable requirements including to press releases are usually issued when a E or alcohol.E CFR part 50, appenda B. and to CFR proposed civil penalty is withdrawn or S . B. Severity Level //-Violations

mvolving for example:E pait 71. subpart H. Vendors supplying substantially mitigated by some amount.m products or services to reactor. Press releases are not normally issued 1. A system designed to prevent or

materials. and to CFR part 71 licensees for Notices of Violation that are not mitigate serious safety events not bemg

are subject to the requirements of 10 accompanied by orders or proposed civil able to perform its intended safetyfunction;

CFR part 21 regardmg reporting of penalties. ,

2. A licensed operator involved in the'defects in basic components. XIII. Reopening Closed Enforcement use, sale, or possession of illegal drugs( When inspections determine thatviolations of NRC requirements have or the consumption of alcoholic

,

Action 5

occurred.or that vendors have failed to if significant new information is beverages, within the protected area: or

fulfill contractual commitments (e g,10 received or obtained by NRC which 3. A licensed operator at the control of >

CFR part 50 appendix B) that could indicates that an enforcement sanction a nuclear reactor, or a senior operator

adversely affect the quality of a safety was incorrectly applied. consideration directing licensed activities. involved in

significant product or service, may be given. dependent on the procedural errors and who, as a result of

enforcement action will be taken. circumstancas. to reopening a closed subsequent testing. receives a confirmed

Notices of Violation and civil penalties enforcement action to increase or positive test result for drugs or alcohol.will be used, as appropriate, for heensee decrease the severity of a sanction or to C Seventy Level ///-Violationsfailures to ensure that their vendors correct the record. Reopening decisions involving for example:have programs that meet applicable will be made on a case-by-case basis. 1. A significant failure to comply withrequirements. Notices of Violation will are expected to occur rarely, and require the Action Statement for a Technicalbe issued for vendors that violate 10 the specific approval of the appropriate Specification Limiting Condition forCFR part 21. Civil penalties will be Deputy Executive Director. Operation where the appropriate actionimposed against individual directors or was not taken within the required time.

responsible officers of a sendor such as:organization who knowingly and (a)In a pressurized water reactor. mconsciously fail to provide the notice the applicable modes, having one high.required by 10 CFR 21.21(b)(1). Noticesof Nonconformance will be used forvendors which fail to meet commitmentsrelated to NRC actmties.

|'

* The term ' system" as used m thesesupplements. mcludes admmistratae andmanagenal control systems. as well as phpcisystems

''" Intended safety function" means the totalsafety function. and is not directed ioward a toss ofredundancy. A loss of one subsystem does notdefeat the mtended safety funciion as long as theother subsystem is operable

I1

l

|

2-91 November 30,1994 (reset) |1

- _ . -- . .

.App. C Supp. I App. C Supp.11

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~-.

pressure safety mjection pump D. Sererity //rel / V-Woi.imns Supplement Il-Part 50 Facilityinoperable for a period in escess of that involving for exampic: Constructionellowed by the action statement; or 1. A less significant failure to compff This supplement prosides exampin of(b)In a boshng water reactor, one with the Action Statement for a

+

uolations in each of the five sevengprimary r.nntainment isolation valve Technical Specification LimstmR in els as guidance m determining th.6noperable for a period in escess of that Condition for Operation where the appropnate severity level for violatanscllowed by the action statement. appropriate action was not taken withm. in the area of part 50 facihty2. A system designed to prevent or the required time, such as: construction. ;mitigste a serious safety es ent: (a)in a pressurized water reactor, a A. Seierity Lerel/-Violations '

(a) Not being able to perform its 5% deficiency in the required volume of involving structures or systems that are !~ notended function under certain g the condensate storage tank.or completed H in such a manner that theyconditions (e.g safety system not 2 (b)in a boiling water reactor, one would not have satisfied their intendedoperable unless offsite power is g subsystem of the two independent MSIV safety related purpose,ev llable; materials or components not g leakage control subsystems moperable. B. Sei enry Lere/ #-Violationsenvironmentally quahfied); or 2. A failure to meet the requirements involving for example:

(b) Being degraded to the estent that a of to CFR 50.59 that does not result in a 1. A breakdown in the Qualitydetailed evaluation would be required to Severity Level 1.11. or ill violation: Assurance (QA) program as esemphfieddetermine its operability (e g.. 3. A failure to meet regulatory by deficiencies in construction QAcomponent parameters outside requirements that have more than minor related to more than one work actnitycpproved limits such as pump flow safety or environmental sigruficance: or le g., structaral. piping. electrical,r:tes, heat exchanger transfer 4. A failure to make a required foundations). These deficiencies *

ch racteristics, safett vah e hft Licensee Event Report. normally involve the hcensee's failure tosetpoints. or valve st'roke times): E Seventy Level V-Violations that conduct adequate audits or to take

g 3.Insttentiveness to duty on the part have minor safety or enviror mental prompt corrective action on the bans of= oflicensed personnel. significance. g such audits and normally involveE 4. Changes in reactor parameters that = multiple examples of deficient2 cause unanticipated reductions in E construction or construction of unknown

m rgins of safety; y quality due to inadequate program5. A significant failure to meet the implementation; or

requirements of to CFR 50.59, including . A structure or system that is,

a f:llure such that a required license completed in such a manner that it couldemendment was not sought: have an adverse effect on the safel) of

"E"'""''D.L#"# ##~

6. A licensee failure to conductcdequate oversight of vendors resulting #" I'" "' 'in the use of products or services that inV Iving f f example:cre of defective or indeterminate quahtv 1. A deficiency in a licensee QA

- pr gram r c nstruction related to acnd that have safety significance:7. A breakdown in the control of single work activit) (e.g., structural.

lic:nsed activities involving a number of piping. electrical or foundations). Thisviolations that are related (or, if significant deficiency normally insch es ;

isolated, that are recurring siolations) the licensee's failure to conduct'

th:t collectively represent a potentially adequate audits or to take promptsignificant lack of attentmn or correctn e action on the basis of suchcarelessness toward licensed audits. and normally involves multipleresponsibilities: or examples of deficient construction or

a. A licensed operator's conbrmed construction of unknown quahty due topositive test for drugs or alcohol that inadequate program implementation.

does not result in a Severity Level 1 or 11 2. A failure to confirm the design I

violation- safety requirements of a structure orss stem as a result of inadequate

9. Equipment failures caused by p'reoperational test programin:dequate or improper maintenance implementation; orth:t substantially complicates recoveryfrom a plant transient.

!

l

" The term * completed ' as used an thissupplemer means complehen of conservclinincluding feview and acceptente in the '

'construchon QA orgamsahon

November 30,1994 (resel) 2-92

- -- - _ ._ _ . _ _ _ _ . . _ . _ _

_.

. i

App. CSupp.11 App. C Supp.111

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -..

!

3 A fel2re in make a requirrd to CFR C Seventy Level ///-Violaimna 8. A breakdown in the security, wsstr) emrt involving for exampic: program involvma a number of

D. Smrity /crcl tr-Violations 1. A failure or inability to control violations that are related (or. ifmvolving failure to meet regulatory access through established systems or isolated. that are recurring violatior.51requin ments including one or more prowdures. such that an unautherized that collectively reflect a potentiallyQuality Assurance Criterion not individualli.e.. not authorized significant lack of attention oramountmg to Severit,s level I. II. or 111 unescorted access to protected area) carelessness toward licensed 1

violations that has e more than minor could easily gain undetected access i* responsibilities. I

safety or environmental significance. into a vital area from outside the D. Severity Lere/ /V-Violations,

E Severity Les e/ P-Violations that protected area: involving for example: >

have minor safety or environmental 2. A failure to conduct any search at 1. A failure or inability to control i

significance. the access control point or conducting access such that an unauthorized I

an inadequate search that resulted in individual (i e., authorized to protec ed |

Supplement III-Safeguards the introduction to the protected area of area but not to vital areal could eas.ly |This supplement provides esamples of firearms, explosives, or incendian gain undetected access into a vital area |

violations in each of the five severity devices and reasonable facsimiles from inside the protected area or into alevels as guidance in determining the thereof that could significantly assist controlled access area:appropnate severity level for violations radiological sabotage or theft of 2. A failure to respond to a suspectedin the area of safeguards. strategic SNM: event in either a timely manner or with

A. Severity Les el /-Violations 3. A failure. degradation or other an adequate response force;involving for example: deficiency of the protected area 3. A failure to implement 10 CFR parts

1. An act of radiological sabotage in intrusion detection or alarm assessment 25 and 95 with respect to thewhich the security system did not systems such that an unauthorized information addressed under section 142function as required and. as a result of individual who represents a threat could of the Act, and the NRC approved

- the failure, there was a significant esent, predictably circumvent the system or security plan relevant to those parts:

h such as: defeat a specific zone with a high degree 4. A failure to make, maintain, or

g (a) A Safety Limit. as defmed in 10 of confidence without insider provide log entries in accordance withCFR 50.36 and the Technical - knowledge, or other significant 10 CFR 73.71 (c) and (d). where the

* Specifications was exceeded. $ degradation of overall system omitted information (i) is not othenvisea: capability: 5 available in easily retrievable records.(b) A system designed to prevent or

mitigate a serious safely event was not b 4. A significant failure of the e and (ii) significantly contributes to the !

able to perform its intended safety * safeguards systems designed or used to E ability of either the NRC or the licenseefunction when actually called upon to prevent or detect the theft, loss. or a to identify a programmatic breakdown:

f work: or diversion of strategic SNM: 5. A failure to conduct a proper searchn (c) An accidental criticality occurred: 5. A failure to protect or contr l at the access control point; ;

2. The theft. loss or diversion of a classified or t.afeguards informanon 6. A failure to propely secure orformula quantity '8 of special nuclear considered to be significant while the protect classified or safeguards

material (SNM): or information is outside the protected area information inside the protected area3. Actual unauthorized production of a and accessible to those not authorized which could assist an individual in an

formula quantity of SNM access to the protected area: act of radiological sabotage or theft of

B. Sei erity Level //-Violations 6. A significant failure to respond to strategic SNM where the informationan event either in sufficient time to was not removed from the protectedinvolving for example:

1.The entry of an unauthorized provide protection to vital equipment or area:individual 88 who represents a threat strategic SNM. or with an adequate 7. A failure to control access such that

into a sital area ** from outside the response force: an opportunity exists that could a!Iow

protected area; or 7. A failure to perform an appropriate unauthorized and undetected access

2.The theft. loss or diversion of SNM evaluation or background invesugation into the protected area but which wasso that information relevant to the neither easily or likely to be exploitable:of moderate strategic significance "inac:ess determination was not obtained 8. A failure to conduct an adequate |which the security system did not

function as required! or or considered and as a result a persoa search at the exit from a material access 1'

3. Actual unauthorized production of who would likely not have been granted area:

SNM. access by the licensee. if the required 9. A theft orloss of SNM of lowinvestigation or evaluation had been strategic significance that was notper%rmed, was granted acct.ss. or detected within the time period

specified in the security plan otherrelevant document, or regulation: or

10. Other violations that have more )a see w Crit 72 2 for the defmii on of -formula than minor safeguards significance. I

4"*"'d>"

,

E Severity Level V-Violations thata The ierm ~unavihorised mdiudvai' as used '" have minor safeguards significance.

this supplement means someone who was notauthorized for entrance inic the area m questeon. or

"

viol authorised to enter m the mannet entered" The phrase ''vetal aren ' as used m this

supplement mcludes utal areas and maienal ncessareas es in determmms whether access can :,e easil)

" See to CFR 73 2 for the defmnion of *special gamed. factors such as predictability. identifiability.nuclear maienal of moderate strateg< sign ficance " and ease of passase should be considere:!

111

1

2-93 November 30,1994 (reset) !

_ _ _ _ _ _ . - - v - - - _-.

.-- App,CSupp. IV.- App. C Supp. IV

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ...*

-

Supplement IV-Health Physics (to CFR Parasraphs A.-T., Sections 20.1001-20.2401, Port 30) (Reserwd 58 FR 6%57) F. Screrity Lerc/l-Violationsg involving for example:* This supplement provides cumples of 1. A radiation exposure during any-

- E violations m each of the Eve seserity levels year of a worker in excess of 25 rems3 as guidance in determining the appropriate total effective dose equivalent. 75 rems

severity level for violations in the area of to the lens of the eye. of 250 rads to thehealth phpics,10 CFR part 20" skin of the whole body, or to the feet.

ankles. hands or forearms, or to any --

other organ or tissue:2. A radiation exposure over the

gestation period of the embryo / fetus ofa declared pregnant woman in excess of2.5 rems total effective dose equivalent;

3. A radiation exposure during anyyear of a minorin excess of 2.5 remstotal effective dose equivalent. 7.5 remsto the lens of the eye. or 25 rems to theskin of the whole body, or to the feet.ankles, hands or forearms. or to anyother organ or tissue:

4. An annual exposure of a member of-

$ the public in excess of 1.0 rem totala effective dose equivalent:R 5. A release of radioactive material to'a an unrestricted area at concentrations in

excess of 50 times the limits for,

'

members of the public as described in 10CFR 20.1302(b)(2)(i): or

6. Disposal of licensed materialinquantities or concentrations in excess of10 times the limits of 10 CFR 20.2003.

C. Severity Leveill-Violationsinvolving for example: (

1. A radiation exposure during anyyear of a worker in excess of 10 remstotal effective dose equivalent. 30 remsto the lens of the eye. or too rems to theskin of the whole body. or to the feet.ankles. hands or forearms, or to anyother organ or tissue;

2. A radiation exposure over thegestation period of the embryo / fetus of-

a declared pregnant woman in excess of1.0 rem total effective dose equivalent:

,

1

|

I

.

.

.

'' Personnel overeuposures and assoc 6atedviolatione incurred durma a hie-sevmg or otheremersency response effort well be treated on a case.by<ase basis

se| Reserved 56 FR 67657 )

November 30,1994 (reset) 2-94

_ _

.e-App. C Supp. Y

App. C Supp. IV .

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ...s

3. A radiation exposure during any 7. A failure to make a 24 hour 3. A radiation dose rate in anyear of a minor in escess oil rem total notif cation required by 10 CFR unrestricted or controlled area in excesseffective dose equivalent: 3.0 rems to the 20.2202(b) or an immediate notification of 0.002 rem in any 1 hour (2 millirem /

lens of the eye. or 10 rems to the skin of required by 10 CFR 20 2201(al|1)(il; hour) or 50 millirems in a year;the whole body, or to the feet, ankles. 8. A substantial potential for 4. Failure to maintain and implementhands or forearms, or to any other organ exposures or releases in excess of the radiation programs to keep radiationor tissue; applicable limits in 10 CFR part 20 esposures as low as is reasonably

4. An annual exposure of a member of || 20.1001-20.2401 whether or not an achievable:the public in excess of 0.5 rem total exposure or release occurs: 5. Doses to a member of the pubhc in

effective dose equivalent: 9. Disposal of licensed material not excess of any EPA generally applicable5. A release of radioactive material to covered in Severity 14vels I or 11. environmental radiation standards. such

an unrestricted area at concentrations in 10. A release for unrestricted use of as 40 CFR part 190;excess of 10 times the limits for contaminated or radioactive material or 6. A failure to make the 30-daymembers of the public as described in 10 equipment that poses a realistic notification required by 10 CFR i

CFR 20.1302(b)(2)(i)(except when potential for exposure of the public to 20.2201(a)(1)(ii) or 20.2203(a): ||

operation up to 0.5 rem a year has been levels or doses exceeding the annual 7. A failure to make a timely writtenspproved by the Commission under dose limits for members of the public. or report as required by 10 CFR 20.2201[b).I 20.1301(c)); that reflects a programmatic (rather than 20.2204, or 20.2206; or

6. Disposal of licensed material in an isolated) weakness in the radiation 8. Any other raatter that has moreQuantities or concentrations in excess of control program; than a minor safety, health, orfive times the limits of to CFR 20.2003: 11. Conduct of licensee activities by a environmental significance,or technically unqualified person: /. Severity Level V-Violations that

7. A failure to make an immediate 12. A sigmficant failure to control are of a minor safety, health, ornotification as required by 10 CFR I censed material; or environmental significance.

,

20.2202 (a)(1) or (a)(2). 13. A breakdown m the radiation Supplernent V-Transportation11. Severity LevelIll-Violations safety program involving a number ofinvolving for example: - v olations that are related (or,if This supplement provides examples of

1. A r6diation exposure dur.ing any g isolated, that are recurring) that & violations in each of the five severityg year of a worker in excess of 5 rems y collectively represent a potentially E levels as guidance in determining the.

e total effeedve dose equivalent,15 rems Z significant lack of attention or E appropriate severity level for violations6 to the lens of the eye, or 50 rems to the * carelessness toward licensed M in the area of NRC transportatione skin of the whole body or to the feet. responsibilities. requirements l'.

ankles, hands or forearms. or to any 1. Seventy Leve/ It'-Violations A. Severity Leve/ I-Victationsother organ or tissue: involving for example: involving for example:i 2. A radiation exposure over the 1. Exposures in excess of the limits of 1. Failure to meet transportationgestation period of the embryo / fetus of to CFR 20.1201. 201207, or 20.1208 not requirements that resulted in loss ofa declared pregnant woman in excess of constituting Severity Level 1.11. or !!! control of radioactive material with a0.5 rem total effective dose equivalent v olations; breach in package integrity such that the(except when doses are in accordance 2. A release of radioactive material to material caused a radiation exposure towith the provisions of f 20.1208(d)): an unrestricted area at concentrations in a member of the public and there was

3. A radiation exposure during any excess of the hmits for members of the clear potential for the public to receiveyear of a minor in excess of 0.5 rem total public as referenced in to CFR more than .1 rem to the whole body;effective dose equivalent; 1.5 rems to the 20.1302[b)(2)(i)(except when operation 2. Surface contamination in excess oflens of the eye, or 5 rems to the skin of up to 0.5 rem a year has been approved 50 times the NRC limit; or

by the Commission under i 20.1301(c)); 3. External radiation levels in excesshands o forca s. or to an ther an of 10 times the NRC limit.

"##"7 # ~ "*4 orker exposure above inv Iving for example:

regulatory limits when such exposure 1. Failure to meet transport 3itionreflects a programmatic (rather than an requirements that resulted in loss ofisolated) weakness in the radiation control of radioactive material with ae ntt I program; breach n package integrity such that

5. An annual exposure of a member of there was a clear potential for thethe public in excess of 0.1 rem total member of the public to receive moreeffective dose equivalent (except when than .t rem to the whole body;operation up to 0.5 rem a year has been 2. Surface contamination in excess ofapproved by the Commission under to, but not more than 50 times the NRCl 20.1301(c)); limit-

6. A release of radioactive material t 3. htxternal radiation levels in excessan unrestricted area at concentrations in of five, but not more than 10 times theexcess of two times the effluent NRC limit; orconcentration limits referenced in 10CFR 20.1302(b)(2)(i)(except when " Some tran8Portahon nquuements are appbedoperation up to 0.5 rem a ycar has been io mo,, gh, on, hc.n.ee invoh ed in the sameapproved by the Commission under .et,vuy such . . shipper and e carner. when e

i 20.1301(c)).violat;on of such a requirement occurs. enforcementaction will be directed assinst the responsiblebcensee which. under the circumstances of the case,may be one or more of the hcensees invoked.

November 30,1994 (reset)2-95

.

= - - - - - - - . - - - - _ _ _ _ . - - . _ - _

App. CSupp. Y *

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS .pp. C Supp. VIA

a4. A fadure lo make required initial Supplernent VI-Fuel Cycle end -

notafu.ations associated with Severity Materiale Operations Ab a n n he on m.

LevelI or !! violations. gC Seventy Level ///-Violations This supplement provides esamples of

violations that are related for. ifinvolving for example: y,olations in each of the fne sesenty solated. that are recurnng violations)levels as guidance in determining the

that collectively represent a potentially1. Surf ace contamination in excess of appropriate severity level for siolations significant lack of attention orfive but not more than 1D times the NRC in the area of fuel cycle and materialsE carelessness toward licensedlimit;

operations. * responsibilities;2. External radiation in excess of one A. Seventy Level /-Violationsbut not more than five times the NRC involving for example. 7 8. A failure.during radiographichmit: 1. Radiation levels, contamination * operations. to have present or to use

3. Any noncompliance with labeling, levels, or releases that exceed to times radiographic equipment. radiationplacardmg. shippmg paper packaging. the limits specified in the license: survey instruments. and/or pe rsonnel

loadmg. or other requirements that could g 2. A system designed to present or monitoring devices as required by 10CFR part 34;rzasonably result in the fellowing: o mitigate a serious safety es ent not being

-(a) A significant failure to identify the $ operable when actually required totype, quantity or form of material; E perform its design function:

(b) A failure of the carrier or recipient 3. A nuclear criticahty accident; or ,

to exercise adequate controls; ar 4. A failure to follow the procedures of>_

y a g,, lure to submit an NkC Form 241 in(c) A substantial potential for either the quality management program.

personnel exposure or contamination required by i 35,32. that results m a .nordante with the requirements in 5150 20 '

of to CFR part 150.above regulatory limits or improper death or serious injury (e g.. substantial to A failure to receive required NRCtransfer of material; organ impairment) to a patient. .appmval prior to the implement,ition of.i

4. A failure to make required initial B. Severity Level //~ Violations change in licensed activities that has

notification associated with Severity involving for example: radiological or programmatic significance.Level !!! violations. or 1. Radiation levels, contamina tion such as a change in ownership; lack of an

levels, or releases that exceed fite times RSO or replacement of an RSO wnh an5. A breakdown in the licensee's the limits specified in the license; unquahfied individush a change in the~

g program for the transportation oI location where licensed activities are beinge licensed naterialinvolving a number of 2. A system designed to prevent or

2 conducted,or where licensed materialisa violations that are related (or, if mitigate a serious safety event being

$. meet safety guidelines; or a change in thebeing stomd where the new facilities do noinoperable; or

e isolated, that are recurring violations) o-

that collectively reflect a potentially I ' quantity or type of radioactive material beingsignificant lack of attention or ;; 3. A substantial programmatic failure $ proce,ssed or used that has radiological,3g,3 ;,,,c,; ,, ;carelessness toward licensed R in the implementation of the qualityresponsibilities. " management program required by 10 g g , g ,gg,;g;c,,, g,;3,,, go m,,,

D. Severity Level /V-Violations 7; CFR 35.32 that results in a decommissioning requirements induding afailure to notify the NRC es, required by

involving ior examp1e. * misadministration. regulation or license condition. substantial. L failure to meet decommissioning standards.1. A breach of package integrityfailure to conduct and/or completewithout external radiation levels -

exceeding the NRC limit or without C. Seventy Leve////-Viola tions decommissiumng activities in accordance

contamination levels exceeding five nv jving y r examp e with regulation or license condition. orj

times the NRC limits'. - I8iluf8 C n f I 8CC'85 I failure to meet requ red schedules without

2. Surface contamination in excess of licensed materials for radiation adequate justificahon.

but not more than five times the NRC purposes as specified by NRC -

limit; requirements;2. Possession or use of unauthorized3. A failure to register as an equipment or materials in the conduct of

cuthorized user of an NRC-Certified E licensee activities which degradesTransport package; safety;e

4. A noncompliance with shipping 6 3. Use of radioactive matenal onpapers, marking, labeling. placarding M humans where such use is notp:ckaging orloading not amounting to a authorized;Seventy level I. !! or 111 violation; 4. Conduct oflicensed activities by a

5. A fallare to demonstrate that technically unqualified person:packages for special form radioactive 5. Radiation levels, contamma tionmrterial meets applicable regulatory levels, or releases that exceed the limitsrequirements: specified in the license;

6. A failure to demonstrate that - )

7A Type A packages; or 6. Substantial failure to implement )packages meet DOT Specifications for

_ the quality management program as7. Other violations that have more ::; required by $ 35.32 that does not result

thin minor safety or environmental b in a misadministration; failure to reportalgnificance.E a misadministration; or programmatic

E. Severity Level V-Violations that g weakness in the implementation of theh:ve minor safety or environmental quality management program that ,

1significance._results in a misedministration.

November 30,1994 (reset) 2-96

1

_ - _ - _ _ - - - . - --!

pa-

App. C Supp. VI App. C Supp. VIIPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...

.

Supplement VII-f41scellaneous Matters B. Severity Level //-ViolationsU Serenty Lercl/V-Violations "* "8 ''*""

involving for esaniple: This supplement provides examples of 1. Inaccurate rinc mplete,

1. A failure to maintain patients violations in each of the five ses crity d E' "' Q1 behospitahzed who have coballa levels as guidance in determining the by a licen f

g cesium 437, or iridium 492 implants or to appropriate severity level for violatinns careless disregard for the completenesse conduct required leakage or involving miscellaneous matters. pr accuracy of the information. or (b) ifE contamination tests.or to use properly A. Severity Level 1-Violations the information. had it been completea cabbrated equipment: involving for example: and accurate at the time provided.likely

2. Other violations that have more 1. Inaccurate or incomplete would have resulted in regulatory actionthan minor safety or environmental information ** that is provided to the such as a show cause order or asignificance: or NRC (a) deliberately with the different regulatory position:

knowledge of a licensee official that the 2. Incomplete or inac' curate-

mformation is incomplete or inaccurate. information that the NRC requires be3. Failure to follow the quality or (b)if the information, had it been kept by a licensee which is (a)

management program, including complete and accurate at the time incomplete or inaccurate because ofprocedures, whether or not a provided. likely would have resulted in careless disregard for the accuracy ofmisadministration occurs, provided the regulatory action such as an immediate the information on the part of a licensee

St failures are isolated, do not demonstrate order required by the public health and official, or (b) if the information. had itC a programmatic weakness in the safety. E been complete and accurate whenE implementation of the QM program,and ;;; 2. Incomplete or inaccurate * reviewed by the NRC,likely would haveR have limited consequences if a e information that the NRC requires be E resulted in regulatory action such as a

misadministration is involved; failure to e kept by a licensee that is (a) incomplete e show cause order or a differentconduct the required program review; or % or inaccurate because of falsification by regulatory position:

failure to take corrective actions as or with the knowledge of a licensee 3. "Significant information identified*

required by 5 35.32; or official, or (b) if the information. had it by a licensee" and not provided to the

- been complete and accurate when Commission because of carelessreviewed by the NRC. likely would have disregard on the part of a licensee

.F . A failure to keep the records resulted in regulatory action such as an official:. 4 immediate order required by public 4. An action by plant management

5" required by ll 35.32 or 35.33 health and safety considerations: above first line supervision in violationE E. Seventy Lere/ V-Violations that 3. Information that the licensee has of 10 CFR 50.7 or similar regulationsR have minor safety or environmental identified as having significant against an employee;. signi7icance. implications for public health and safety 5. A failure to provide the notice

( or the common defense and security required by to CFR part 21:("significant information identified by a 6. A failure to remove an individuallicensee") and is deliberately withheld from unescorted access who has beenfrom the Commission; involved in the sale. use, or possession

4. Action by senior corporate of illegal drugs within the protected areamanagement in violation of 10 CFR 50.7 or take action for on duty misuse ofor similar regulations against an alcohol, prescription drugs. or over-the-

counter drugs;employee;5. A knowing and intentional failure -

to provide the notice required by 10 CFR _

part 21; or6. A failure to substantially implement > 7. A failure to take reasonable action when

observed behasior within the protected areathe required fitness for-duty program.: or credible information concerning activities

within the protected area indicates possible, unfitness for duty based on drug or alcoholcn use;

{ Employee Assistance Program (EAP) to notify8. A deliberate failure of the licensee's

a.' bcensee's management when {AP's staffisE aware that an individual's condition may

adversely affect safety related activitiesfor9. The failure of licensee management to

take eIfective action in corTecting a hostile** In applymg the examples in this supptement work environment.resordms maccurate or mcomplete mformanon and

records. reference should also t>e made to the -

guidance m Section IX. " inaccurate and incompleteInformauon " and to the defmition of " licenseeofricist" conismed m Section IV C.

s' The example for violations for fitness.for. dutyrelate to violations of 10 Cnt part 26

1

2 97 November 30,1994

_ _ ,_ _ .

.-

App. C Supp. VII App. C Supp. YlliPART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...

e-

- D. Severity LevelIV-Violations A. Severity Level 1-ViolationsC. Severity LevelIll-Violationsinvolvmg for example: involving for example: involving for example:

1 Incomplete or inaccurale 1. Incomplete or inaccurate in a general emergency. heenseeinformateon that is pro ided to the NRC information of more than minor failure to promptly (1) correctly classify(s) because of inadequate actions on the significance that is provided to the NRC the event. (2) make requiredpart of hcensee officials but not but not amounting to a Severity Level 1. notifications to responsible Federal.tmrunting to a Severity Le el I or 11 11. or til violation: State, and local agencies. or (3) respond

2. Information that the NRC requires to the event (e.g.. assess actual orvi:lation. or (b)if the information. had it ; be kept by a licensee and that isbeen complete and accurate at the time y potential offsite consequences. activateprovided,likely would have resulted in e incomplete or inaccurate and of more emergency response facilities, anda reconsideration of a regulatory b than minor significance but not augment shift staff.)position or substantial further inquiry * amounting to a Seventy Level 1. !!. or ill B. Severity Levell/-Violationssuch as an additionalinspection or a violation: involving for example:f rmal request for information: 3. An inadequate review or failure to in a site emergency. licensee failure to

2. Incomplete or inaccurate review under 10 CFR part 21 or other promptly (1) correctly classify the event.inf:rmation that the NRC requires be procedural violations associated with to (2) make required notifications tok:pt by a licensee that is (a) incomplete CFR part 21 with more than sninor safety responsible Federal. State, and local

significance:g (agencies or (3) respond to the eventor inaccurate because of inadequate

- g e g, assess a Nat or potential offsiteecti:ns on the part of licensee officials- e consequences, activate emergencybut not amounting to a Severity Level 1

4. Isolated failures to meet basic elemen:s $ response facilities, and augment shiftor il violation, or (b) if the informa tion.>f the fitness.for. duty program not involvingsta% orhsd it been complete and accurate when o

2. A licensee failure to meet orreviewed by the NRC likely would have E a severity LevelI. II.or I!! violation:- resulted in a reconsideration of a g 5. A failure to report acts of heen<ed implement one emergeng planningR regulatory position or substantial further operators or supervisors pursuant to to CFR standard mvolving assessment or

e3 r no if ation: o

f inquiry such as an additional inspection g26or a formal request for ,m ormation.

3. A failure to provide significan themselves, do not warrant a Severay Les el involving for example:information identified by a hcensee!. t !!! categor ration. In an alert. licensee failure to

promptly (1) correctly classify the event,th Commission and not amounting to a -

Sevsrity LevelI or !! violation: -

(2) make required notifications toresponsible Federal. State. and local4. An action by first line supervision E. Severity Level U-Violations agencies, or (3) respond to the event

in violation of to CFR 501 or similar involving for example: (e.g assess actual or potential offsitertgulations against an employee: 1. Incomplete or inaccurate consequences activate emergency5. An inadequate review or failure to information that is provided to the response facilities, and augment shift freviIw such that,if an appropriate Commission and the incompleteness or staff)-revizw had been made as required. a 10 inaccuracy is of minor significance: 2. A licensee failure to meet orCFR part 21 report would have been 2. Information that the NRC requires implement more than one emergencym:dx be kept by a licensee that is incomplete planning standard involving assessment

6. A failure to complete a suitable or inaccurate and the incompleteness or or notification.inquiry on the basis of to CFR part 26, inaccuracy is of minor significance: 3. A breakdown in the control ofkeep records concerning the denial of 3. Minor procedural requirements of licensed activities involving a number ofeccess. or respond to inquiries 10 CFR part 21: or violations that are related (or. Ifconcerning denials of access so that. as 4. Minor violations of fitness.for-duty isolated, that are recurring violations)e result of the f, allure, a person requirements- that collectively represent a potentiallypreviously demed access for fitness-for-

g Supplement Vill-F.mergency significant lack of attention orduty reasons was improperly granted g Preparedness carelessness toward licensed

A failure to take the required action k This supplement provides examples of '''[g",'f. ,'l$ vel /V-ViolationsIfor o person confirmed to have been * violations in each of the five severity involving for example: l

trated positive for illegal drug use or levels as guidance m determming the A licensee failure to meet or |t1ke action for onsite alcohol use: not appropriate severity level for violations implement any emergency planning |tmounting to a Severity Les el ]] in the area of emergency preparedness- standard or requirement not directlyviol: tion: It should be noted that citations . re not related to assessment and notification.

normally made for violations involvin! E. Severity Level V-Violations that-

emergency preparedness occurrin8 have minor safety or environmental-

> s. A tallure to assure, as required, that during emergency esercises. However- significance'contractors or vendors have an effective where exerches reveal (i) training. I~

procedural, or repetitive failures for'

re kdown t e fitness for dutywhich corrective actions have not been~p involving a number of violations of

ic elements of the fitness for-duty taken. (ii) an overall concern regardingithprogram that collectivelv reflect a signibcantthe licensee's ability to implement its |

E lack cf attention or care {essness towards plan in a manner that adequately$ meeting the objectives of to CFR 26.10. or protects public health and safety, or (iii)

13. Threats of discrimination or restrictive poor self critiques of the licensee's*

agreements which are violations under NRC exercises enforcement action may beregul:tions such as to CTR 501(fl appropriate.

i-

1;

November 30,1994 2-98

-. _ _ _ _ _ - . __

-

1

e \App. D App. D |PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS - |,,

*t

!1

-

Appendia D to Part 2 Schedule for the Proceeding on Application for ei Ucense To Receive and Process High-Level Medioactive Weste et a Geologic

"; #1iOperations Aree{;

osy | Reguanan gio crn) Ac6cn,

lj~~~

; 2101.1,s ). 2.105 text) ,.._ !6.~. a

30. .. . _.. . ; 21014(eh16 .. -.. Fedec618'ests*er P.obce of Heermo.

Pet.bo9 to etervene/reguest ler heerm0. */contanhons.g 2 71 SW .. . . ..~... Petson for stet.se se heereceed government perhcgent & Meerested government partcgent poetont60 . .J 210latt) Answere to mierwreen & mieressed gewsmmere pertcepent pettont70 - d 21021.. 1st Preteerrg CarWerence.

100.....- 1st Preheenng Conference Order, amonhfes perscapente in proceedng, ednues sentermore. and esteescovery enJ other schedulet ;

21018(b)(1). 2.1019 .. Depoenten escovery begre.'

110 ., 21015tt4 . . . . . . Appeem from ist Preheenng Conference Order w/bnofs |. - . . . .'

120 - .. ..J 2.101Ssc) . . . . . . . . . . . . Bre's in oppov.ron to appeelst50._ .j . . . _ . . . Comte.4sen orser ruhno on oppee:s from ist Preheenng Conference Order.648 .. . . . . . . NAC staff absues SER,5 78 . . ... q.2 *022..

, 000 . ... .-.. ... . . . . . 2nd Preheerint; Conference.

g!._ . . . . . . 2nd Pseneenng Conference Order, Snalcos asues for hearwig and eats schedue for pse hkM3 lashmony

andheermg3 6 tt ...er C28 .

. . . 21015M -- Appeels from treif Prerieenng Conference Order, w/bnefs.

b $$6 ..... 2. t 015,0) Snefs e oppoe bon to appealeL- . _ . .

$ 66C ... .. Commeseson oroer ruhrg on appeens from 2nd Prehearmg Conference Order.

.. . . . . . . . . . Last preetscobio date for motione for summary espoortiort

,

CS0 - Rep 6es to sees practostito sectone for ausemary sheposean.890. .

. _- . _ . . - .

Il Supp mio.. Decovery carsdeve

700 _.Prensdmg Oft.cer oroer on east prachcable anotons for surnmary depositert....-m.-.._......

710... ....,,. ..] 21015(D) . . . . . . . . . . Appee's trom inst practicable summary esposeton o'cor w/brefs.720.. . . . . - . _ . . . . . . . . . . . . . . . . . , tvioentiary hve-eg tayns

| 2.101 S(tt). ._ . Snot m opposeon to appeals frorn last p echcotee ssmmary esposeon onsors$10-- J...... Evssorency tearmg enos.e40 ... 2 75Me)(1)-- Appicent's proposed endm0s850 2 764te)(2) . Other partes' (escept NRC staffsJ proposed fordngs.830 2 75d(eft 2| . NRC etere proposed Andmgs865955

_ 2.754(a)(3) . Appleant's sessy se proposed frubrgs_

2 700 kehol Deceios965 .~.. . 2.788[e). 2 752fe). 2 tots (c) . Stay anotone to Comnesson fdotacas of Appaale975. ... .. .. 2 ?S6fd) . . . . . - . . . Rephes to stey enohons

f 995. ......) . . . . . . Comrmes.on fuMg on stey moton( r62(b)

1005.. 2.7&o(a).... Appshere's tmots

Stay motsons to Commesort.1015 .- . 2 788(d). Raphes to stay enohondL8025 .. 2 762(c1 Appeese's bnef8035 2 762(c). . - P4RC stoff tmer1055.. . . 2.1023 Supp info Courseston e4 NUS$ and fk supeMeary restou Correeseen fuhng on any etsy anotons--a ,

eeuence of constnaemon andhensemart tesluPA W penod tolled.1065....ital-

. . . 2. 763 .... Oref orgumere on appeals.

I.-.. . . Comtrnson decmort

_

,

|,

2-99 November 30,1994 (reset)

. -