U. S. NUCLEAR REGULATORY COMMISSION

_ i

To:

Subject

Purpose:

TN: DT-00-20

NRC Management Directives Custodians

Transmittal of Directive 8.11, "Review Process for 10 CFR

2.206 Petitions"

Directive and Handbook 8.11 are being revised to address

stakeholder feedback and to improve clarity and make the

handbook easier to use. There are three major changes to the

handbook: (1) the addition of an opportunity for petitioners to

address the Petition Review Board after it discusses the

petition; (2) the deletion of criteria for technical meetings with

the petitioners; and (3) the addition of a requirement to request

comments from the petitioner(s) and affected licensee(s) on

the proposed director's decision, with associated steps to

resolve, and document the resolution of, those comments.

Office and

Division of Origin:

Contact:

Office of Nuclear Reactor Regulation

Andrew J. Kugler, (301) 415-2828 or

Donna Skay, (301) 415-1322

Date Approved:

Volume:

Directive:

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

8 Licensee Oversight Programs

8.11 Review Process for 10 CFR 2.206 Petitions

Availability: Rules and Directives Branch

Office of Administration . David L. Meyer, (301) 415-7162 or

Doris Mendiola, (301) 415-6297

OFFICE OF ADMINIS TRA TION
TN: DT-00-20

Significant Changes to the Management Directive 8.11

Review Process for 10 CFR 2.206 Petitions

The entire document has been revised to improve clarity and make it easier to use. In

particular, the handbook is now written with actions in chronological order. In addition to

those general changes, the following significant changes have been made:

* Addition of an opportunity for the petitioner to address the Petition Review Board

(PRB) after the PRB has developed its recommendations on the petition. This meeting

or teleconference is similar to those already offered to petitioners before the PRB meets.

* Removal of specific restrictions on the amount of time allowed for petitioners to address

the PRB and also allow petitioners to be assisted by a reasonable number of

representatives.

* Deletion of the criteria for meetings between the petitioner and the staff. The staff will

hold these meetings whenever the staff feels it will be beneficial to its review.

* Addition of a process by which the staff requests and resolves comments from the

petitioner and the licensee on the proposed director's decision (i.e., before it is signed).

The comments and the staff's resolution become part of the director's decision.

* Revision of the timeliness goal to 120 days from the date of the acknowledgment letter

until the date the proposed director's decision is sent out for comment. Add a new goal of

45 days from the end of the comment period until the director's decision is signed.

* Addition of a process flow chart and a petition manager's checklist to assist staff persons

involved with petitions.

2
Review Process for

10 CFR 2.206 Petitions

Directive

8.1 1
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Directive 8.11

Contents

Policy .; 1

Objectives. 1

Organizational Responsibilities and Delegations of Authority. 2

Executive Director for Operations (EDO). 2

General Counsel (GC). 2

Office Directors. 2

Regional Administrators. 3

2.206 PRB Chairperson. 3

Associate Directors - Office of Nuclear Reactor Regulation (NRR). 4

Division Directors. 4

Director, Division of Licensing Project Management (DLPM),

Office of Nuclear Reactor Regulation (NRR). 4

Applicability.. 4

Handbook. ..................................................... 4

Definitions ............................................................ 4

References ................................................... 5

Approved: July 1, 1999

(Revised: October 25'2000) in
U. S. Nuclear Regulatory Commission

Volume: 8 Licensee Oversight Programs NRR

Review Process for 10 CFR 2.206 Petitions

Directive 8.11

Policy

(8.11-01)

It is the policy of the U.S. Nuclear Regulatory Commission to provide

members of the public with the means to request that the Commission

take enforcement-related action (i.e., to modify, suspend, or revoke a

license, or for other appropriate enforcement-related action, as

distinguished from actions such as licensing or rulemaking). This policy

is codified at Section 2.206 of Title 10 of the Code ofFederalRegulations

(10 CFR 2.206). The Commission may grant a request for action, in

whole or in part, take other action that satisfies the concerns raised by

the requester, or deny the request. Requests that raise health and safety

and other concerns without requesting enforcement-related action will

be reviewed by means other than the 10 CFR 2.206 process.

Objectives

(8.11-02)

* To ensure the public health and safety, through the prompt and

thorough evaluation of any potential problem addressed by a

petition filed under 10 CFR 2.206. (021)

* To provide for appropriate participation by a petitioner in, and

observation by the public of, NRC's decisionmaking activities

related to a 10 CFR 2.206 petition. (022)

* To ensure effective communication with the petitioner and other

stakeholders on the' status of the petition, including providing

relevant documents and notification of interactions between the

NRC staff and a licensee or certificate holder relevant to the

petition. (023)

Approved: July 1, 1999 1

(Revised: October 25, 2000)
I :

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Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Directive 8.11

Organizational Responsibilities and

Delegations of Authority (8.11-03)

Executive Director for Operations (EDO) (031)

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

General Counsel (GC) (032)

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

decisions. (a)

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

Office Directors

(033)

* Have overall responsibility for assigned petitions. Because 10 CFR

2.206 petitions request enforcement-related action, petitions are assigned to the Office of Nuclear Reactor Regulation, the Office of Nuclear Material Safety and Safeguards, the Office of Enforcement, or the Office of the General Counsel. Therefore, most of the actions described in this directive and the associated handbook apply only to those. offices. (a)

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

* Sign acknowledgment letters, FederalRegister notices and director's

decisions. (c)

* Provide up-to-date information for the monthly status report on all assigned petitions. (d)

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

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

Approved: July 1, 1999 2 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Directive 8.11

Office Directors

(033) (continued)

* Promptly notify (1) the Office of Investigations of any allegation of

wrongdoing by a licensee or certificate holder, applicant for a

license or certificate, their contractors, or their vendors or (2) the

Office of the Inspector General of any allegation of wrongdoing by

an NRC staff person or NRC contractor, that is contained in a

petition they may receive. (g)

* Provide a draft of each director's decisions to the Office of

Enforcement for review. (h)

* Designate an office coordinator for 2.206 petitions, if applicable. (i)

Regional Administrators

(034)

* As needed, provide support and information for the preparation of

an acknowledgment letter and/or a director's decision on a 2.206

petition. (a)

* Make the petition manager aware of information that is received or

that is the subject of any correspondence relating to a pending

petition. (b)

* Participate, as necessary, in meetings with the petitioner and public,

in technical review of petitions and in deliberations of the PRB. (c)

2.206 PRB Chairperson

(035)

Each office that is assigned a petition will appoint a PRB chairperson,

generally a Senior Executive Service manager, who will-

* Convene PRB meetings. (a)

* Ensure appropriate review of all new petitions in a timely

manner. (b)

* Ensure appropriate documentation of PRB meetings. (c)

* Convene periodic PRB meetings with the petition managers to

discuss the status of open petitions and to provide guidance for

timely resolution. (d)

Approved: July 1, 1999

(Revised: October 25, 2000) 3
A1IVolume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Directive 8.11

Associate Directors

Office of Nuclear Reactor Regulation (NRR) (036)

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

EDO for approval.

Division Directors

(037)

Concur in each extension request from petition managers in their

organization and forward the extension request to the Office of the EDO (Associate Director for NRR) for approval.

Director, Division of Licensing Project Management (DLPM), Office of Nuclear Reactor Regulation (NRR) (038)

Appoints the Agency 2.206 Petition Coordinator, normally a DLPM

staff person.

Applicability

(8.11-04)

The policy and guidance in this directive and handbook apply to all

NRC employees.

Handbook

(8.11-05)

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

Definitions'

(8.11-06)

A 10 CFR 2.206 Petition. A written request filed by any person that the Commission modify, suspend, or revoke a license, or take any other

enforcement-related action that may be proper. The request must meet the criteria for review under 10 CFR 2.206 (see Part III of Handbook 8.11).

Licensee. Throughout the handbook, any references to a licensee shall

be interpreted to include certificate holders, applicants for licenses or certificates, or other affected parties.

Approved: July 1, 1999 4 (Revised: October25,2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Directive 8.11

References

(8.11-07)

Code of Federal Regulations10 CFR 2.206, "Requests for Action Under This Subpart."

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

Withholding."

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

intervene."

Management Directives-

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

Staff."

- 8.8, "Management of Allegations."

- 12.6, "NRC Sensitive Unclassified Information Security

Program."

Memorandum of Understanding Between the NRC and the

Department of Justice, December 12, 1988.

"Nuclear Regulatory Commission Issuances,".published quarterly as

NUREG-0750.

Approved: July 1, 1999

(Revised: October 25,2000) 5
Review Process for

10 CFR 2.206 Petitions

Handbook

8.11
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Parts I -IV

Contents

Part I

Introduction ........................................................... 1

Title 10 of the Code of Federal Regulations, Section 2.206

(10 CFR 2.206) (A) ................. ............................... 1

General Cautions (B) .................... .............................. 1

Part II

Initial Staff Actions ...................................................... 3

NRC's Receipt of a Petition (A) ...................................... 3

Process Summary (1) ............... 3........3

Assignment of Staff Action (2) ....................................... 3

Office Action (B) . ..................................................... 4

Petition Manager Action (C) ............. ............................... 4

K Part III

Petition Review Board (PRB) .......................... . 7

General (A) . ......................................................... 7

Schedule (1) .............................. 7

Board Composition (2) ............................. . 7

Preparation for the PRB Meeting (B) ... 8

Criteria for Petition Evaluation (C) .. 11

Criteria for Reviewing Petitions Under 10 CFR 2.206 (1) ................. . 11

Criteria for Rejecting Petitions Under 10 CFR 2.206 (2) .11

Criteria for Consolidating Petitions (3) .. 12

PRB Meeting (D) .. ..................... 13

Informing the Petitioner of the Results (E) .. 14

Meeting With the Petitioner (F) ................... 14

Response to the Petitioner (G) ......... ....................... 15

Requests That Do Not Meet the Criteria (1) . . 15

Requests That Meet the Criteria (2) .................................. 16

Sending Documents to the Petitioner (H) .. 16

Supplements to the Petition (I) ........................... 17

Approved: July 1, 1999

(Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Parts I -IV

Contents (continued)

Part IV

Petition Review Activities . ......................................... 19

Reviewing the Petition (A) ............................................. 19

Interoffice Coordination (1) ......................................... 19

Request for Licensee Input (2) ........................ ........ 20

Technical Review Meeting With the Petitioner (3) ....... ............... 20

Additional Petition Review Board (PRB) Meetings (4) ...... ............ 20

Schedule (B) ............ Schedle ........ (B ................................... 202 Keeping the Petitioner Informed (C) . 22

Updates to Management and the Public (D) ............ ................... 22

Part V

The Director's Decision . ......................................... 24

Content and Format (A) ............................................. 24 V

Final Versus Partial Director's Decisions (B) ........... ................... 25

Granting the Petition (C) ............................................. 25

Denying the Petition (D) ............................................. 26

Issuing the Proposed Director's Decision for Comment (E) ...... ............ 26

Comment Disposition (F) ........................ 27

Issuing the Director's Decision (G) ........... ........................... 27

Administrative Issues (H) ........................ 28

Commission Actions (I) ........................ 30

Exhibits

1 Simplified 2.206 Process Flow Chart .31

2 Petition Manager Checklist .33

3 Sample Closure Letter for Requests That Are Not 2.206 Petitions .36

4 Sample Acknowledgment Letter .37

5 Sample Federal Register Notice .38

.6 Sample Director's Decision and Cover Letter .39

7 Sample Federal Register Notice for Director's Decision .43

8 Sample Letters Requesting Comments on the Proposed Director's Decision .45

Approved: July 1, 1999 iv (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook' 8.11' Part I

Part I

Introduction

Title 10 of the Code of Federal Regulations,

Section 2.206 (10 CFR 2.206) (A)

This section of the regulations has been a part of the Commission's

regulatory framework since the Commission was established in 1975.

Section 2.206 permits any person to file a petition to request that the

Commission take enforcement-related action., i.e., to modify, suspend,

or revoke a license or to take other appropriate action. (1)

Section 2.206 requires that the petition be submitted in writing and

provide the grounds for taking the proposed action. The NRC staff will

not treat general opposition to nuclear power or a general assertion of a

safety problem, without supporting facts, as a formal petition under

10 CFR 2.206. The staff will treat general requests as allegations or

routine correspondence. Petitioners are encouraged to provide a

telephone number or e-mail address through which the staff may make

contact. (2)

General Cautions (B)

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

provides NRC policy with regard to notifying the Office of

Investigations (01) and the Office of the Inspector General (OIG) of

wrongdoing matters, as well as initiating, prioritizing, and terminating

investigations. Each petition manager should become familiar with the

current version of MD 8.11 and this handbook and follow the policy and

procedures included in them when dealing with issues requiring OI or

OIG investigations. (1)

Any mention outside NRC of an ongoing OI or OIG investigation, for

example, as an explanation for schedule changes, requires the approval

of the Director, OI, or the IG, respectively. (2)

Approved: July 1, 1999

(Revised: October 25, 2000) 1
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Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part I

I I

General Cautions (B) (continued)

If the petition contains information on alleged wrongdoing on the part of a licensee or certificate holder, an applicant for a license or

certificate, their contractors, or their vendors, treat the petition, or the

relevant part of the petition, as an allegation and promptly notify OI. If

the petition contains information on alleged wrongdoing involving an

NRC employee, NRC contractors, or NRC vendors, promptly notify OIG. (3)

2 Approved: July 1, 1999

(Revised: October25,2000)
Volume 8,, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part II

Part II

Initial Staff Actions

NRC's Receipt of a Petition (A)

Process Summary (1)

After NRC receives a petition, the Executive Director for Operations

(EDO) assigns it to the director of the appropriate office for evaluation

and response. The original incoming petition is sent to the office and a

copy of the petition is sent to the Office of the General Counsel (OGC).

The official response is the office director's written decision addressing

the issues raised in the petition. The office director can grant, partially

grant, or deny the petition. The Commission may, on its own initiative,

review the director's decision within 25 days of the date of the decision,

although it will not entertain a request for review of the director's

decision.

Assignment of Staff Action (2)

Petitions maybe in the form of requests for NRC action that may or may

not cite 10 CFR 2.206 and may initially be directed to staff other than

the EDO. In any of these cases, the staff person who receives the

document should make an initial evaluation as to whether the

document meets the criteria for review under 10 CFR 2.206 provided in

Part III of this handbook. Staff persons who are uncertain whether or

not the document meets the criteria should consult their management

or office coordinators for further guidance. If a petition meets the

criteria but does not specifically cite 10 CFR 2.206, the staff will

attempt to contact the petitioner by telephone to determine if he or she

wants the request processed pursuant to 10 CFR 2.206. The staff may

determine that a request forwarded for staff action is not a petition for

enforcement-related action but, rather, a petition for rulemaking, for

example. If there is any uncertainty about whether or not a request is a

peiition under 10 CFR 2.206, it should be treated as one so that a

petition review -board (PRB) can make its recommendations, as

described in Part III of this handbook. (a)

Approved: July 1, 1999

(Revised: October25,2000)- 3
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Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part II

NRC's Receipt of a Petition (A) (continued)

Assignment of Staff Action (2) (continued)

If the staff receives a request that it believes is a 10 CFR 2.206 petition, it will forward the request to the Office of the EDO (OEDO) for

assignment of action. Petitions also may be forwarded to the OEDO

from the Atomic Safety and Licensing Board Panel or from a Presiding Officer in accordance with 10 CFR 2.1205(l)(2). The EDO will assign each petition to the appropriate office for action. If the document does

not cite 10 CFR 2.206 and does not meet the criteria for review under

that section, the staff will respond to it under some other process (e.g., routine correspondence, allegations). (b)

Petitions that cite 10 CFR 2.206 and are addressed to the EDO will be

added to the Agencywide Documents Access and Management System (ADAMS) by OEDO. OEDO will not declare these petitions official

agency records nor will it make them publicly available. Those steps will be carried out by the assigned office as described below. (c)

Office Action (B)

Upon receipt, office management will assign the petition to a petition

manager. (1)

The Agency 2.206 Petition Coordinator (appointed by the Director, Division of Licensing Project Management, Office of Nuclear Reactor

Regulation (NRR)), receives copies of all 2.206 petitions from OEDO

and will add them to the 2.206 database. (2)

Petition Manager Action (c)

The petition manager will promptly review the petition and determine

whether or not it contains allegations or sensitive information. The timing of this step is particularly important for petitions that are not addressed to

the EDO. Normally, these documents have been entered into ADAMS

through the Document Control Desk (DCD) and are released to the

public after a specified period of time. The delay allows the staff time to

review the petition for allegations or other sensitive information. If the

petition manager determines that a document contains allegations or

other sensitive information-, he or she should immediately contact the

ADAMS Help Desk (301415-1234) to prevent releasing the document

to the public. (1)

Approved: July 1, 1999 4 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part II

Petition Manager Action (c) (continued)

Before the petition is released to the public, before the PRB meeting,

and in any event within 1 week of receipt of the petition by the assigned

office, the petition manager will inform the petitioner by telephone

that the 2.206 petition process is a public process in which the petition

and all the information in it will be made public. If the petitioner

requests anonymity and that the petition not be made public, the

petition manager will advise the petitioner that, because of its public

nature, the 2.206 process cannot provide protection of the petitioner's

identity. In these cases, the petition manager must obtain the

agreement of the petitioner as to how the matterwill be handled (i.e., as

an allegation or not) and document the petitioner's agreement in

writing, usually in the form of a memorandum to file. In cases where the

staff identifies certain issues in a petition that it believes are more

appropriately addressed using the allegation process, the petition

manager will obtain the agreement of the petitioner as to how these

issues will be handled (i.e., as an allegation or not) and document the

petitioner's agreement in writing. If all or part of the petition is treated

as an allegation, this fact will be documented in the allegation

acknowledgment letter (see Management Directive (MD) 8.8,

"Management of Allegations"). (2)

If the request clearly does not meet the criteria for review as a 10 CFR

2.206 petition, the petition manager will also discuss this issue with the

petitioner. The petitioner may be able to help the petition manager

better understand the basis for the petition or the petitioner may

realize that a 10 CFR 2.206 petition is not the correct forum for the

issues raised in the request. Finally, the petition manager will offer the

petitioner an opportunity to have one or more representatives give a

presentation to the PRB and cognizant supporting staff either by

telephone (or videoconference, if available) or in person. This is an

opportunity for the petitioner to provide any relevant additional

explanation and support for the request. This type of meeting is

described in more detail in Part III of this handbook. (3)

After the initial contact with the petitioner, the petition manager will

promptly advise the licensee(s) of the petition, send the appropriate

licensee(s) a copy of the petition for information, and ensure that the

petition and all subsequent related correspondence are made available

to the public. (Note that if the petitioner wishes to have the request

handled as an allegation, the request is no longer a 2.206 petition.) Any

information related to allegations or other sensitive information that

Approved: July 1, 1999

(Revised: October 25,2000) 5
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Volume 8, Licensee Oversight Programs , Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part II

Petition Manager Action (C) (continued)

make up a part of the petition will be redacted from copies sent to the

licensee or made available to the public. For allegations, the petition

manager should refer to MD 8.8. As discussed in MD 8.8, allegations

must be forwarded to the associated Office Allegations Coordinator

expeditiously. MD 8.8 also addresses the referral of wrongdoing issues

to the Office of Investigations and the Office of the Inspector General. (4)

See Exhibit 1, Simplified 2.206 Process Flow Chart, and Exhibit 2, Petition Manager Checklist, for further information on petition

manager actions. (5)

K6

Approved: July 1, 1999

(Revised: October 25, 2000)
-Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Part III

Petition Review Board (PRB)

General (A)

Schedule (1)

The assigned office holds a PRB meeting to review the 2.206 petition.

The PRB meeting is normally held within 2 weeks of receipt of the

petition. The PRB meeting may be held much sooner if staff decisions

are required on short-term, immediate actions (e.g., a request to shut

down an operating facility or prevent restart of a facility that is ready to

restart). In unusual situations, it may not be possible to hold the

meeting in time to address any immediate action requests. In these

cases, the staff will decide how any immediate actions requested will be

addressed and obtain appropriate management concurrence as soon as

possible. If the staff plans to take an action that is contrary to an

immediate action requested in the petition before issuing the

acknowledgment letter (such as permitting restart of a facility when the

petitioner has requested that restart not be permitted), the petition

manager must promptly notify the petitioner by telephone of the

pending staff action.,

Board Composition (2)

The PRB consists of(a)

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

* A petition manager (ii)

! Cognnt management and staf, as necessary (iii)

* A representative from the Office of Investigations (OI), as needed (iv)

* A representative from the Office of Enforcement (OE) and, for

petitions assigned to the Office of Nuclear Reactor Regulation

(NRR), the NRR Senior Enforcement Coordinator, as needed (v)

Approved: July 1, 1999

(Revised: October 25,2000) 7
Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

General (A) (continued)

Board Composition (2) (continued)

In addition, a representative from the Office of the General Counsel

(OGC) will normally participate. (b)

Preparation for the PRB Meeting (B)

The petition manager will provide copies of the petition to PRB and

assist in scheduling the review board meeting. The petition manager also will arrange for cognizant technical staff members to attend the

meeting, as necessary, and prepare a presentation for the review board.

In assigning technical staff members to the petition, management will

consider any potential conflict from assigning any staff person who was

previously involved with the issue that gave rise to the petition. (1)

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

* A recommendation as to whether or not the petition meets the

criteria for review under 10 CFR 2.206 (a)

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

* Recommendations for any immediate action (whether requested or

not) (c)

* Recommendations on whether or not assistance from 01, OE, or

OGC is necessary (d)

* A request for confirmation concerning referral to OI or the Office

of the Inspector General (OIG), as appropriate (e)

* The proposed schedule, including the review schedule for the

affected technical branches (f)

The petition manager also will offer a meeting or teleconference

between the petitioner and the PRB before the board reviews the

petition. This meeting or teleconference, if held, is an opportunity for

the petitioner to provide any relevant additional explanation and

support for the request in advance of the PRB's evaluation. The staff

will hold this type of meeting if the petitioner desires it. If a decision. is

required on a petitioner's request for immediate action before the

petitioner's presentation can be scheduled, that decision will not be

delayed. (3)

Approved: July 1, 1999 8 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Preparation for the PRB Meeting (B) (continued)

The petition manager also will invite the licensee to participate in the

meeting or teleconference to' ensure that itunderstands the concerns

about its facilityor activities. The PRB members may ask any questions

needed to'clarify the petitioner's request. The licensee may also ask

questions to clarify the issues raised by the petitioner. Any member of

the public may attend (or listen in by telephone for a teleconference) as

an observer. Meetings between PRB and the petitioner normally will

be held at NRC headquarters in Rockville, Maryland, with provisions

for participation by telephone or videoconference. This public meeting

or teleconference is separate from the (closed) PRB meeting during

which the PRB members develop their recommendations with respect

to the petition. (4)

The petition manager will ensure that all staff persons at the meeting or

teleconference are aware of the need to protect sensitive information

from disclosure. Sensitive information includes safeguards or facility

security information, . proprietary or confidential commercial

information, or information relating to an ongoing investigation of

wrongdoing. (5)

If 'the petitioner chooses to address PRB by telephone, it is not

considered a meeting and no public notice is necessary. The petition

manager will establish a mutually agreeable time and date and arrange

to conduct the teleconference on a recorded line through the NRC

Headquarters Operations Center (301-816-5100). The tape recording

from the Operations Center is converted to a printed transcript that is

treated as a supplement to the petition and is sent to the petitioner and

the same distribution as the original petition. The petition manager will

make arrangements for transcription service by submitting an NRC

Form 587 to the Atomic Safety and Licensing Board Panel or by sending

an e-mail. to "Court Reporter," giving the same information as

requested on the Form 587. (6)

If the petitioner chooses to attend in person, the meetingwill take place

at NRC headquarters at a'mutually agreeable time. For the meeting,

the petition manager will follow the prior public notice period and

other provisions: of Management' Directive (MD) 3.5, "Public

Attendance at Certain Meetings Involving the NRC Staff." However,

time constraints associated with this type of meeting will often dictate

that the 10-day public notice period described in MD 3.5 will not be

Approved: July 1, 1999

(Reused: October 25,2000) 9
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Preparation for the PRB Meeting (B) (continued)

met. MD 3.5 allows for less than 10 days' public notice, if necessary, with appropriate management concurrence. The meeting should be

noticed as a meeting between the NRC staff, the petitioner, and the

licensee (unless the licensee chooses not to participate). The licensee is

invited to participate, as in the teleconference described above, and

members of the public may attend as observers. The meeting is

transcribed and the transcript is treated in the same manner as in the

case of a telephone briefing. (7)

The petitioner may request that a reasonable number of associates be

permitted to assist him or her in addressing PRB concerning the

petition. The petition manager will (1) discuss this request with the

petitioner, (2) determine the number of speakers, and (3) allot a

reasonable amount of time for the presentation so that the staff can

acquire the information needed for its review in an efficient

manner. (8)

At the meeting or teleconference, the chairperson will provide a brief

summary of the 2.206 process, the petition, and the purpose of the

discussion that will follow. The NRC staff and the licensee will have an

opportunity to ask the petitioner questions for purposes of clarification.

PRB may meet in closed session before and/or after the meeting with

the petitioner to conduct its normal business. (9)

The requirements for scheduling- and holding the petitioner presentation may impact the established time goals for holding the

regular PRB meeting and issuing the acknowledgment letter. Any impacts should be kept to a minimum. (10)

The petition manager will review the transcript and, where necessary, edit it to ensure it accurately reflects what was said in the meeting or teleconference. Corrections are only necessary for errors that affect the

meaning of the text of the transcript. The petition manager is not

expected to correct inconsequential errors. (11)

After editing, the petition manager will ensure that the transcript gets the same distribution (petitioner, licensee, publicly available, etc.) as

the original petition. For meetings, this step should be accomplished by attaching the transcript to a brief meeting summary. For - teleconferences, the petition manager may attach the transcript to a

memorandum to file. (12)

Approved: July 1, 1999 10 (Revised: October 25,2000)
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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Criteria for Petition Evaluation (c)

The staff will use the criteria discussed in this section to determine

whether or not a petition should be considered under 10 CFR 2.206 and

whether or not similar petitions should be consolidated.

Criteria for Reviewing Petitions Under 10 CFR 2.206 (1)

The staff will review a petition under the requirements of 10 CFR 2.206

if the request meets all of the following criteria-(a)

* The petition contains a request for enforcement-related action

such as issuing an order modifying, suspending, or revoking a

license, issuing a notice of violation,withorwithout a proposed civil

penalty, etc. (i)

* The facts that constitute the bases for taking the particular action

are specified. The petitioner must provide some element of support

beyond the bare assertion. The supporting facts must be credible

and sufficient to warrant further inquiry. (ii)

* There is no NRC proceeding available in which the petitioner is or

could be a party and through which the petitioner's concerns could

be addressed. If there is a proceeding available, for example, if a

petitioner raises an issue that he or she has raised or could raise in

an ongoing licensing proceeding, the staff will inform the petitioner

of the ongoing proceeding and will not treat the request under

10 CFR 2.206. (iii)

An exception to the first two criteria is any petition to intervene and

request for hearing in a licensing proceeding that is referred to the

10 CFR 2.206 process in accordance with 10 CFR 2.1205()(2). These

- referrals may be made when the petition does not satisfy the legal

requirements for a hearing or intervention and the Atomic Safety and

LicensingBoardPanel or the Presiding Officerdetermines that referral

to the 10 CFR 2.206 process is appropriate. For these referrals, the

substantive issues in the request for a hearing or intervention will be

read as an implicit request for enforcement-related action, thus

satisfying the criteria for treatment under the 10 CFR 2.206 review

process. (b)

- Criteria for Rejecting Petitions Under 10 CER 2.206 (2)

The staff will not review a petition under 10 CFR 2.206, whether

specifically cited or not, under the following circumstancesApproved: July 1, 1999

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Handbook 8.11 Part III

Criteria for Petition Evaluation (C) (continued)

Criteria for Rejecting Petitions Under 10 CFR 2.206 (2) (continued)

The incoming correspondence does not ask for an

enforcement-related action or fails to provide sufficient facts to

support the petition but simply alleges wrongdoing, violations of

NRC regulations, or existence of safety concerns. The request

cannot be simply a general statement of opposition to nuclear

power or a general assertion without supporting facts (e.g., the

quality assurance at the facility is inadequate). These assertions will

be treated as routine correspondence or as allegations that will be

referred for appropriate action in accordance with MD 8.8,

"Management of Allegations." (a)

* The petitioner raises issues that have already been the subject of

NRC staff review and evaluation either on that facility, other

similar facilities, or on a generic basis, for which a resolution has

been achieved, the issues have been resolved, and the resolution is

applicable to the facility in question. This would include requests to

reconsider or reopen a previous enforcement action (including a

decision not to initiate an enforcement action) or a director's

decision. These requests will not be treated as a 2.206 petition unless they present significant new information. (b)

* The request is to deny a license application or amendment. This

type of request should initially be addressed in the context of the

relevant licensing action, not under 10 CFR 2.206. (c)

* The request addresses deficiencies within existing NRC rules. This

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

Criteria for Consolidating Petitions (3)

Generally, all requests submitted by different individuals will be

treated and evaluated separately. When two or more petitions request action against the same licensee, specify essentially the same bases,

provide adequate supporting information, and are submitted at about

the same time, PRB will consider the benefits of consolidating the

petitions against the potential of diluting the importance of anypetition and recommend whether or not consolidation is appropriate. The

assigned office director will determine whether or not to consolidate

the petitions.

Approved: July 1, 1999 12 (Revised: October 25, 2000)
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PRB Meeting (D)

PRB ensures that an appropriate petition review process is followed.

The purposes of the PRB process are to-(1)

* Determine whether or not the' petitioner's request meets the

criteria for review as a 10 CFR 2.206 petition (see Part III(C) of this

handbook) '(a)

* Determine whether or not the petitioner should be offered or

informed of an alternative process (e.g., consideration of issues as

allegations, consideration of issues in a pending license proceeding,

or rulemaking) (b)

* Determine whether there is a need for any immediate actions

(whether requested or'not)' (c)

* Establish 'a schedule for responding to the petitioner so that a

commitment is made by management and the technical review staff

to respond to the petition inma timely manner (see Part IV of this

handbook for guidance regarding schedules) (d)

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

* Determine whether or not the petition should be consolidated with

another petition (f)

* Determine whether or not referral to OI or OIG is appropriate (g)

* Determine whether or not there is a need for OGC to participate in

the review (h)

* Determine whether or not the licensee should be requested to

respond to the petition (i)

* Determine whether or not the petition is sufficiently complex that

additional review board meetings should be scheduled to ensure

that suitable progress' is being made ') '

The PRB meeting is a closed meeting, separate from any meeting with

the petitioner and the licensee,'during'which the PRB members

develop their recommendations with respect to the petition. At the

meeting, the petition manager briefs PRB on the petitioner's

request(s), any background'information, the need for an independent

technical review, and a proposed plan for resolution, including target

completion dates. The petition manager, with the assistance of the

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PRB Meeting (D) (continued)

Agency 2.206 Petition Coordinator, ensures appropriate documentation of all PRB recommendations in the summary of the

PRB meeting. (2)

The OGC representative provides legal review and advice on 10 CFR

2.206 petitions. OGC may be assigned as the responsible office for the

review, if appropriate. (3)

Informing the Petitioner of the Results (E)

After PRB meets, and before issuing the acknowledgment letter, the

petition manager will ensure that appropriate levels of management (as determined by the assigned office) are informed of the board's

recommendations and that they concur. The petition managerwill then

inform the petitioner by telephone as to whether or not the petition meets the criteria for review under 10 CFR 2.206, of the disposition of

any requests for immediate action, of how the review will proceed, and

that'an acknowledgment letter is forthcoming. If the staff plans to take

an action that is contrary to an immediate action requested in the

petition before issuing the acknowledgment letter, the petition

manager must notify the petitioner promptly by telephone of the

pending staff action. An example of a contrary action would be if NRC

permitted restart of a facility when the petitioner had requested that

restart not be permitted. The petitioner will not be advised of any wrongdoing investigation being conducted by 01 or OIG.

Meeting With the Petitioner (F)

After informing the petitioner of the pertinent PRB recommendations, the petition manager will offer the petitioner an opportunity to

comment on the recommendations.. This opportunity will be in the

form of a meeting or teleconference between the petitioner and the

PRB. If the petitioner accepts this offer, the petition manager will

establish a mutually agreeable date for the meeting or teleconference

with the petitioner. The petition manager also will invite the licensee to

participate and will. coordinate the schedules and dates with the

licensee. The meeting or teleconference should be scheduled so as not

to adversely affect the established petition review schedule. (i)

<-'

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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Meeting With the Petitioner (F) (continued)

This meeting or teleconference, if held, is an opportunity for the

petitioner to provide any relevant additional explanation and support

for the request in light of PRB's recommendations. The PRB members

may ask questions to clarify the petitioner's request. If staff decisions

on any of the petitioner's immediate action'requests are required

before the petitioner's presentation can be scheduled, those decisions

will not be delayed. The format of the meeting or teleconference,

application of MD 3.5, transcription, etc., and the requirements to edit

and distribute the transcript are the same as for a meeting or

teleconference held prior to the PRB's review of the petition. (2)

After this discussion, PRB will consider the need to modify any of its

recommendations. The final recommendations will be included in the

acknowledgment letter. The acknowledgment letter will address any

comments the petitioner made concerning the initial PRB

-recommendations and the staff's response. The petitioner will be

notified promptly of staff decisions on any immediate action requests.

If the petitioner presents significant new information to the staff, PRB

may determine that this new information constitutes a new petition that

will be treated separately from the initial petition. (3)

The requirements for scheduling and holding the petitioner presentation

may impact the established time goals for issuing the acknowledgment

letter. These impacts should be kept to a minimum. (4)

Response to the Petitioner (G

After PRB finalizes its recommendations, the petition manager

prepares a written response to the petitioner.

Requests That Do Not Meet the Criteria (1)

If PRB, with office-level management concurrence, determines that the

petition does not meet the criteria for review 'as a 10 CFR 2.206 petition,

the petition manager then prepares a letter that (1) explains why the

request is not being reviewed under 10 CFR 2.206; (2) responds, to the

extent possible at that time, to the issues in the petitioner's request; and

(3) explains what further'actions, if any, the staff intends to take in

response to the request (e.g.'; treat it as an allegation or routine

correspondence). See Exhibit 3 for an example. (a)

The petition manager will attach the original petition and any

enclosure(s) to the Reading File copy of the letter. (b)

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(Revised: October 25, 2000) 15
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Response to the Petitioner (G) (continued)

Requests That Meet the Criteria (2)

If the PRB finds that the petition meets the criteria for review as a

10 CFR 2.206 petition, the petition manager prepares an

acknowledgment letter and associated Federal Register notice (see Exhibits 4 and 5). The letter should acknowledge the petitioner's efforts in bringing issues to the staff's attention. If the petition contains

a request for immediate action by the NRC, such as a request for

immediate suspension of facility operation until final action is taken on

the request, the acknowledgment letter must explain the staff's

response to the immediate action requested and the basis for that

response. (a)

The petition manager ensures that a copy of this management directive

and of the pamphlet "Public Petition Process," prepared by the Office

of Public Affairs, are included with the acknowledgment letter. The

acknowledgment letter also should include the name and telephone number of the petition manager, identify the technical staff

organizational units that will participate in the review, and provide the

planned schedule for the staff's review. A copy of the acknowledgment letter must be sent to the appropriate licensee and the docket service

list(s). (b)

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

In rare cases the staff may be prepared to respond to the merits of the

petition immediately. In this case, the staff can combine the functions

of the acknowledgment letter and the director's decision into one

document. A similar approach would be taken in combining the

associated Federal Register notices. (d)

Sending Documents to the Petitioner (H)

If the PRB determines that the request is a 2.206 petition, then the

petition manager will-(1)

* Add the petitioner to the service list(s) for the topic (if one exists). Add the petitioner to the headquarters and regional service lists for

the licensee(s) that is(are) the subject of the petition. (a)

Approved: July 1, 1999 16 (Revised: October 25,2000)
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Handbook 8.11 Part III

Sending Documents to the Petitioner (H) (continued)

* Request the licensee to send copies of any future correspondence

related to the petition-to the petitioner; with due regard for

proprietary, safeguards, and other sensitive information. (b)

* To the extent that the petition manager is aware of these documents,

ensure that the petitioner is placed on distribution for other NRC

correspondence relating to the issues raised in the petition, including

relevant generic letters or bulletins that are issued during the

pendency of the NRC's consideration of the petition. This does not

include NRC correspondence or documentation related to an 01 or

OIG investigation, which will not be released outside NRC without

the approval of the Director, 01, or the IG, respectively. (c)

These three actions will remain in effect until 90 days after the

director's decision is issued if the petitioner desires it. (2)

Supplements to the Petition (I)

A petitioner will sometimes submit a supplement to his or her petition.

The petition manager will review the supplement promptly and

determine whether or not it contains allegations or sensitive

information. If the supplement appears to contain information of this

nature, the petition manager must obtain the agreement of the

petitioner as to how these issues will be handled (i.e., as an allegation or

not) and document the petitioner's agreement in writing, usually in the

form of a memorandum to file. If all or part of the supplement is treated

as an allegation, this fact will be documented in the allegation

acknowledgment letter (see MD 8.8, "Management of Allegations").

See Part II(C) of this handbook for more detailed information. (1)

The petition manager will also ensure the supplement receives the

same distribution as the petition and will forward a copy of the

supplement to the PRB members. The PRB members will review the

supplement and determine whether they need to meet formally to

discuss it and, if so, whether or not to offer the petitioner an opportunity

to discuss the' supplement with the PRB members before the board

reviews the supplement (see Part III(B) of this handbook). In deciding

whether a'formal PRB meeting is needed, the PRB members will

consider the safety'significance and complexity of the information in

the supplement. Clarifications of previous information will generally

not require a new PRB meeting. If a new PRB meeting is not convened,

the petition manager will include the supplement in the ongoing

petition review and no further action is necessary. (2)

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(Revised: October 25,2000) 17
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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part III

Supplements to the Petition (I) (continued)

If a new PRB meeting is convened, the PRB members will determine

whether or not-(3)

* There is a need for any immediate actions (whether requested or

not) (a)

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

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

* Referral to OI or OIG is appropriate (d)

* To revise the review schedule for the petition based on the

supplement (see Part IV of this handbook for guidance regarding schedules) (e)

* To send an acknowledgment letter for the supplement. (An acknowledgment letter should be sent if the supplement provides significant new information, causes the staff to reconsider a

previous determination, or requires a schedule change beyond the

original 120-day goal. See Part III(G) of this handbook for

information on acknowledgment letters.) (f)

* To offer the petitioner a meeting or teleconference with PRB to

discuss its recommendations with respect to the supplement. (See Part III(F) of this handbook for information on this type of meeting

or teleconference.) (g)

If the staff determines that the schedule for the petition must be

extended beyond the original 120-day goal as a result of the

supplement, the assigned office should send an acknowledgment letter

to the petitioner, reset the 120-day clock to the date of the new

acknowledgment letter, and inform the Office of the Executive

Director for Operations (OEDO). (4)

If PRB determines thatthe supplementwill be treated as a newpetition (i.e., not consolidated with the existing petition), the assigned office

must contact OEDO and obtain a new tracking number in the Work

Item Tracking System. (5)

Approved: July 1, 1999 18 (Revised: October 25,,2000)
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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part IV

Part IV

'Petition Review Activities

Reviewing the Petition (A)

Interoffice Coordination (1)

The petition manager coordinates all information required for the

petition review.- The petition manager also advises his or her

management of the need for review and advice from the Office of the

General Counsel (OGC) regarding a petition in special cases. When

appropriate, an Associate Director in the Office of Nuclear Reactor

Regulation, a Division Director in the Office of Nuclear Material

Safety and Safeguards,'or the"Director of the Office of Enforcement

requests OGC involvement through the OGC special counsel assigned

to 2.206 matters. (a)

All information related to a wrongdoing investigation by the Office of

Investigations (OI) or the Office of the Inspector General (OIG), or

even the fact that -an investigation is being conducted, will receive

limited distribution within NRC and will not be released outside NRC

without the approval of the Director, OI, or the IG, respectively (see

Management 'Directive (MD)' 8.8). Within NRC, access to this

information is limited to those having a need-to-know. Regarding a

2.206 petition, the assigned office 'director, or his designee, maintains

copies of any documents required and erisures that no copies of

documents related to an OI or OIG investigation are placed in the

docket file or the Agencywide Documents Access and Management

System (ADAMS) without the approval of the Director, OI, or the IG,

respectively. (b)

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Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part IV

Reviewing the Petition (A) (continued)

Request for Licensee Input (2)

If appropriate, the petition manager will request the licensee to

provide a voluntary response to the NRC on the issues specified in the petition, usually within 30 days. This staff request will usually be made

in writing. The petition manager will advise the licensee that the NRC will make the licensee's response publicly available and remind the

licensee to provide a copy of the response to the petitioner. The

licensee may voluntarily submit information relative to the petition,

even if the NRC staff has not requested any such information. (a)

Unless necessary for NRC's proper evaluation of the petition, the licensee should avoid using proprietary, or personal privacy information that requires protection from public disclosure. If such information is necessary to respond to the petition completely, the

petition manager ensures the information is protected in accordance

with 10 CFR 2.790. (b)

Technical Review Meeting With the Petitioner (3)

A technical review meeting with the petitioner will be held whenever

the staff believes that such a meeting (whether requested by the

petitioner, the licensee, or the staff) would be beneficial to the staff's

review of the petition. Meeting guidance is provided in MD 3.5. The petition manager will ensure that the meeting does not compromise the protection of sensitive information. A meeting will not be held simply *because the petitioner claims to have additional information and will

not present it in any other forum.

Additional Petition Review Board (PRB) Meetings (4)

Additional PRB meetings may be scheduled for complex issues.

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

Schedule (B)

The first goal is to issue the proposed director's decision for comment

within 120 days after issuing the acknowledgment letter. The proposed director's decision for uncomplicated petitions should be issued in less

than 120 days. The second goal is to issue the director's decision within

45 days of the end of the comment period for the proposed

Approved: July 1, 1999 20 (Revised: October 25,2000)
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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part IV

Schedule (B) (continued)

director's decision. The actual schedule should be shorter if the

number and complexity of the comments allow. The Office of the

Executive Director for Operations (OEDO) tracks the first target date,

and any change of the date requires approval by the EDO. The petition

manager monitors the progress of any PI investigation and related

enforcement actions. Enforcement actions that are prerequisites to a

director's decision should be-expedited and completed in time to meet

the 120-day goal. Investigations by OI and OIG associated with

petitions should be expedited to the extent practicable. However, the

goal of issuing the proposed director's decision for comment within 120

days after issuing the acknowledgment letter applies only to petitions

whose review schedules are within the staff's control. If issues in a

petition are the subject of an investigation by OI or OIG, or a referral to

the Department of Justice (DOJ), or if NRC decides to await a

Department of Labor decision, the clock for the 120-day goal is stopped

for the portion of the petition awaiting disposition by those

organizations. The clock will start again when the staff receives the

results of the investigation. If the staff can respond to some portions of

the petition without the results of the investigation, then a proposed

partial director's decision should be issued for comment within the

original 120- days. When the staff receives the results of the

investigation, it will promptly develop and issue a proposed final

director's decision for comment. See Part V of this handbook for a

discussion of partial director's decisions. (1)

If the proposed director's decision cannot be issued in 120 days for

-other reasons (e.g., very -complex issues), the appropriate level of

management in the assigned office determines the need for an

extension of the schedule and requests the extension from the EDO. In

addition, the petition manager will contact the petitioner promptly to

explain the reason(s) for the delay and will maintain a record of the

contact. (2)

After the comment period closes on a proposed director's decision, the

assigned office -will review the comments received and provide the

schedule to issue the director's decision to the Agency 2.206 Petition

Coordinator for inclusion in the next status report. (3)

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Handbook 8.11 Part IV

Keeping the Petitioner Informed (c)

The petition manager ensures that the petitioner is notified at least

every 60 days of the status of the petition, or more frequently if a

significant action occurs. If a significant action will be reported in the

monthly status report prepared by the Agency 2.206 Petition

Coordinator, the petition manager will inform the petitioner before the

status report is issued. The petition manager makes the status reports to the petitioner by telephone. The petition manager should speak directly to the petitioner if reasonably possible. The petition manager keeps up-to-date on the status of the petition so that reasonable detail

can be provided with the status reports. However, the status report to

the petitioner will not indicate-

* An ongoing OI or OIG investigation, unless approved by the Director, OI, or the IG (1)

* The referral of the matter to DOJ (2)

* Enforcement action under consideration (3)

Updates to Management and the Public (D)

On a monthly basis, the Agency 2.206 Petition Coordinator will contact

all petition managers reminding them to prepare a status report regarding 2.206 petitions in their offices. The petition managers should

e-mail the status report for each open petition; with the exception of

sensitive information as described below, to "Petition." The Agency 2.206 Petition Coordinator combines all the status reports, including staff performance metrics for petitions processed under 10 CFR 2.206

for the current year, in a monthly report to the EDO from the Associate

Director, Project Licensing and Technical Analysis. The Agency 2.206

Petition Coordinator also ensures the document is added to ADAMS

and made publicly available and e-mails a copy to "NRCWEB" for

placement on the NRC's Web site. (1)

If the status of the petition includes sensitive information that mayneed to be protected from disclosure, the petition managerwill so indicate in

the e-mail and in the status report itself. Sensitive information includes

safeguards or facility security information, proprietary or confidential

commercial information, information relating to an ongoing investigation of wrongdoing or enforcement actions under

development, or information about referral of matters to the DOJ and

should be handled in accordance with MD 12.6, "NRC Sensitive

Unclassified Information Security Program." The Agency 2.206

- Approved: July 1, 1999'

22 (Revised: October 25, 2000)
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Handbook 8.11 Part TV

Updates to Management

and the Public (D) (continued)

Petition Coordinator will protect this information from disclosure by

placing the affected status report(s) in a separate enclosure to the

status report, clearly marking the status report to the EDO, and

redactingthe sensitive information from the version of the report that is

made public. (2)

The NRC's Web site provides the up-to-date status of pending 2.206

petitions, director's decisions issued, and other related information.

The NRC external Web site (http://www.nrc.gov) is accessible via the

World Wide Web, and documents related to petitions maybe found on

the "Public Involvement" page under the section on Petitions.

Director's decisions are also published in NRC Issuances

(NUREG-0750). (3)

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(Revised: October 25,2000) 23
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Handbook 8.11 Part V

Part V

The Director's Decision

Content and Format (A)

The petition manager prepares the proposed director's decision on the

petition and the associated Federal Register notice for the office

director's consideration, including coordination with the appropriate staff supporting the review. See Exhibits 6 and 7 for a sample director's

decision with cover letter and the associated Federal Register notice, respectively. The petition manager will also prepare letters to the K

petitioner and the licensee that will enclose the proposed director's

decision and request comments on it (see Exhibit 8). These letters will

be routed with the director's decision for concurrence. (1)

The director's decision will clearly describe the issues raised by the

petitioner, provide a discussion of the safety significance of the issues, and clearly explain the staff's disposition for each issue. The petition

manager will bear in mind the broader audience (i.e., the public) when

preparing the explanation of technical issues. Refer to the NRC Plain

Language Action Plan, available on the internal Web site, for further

guidance. In addition, the petition manager will ensure that any documents referenced in the decision are available to the public. If a

partial director's decision was issued previously, the final director's

decision will refer to, but does not have to repeat the content of, the

partial director's decision. After management's review, the petition

manager incorporates any proposed revisions in the decision. (2)

If appropriate, the decision and the transmittal letter for the director's

decision or partial director's decision should. acknowledge that the

petitioner identified valid issues and should specify the corrective

actions that have been or will be taken to address these issues, notwithstanding that some or all of the petitioner's specific requests for

action have not been granted. (3)

Approved: July 1, 1999 24 (Revised: October 25, 2000)
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Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Content and Format (A) (continued)

If the Office of Investigations (OI) has completed its investigation of a

potential wrongdoing issue and the matter has been referred to the

Department of Justice (DOJ), the petition rninagerwill contact OI and

the Office of Enforcement (OE) to coordiniate NRC's actions. For

petitions assigned to the Office of Nuclear Reactor Regulation (NRR),

the petition manager also will contact the NRR Senior Enforcement

Coordinator. The staff may need to withhold action on the petition in

keeping with the Memorandum of Understanding with DOJ. (4)

If the results of a wrongdoing investigation by Ol in relation to the

petition are available, the staff will consider these results in completing

the action on the petition. .O must concur in the accuracy and

characterization of the OI findings and conclusions that are used in the

decision. (5)

The petition manager will obtain OE's review of the director's decision

for potential enforcement implications. For petitions assigned to NRR,

the petition manager also will provide a copy of the director's decision

to the NRR Senior Enforcement Coordinator. (6)

Final Versus. Partial Director's Decisions (B)

The staff will consider preparing a partial director's decision when

some of the issues associated with the 2.206 petition are resolved in

advance of other issues and if significant schedule delays are

anticipated before resolution of the entire petition. (1)

The format, content, and method of processing a partial director's

decision are the same-as that of a director's decision (as described

above) and an accompanying Federal Register notice would still be

prepared (see Exhibit 7). However, the partial director's decision

should clearly indicate those portions of the petition that remain open,

explain the reasons for the delay to the extent practical, and provide the

staff's schedule for the final director's decision. If all of the issues in the

petition can be resolved together, then the director's decision will

address all of the issues. (2)

Granting the Petition (c)

Once the staff has determined that the petitionwill be granted, inwhole

or in part, the petition manager will prepare a "Director's Decision

Under 10 CFR 2.206" for the office director's signature. The decision

will explain the bases upon which the petition has been granted and

identify the actions that NRC staff has taken or will take to grant all or

that portion of the petition. -The decision also should describe any

Approved: July 1, 1999

(Revised: October 25,2000) 25
Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Granting the Petition (C) (continued)

actions the licensee took voluntarily that address aspects of the

petition. The Commission maygrant a request for enforcement-related

action, in whole or in part, and also may take other action to satisfy the

concerns raised by the petition. A petition is characterized as being granted in part when the NRC grants only some of the actions

requested and/or takes actions other than those requested to address

the underlying problem. If the petition is granted in full, the director's

decision will explain the bases for granting the petition and state that the Commission's action resulting from the director's decision is

outlined in the Commission's order or other appropriate communication. If the petition is granted in part, the director's decision

will clearly indicate the portions of the petition that are being denied

and the staff's bases for the denial.

Denying the Petition (D)

Once the staff has determined that the petition will be denied, the petition manager will prepare a "Director's Decision Under 10 CFR

2.206" for the office director's signature. The decision will explain the

bases for the denial and discuss all matters raised by the petitioner in

support of the request.

Issuing the Proposed Director's

Decision for Comment (E)

After the assigned office director has concurred in the proposed director's decision, the petition manager will issue the letters to the

petitioner and the licensee enclosing the proposed director's decision

and requesting comments on it. The letters, with the enclosure, will be

made available to the public through the Agencywide Documents

Access and Management System (ADAMS). (1)

The intent of this step is to give the petitioner and the licensee an opportunity to identify errors in the decision. The letters will request a

response within a set period of time, nominally 2 weeks. The amount of

time allowed for the response may be adjusted depending on

circumstances. For example, forvery complex technical issues it maybe appropriate to allow more time for the petitioner and licensee to develop their comments. The letters, including the proposed director's

decision, should be transmitted to the recipients electronically or by fax, if possible. (2)

Approved: July 1, 1999 26 (Revised: October 25,2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Comment Disposition (F)

After the comment period closes on the proposed director's decision,

the assigned office will review the comments received and provide the

schedule to issue the director's decision to the Agency 2.206 Petition

Coordinator for inclusion in the next status report. The petition

manager will then evaluate any comments received on the proposed

decision, obtaining the assistance of the technical staff, as appropriate.

Although the staff requested comments from only the petitioner and

the licensee, comments from other sources (e.g., other members of the

public) may be received. These additional comments should be

addressed in the same manner as the comments from the petitioner and

licensee. A copy of the comments received and the associated staff

responses will be included in the director's decision. An attachment to

the decision will generally be used for this purpose. (1).

If no comments are received on the proposed decision, the petition

manager will include in the director's decision a reference to the letters

that requested comments and a statement that no comments were

received. (2)

If the comments from the petitioner include new information, the

petition reviewboard will be reconvened to determine whether to treat

the new information as part of the current petition or as a new

petition. (3)

Issuing the Director's Decision (G)

A decision under 10 CFR 2.206 consists of a letter to the petitioner, the

director's decision,, and the Federal Register notice. The petition

manager will obtain a director's decision number (i.e., DD-YY-XX)

from the Office of the Secretary (SECY). A director's decision number

is assigned to each director's'decision in numerical sequence. This

number is included on the letter to the petitioner, the director's

decision, and the Federal Register notice. Note that the director's

decision itself is not published in the FederalRegister; only the notice of

its availability, containing a summary of the substance of the decision, is

published (see Exhibits 6 and 7). (1)

The petition manager will prepare a letter to transmit the director's

decision to the petitioner and will also prepare the associated Federal

Register notice. If the staff's response to the petition involves issuing an

order, the petition man agerwill prepare a letter to transmit the order to

the licensee. The petition manager also will include a copy of the order

Approved: July 1, 1999

(Revised: October 25, 2000) 27
I XI

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Issuing the Director's Decision (G) (continued)

in the letter to the petitioner. When the director's decision has been

signed, the petition manager will promptly send a copy of the decision, electronically or by fax if possible, to the petitioner. Copies of the

director's decision and Federal Register notice that are sent to the

licensee and individuals on the service list(s) are dispatched simultaneously with the petitioner's 'copy. Before dispatching the

director's decision (or partial decision), the petition manager will

inform the petitioner of the imminent issuance of the decision and the substance of the decision. The petition manager will also ask the petitioner whether he or she wishes to continue receiving documents

related to the petition. (2)

The assigned office director will sign the cover letter, the director's decision, and the Federal Register notice. After the notice is signed, the

staff forwards it to the Rules and Directives Branch, Office of Administration (ADM/DAS/RDB), for transmittal to the Office of the

Federal Register for publication. The staff shall NOT include a copy of the director's decision in the package that is sent to RDB. RDB only forwards the Federal Register notice to be published. (3)

Administrative Issues (H)

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

petitioner, promptly dispatch the copies.)-(1)

* Rulemakings and Adjudications staff, SECY (a)

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

* Two courtesycopies ofthe entire decision package including the distribution and service lists (ii)

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

* Petitioner (b)

* Signed original letter (i)

* Signed director's decision (ii)

* A copy of the Federal Register notice (iii)

Approved: July 1, 1999 28 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Administrative Issues (H) (continued)

* Chief, Rules and Directives Branch (c)

* Original signed Federal Register notice only (do not include

the director's decision) (i)

* Five paper copies of the notice (ii)

* A disk with a WordPerfect file that contains the Federal

Register notice (iii)

The staff must fulfill these requirements promptly because the

Commission has 25 calendar days from the date of the decision to

determine whether or not the director's decision should be

reviewed. (2)

The staff will use the following guidelines when distributing copies

internally and externally-(3)

* When action on a 2.206 petition is completed, the petition manager

will ensure that all publicly releasable documentation is available to

the public in ADAMS. (a)

* The assigned office will determine the appropriate individuals and

offices to include on the distribution list. (b)

The administrative staff of the assigned office will complete the

following actions within 2 working days of issuance of the director's

decision: (4)

* Provide one paper copy of the director's decision to the special

counsel in the Office of the General Counsel assigned to 2.206

matters. (a)

* E-mail the final version of the director's decision to the NRC

Issuances (NRCI) Project Officer, Publishing Services Branch (PSB),

Office of the Chief Information Officer (OCIO). If other information

(opinions, partial information (such as errata), or footnotes) is

included in the e-mail, clearly identify the director's decision number

at the beginning of each file to avoid administrative delays and

improve the technical production schedule for proofreading, editing,

and composing the documents. In addition, send two paper copies of

the signed director's decision to the NRCI Project Officer. (b)

Approved: July 1, 1999

(Revised: October 25, 2000) 29
IL_

Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Part V

Administrative Issues (H) (continued)

* E-mail a signed, dated, and numbered copy of the director's

decision to "NRCWEB" for posting on the NRC's Web site. (c)

The petition manager will prepare headnotes, which are a summary of

the petition, consisting of no more than a few paragraphs describing what the petition requested and how the director's decision resolved or

closed out the petition. The petition manager will e-mail the headnotes

to the NRCI Project Officer, PSB, OCIO, for monthly publication in

the NRC Issuances, NUREG-0750. The headnotes should reach PSB

before the 5th day of the month following the issuance of the director's

decision. (5)

Finally, 90 days after issuance of the director's decision, the petition

manager will remove the petitioner's name from distribution and/or

the service list(s) and inform the licensee that it may also stop sending documents associated with the petition to the petitioner. (6)

Commission Actions (I)

SECY will inform the Commission of the availability of the director's

decision. The Commission, at its discretion, may determine to review

the director's decision within 25 days of the date of the decision and

may direct the staff to take some other action than that in the director's

decision. If the Commission does not act on the director's decision

within 25 days (unless the Commission extends the review time), the

director's decision becomes the final agency action and SECY sends a

letter to the petitioner informing the petitioner that the Commission

has taken no further action on the petition.

Approved: July 1, 1999

30 (Revised: October 25,2000)
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Volume 8, Licensee Oversight Programs

Review'Process for 10 CFR 2.206 Petitions

Handbook 8.11 'Exhibits

Exhibit 2

Petition Manager Checklist

O Review the petition for allegations and sensitive material. If sensitive, prevent releasing the document

to the public. Also determine whether or not any immediate actions requested require expedited staff

response.

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

to the petitioner.

E Send a copy of the incoming petition to the licensee and Document Control Desk (Public), with

redactions as appropriate.

o If a pre-PRB meeting or telecon is held, notice it (meeting only) and arrange for it to be recorded and

transcribed (meeting or telecon). Arrange the meeting and the PRB meeting which will follow it.

E Prepare a PRB presentation. Include the following information:

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

- What are the issues and their significance?

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

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

- What is your recommended approach to the response?

- What schedule is proposed?

o Hold the pre-PRB meeting or telecon.

E Address the PRB at its meeting.

0 Ensure assigned office management agrees with the PRB recommendations.

o Inform the petitioner of the PRB recommendations. Offer a post-PRB meeting.

E If a post-PRB meeting or telecon is held, notice it (meeting only) and arrange for it to be recorded and

transcribed. Arrange the meeting and the PRB meeting which will follow it

El Hold the post-PRB meeting or telecon.

O Address the PRB at its meeting.

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

telecon.

El Ensure the transcripts of the pre- and post-PRB meetings or telecons, if held, are added to ADAMS

and made publicly available. For meetings, this step can be done using the meeting summary.

Approved: July 1, 1999

(Revised: October 25,'2000) 33
u-i

Volume 8, Licensee Oversight Programs Review Process for 10 CFR-2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 2 (continued)

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

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

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

O Add petitioner to appropriate service list(s).

O Issue acknowledgment letter and associated Federal Register notice.

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

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

l Make periodic status updates to the petitioner.

0 Prepare the director's decision, addressing:

- Each of the petitioners' issues

- The safety significance of each issue

- The staff's evaluation of each issue and actions taken

El Ensure all referenced documents are added to ADAMS and made publicly available.

El Send the proposed director's decision to the petitioner and licensee for comment.

E After the comment period closes, give the schedule for the director's decision to the Agency 2.206 Petition Coordinator for inclusion in the next status report.

El Include comments received and their resolution in the director's decision.

El Prepare the Federal Register notice for the director's decision.

E As soon as the director's decision is signed:

- Inform the petitioner of the substance of the decision and that issuance is imminent.

- Hand-carry two full copies of the package (including the incoming(s) and distribution and service lists) and five additional copies to the Rulemakings and Adjudication Staff in SECY

- Hand-carry the original signed Federal Register notice (ONLY), five copies of the notice, and a diskwith the notice on it, to the Rules and Directives Branch. Do NOT include the director's decision in this package.

Approved: July 1, 1999 34. (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 2 (continued)

- Immediately dispatch the signed original letter and decision and a copy of the Federal Register notice to

the petitioner.

within 2 working days of issuing the Director's decision:

- Provide a copy of the director's decision to the OGC special counsel assigned to 2.206 matters.

- E-mail and send two paper copies of the director's decision to the NRC Issuances Project Officer in

OCIO.

- E-mail a signed, dated, and numbered copy of the director's decision to "NRCWEB."

- E-mail headnotes on the petition to the NRC Issuances Project Officer in OCIO.

Approved: July 1, 1999.

(Revised: October25,2000) 35
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 3

Sample Closure Letter for Requests That Are Not 2.206 Petitions

[Petitioner's Name]

[Petitioner's Address]

Dear Mr.:

Your petition dated [insert date] and addressed to the [insert addressee] has been referred

to the Office of [insert] pursuant to 10 CFR 2.206 of the Commission's regulations. You

request [state petitioner's requests]. As the basis for your request, you state that [insert basis for request].

[You met with our petition review board (PRB) on [insert date] to discuss your petition. The results of that discussion have been considered in the PRB's determination regarding

your request for immediate action and whether or not the petition meets the criteria for

consideration under 10 CFR 2.2061. OR [Our petition review board has reviewed your submittal]. The staff has concluded that your submittal does not meet the criteria for

consideration under 10 CFR 2.206 because [explain our basis, addressing all aspects of the

submittal and making reference to the appropriate criteria in this MD].

[Provide the staff's response, if available, to the issues raised]. AND/OR [Explain what

further actions, if any, the staff intends to take in response to the request (e.g., treat it as

an allegation or routine correspondence)].

Thank you for bringing these issues to the attention of the NRC.

Sincerely,

[Insert Division Director's Name]

[Office of [insert Office Name]

Docket Nos. [ ]

cc: [Licensee (w/copy of incoming 2.206 request) & Service List]

Approved: July 1, 1999 36 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Revew Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 4

Sample Acknowledgment Letter

[Petitioner's Name]

[Petitioner's Address]

Dear Mr.:

Your petition dated [insert date] and addressed to the [insert addressee] has been referred

to me pursuant to 10 CFR 2.206 of the Commission's regulations. You request [state

petitioner's requests]. As the basis for your request, you state that [insert basis for

request]. I would like to express my sincere appreciation for your effort in bringing these

matters to the attention of the NRC.

[You met with our Petition Review Board (PRB) on [insert date] to discuss your petition.

The results of that discussion have been considered in the PRB's determination regarding

[your request for immediate action and in establishing] the schedule for the review of your

petition]. Your request to [insert request for immediate action] at [insert facility name] is

\ _J [granted or denied] because [staff to provide explanation].

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

I have assigned [First and last name of petition manager] to be the petition manager for

your petition. Mr. [last name of petition manager] can be reached at [301415-extension of

petition manager] Your petition is being reviewed by [organizational units] within the

Office of [name of appropriate Office]. [If necessary, add: I have referred to the NRC

Office of the Inspector General (OIG) those allegations of NRC wrongdoing contained in'

your petition]. I have enclosed for your information a copy of the notice that is being filed

with the Office of the Federal Register for publication. I have also enclosed for your

information a copy of Management Directive 8.11 "Review Process for 10 CFR 2.206

Petitions," and the associated brochure NUREG/BR-0200, "Public Petition Process,"

prepared by the NRC Office of Public Affairs.

Sincerely,

[Office Director]

Enclosures: Federal Register Notice

Management Directive 8.11

NUREG/BR-0200

cc: [Licensee (w/copy of incoming 2.206 request) & Service List]

Approved: July 1, 1999

(Revised: October 25, 2000) 37
kLL

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 :Exhibits

Exhibit 5

[7590-01-P]

Sample Federal Register Notice

U.S. NUCLEAR REGULATORY COMMISSION

Docket No(s).

License No(s).

[Name of Licensee]

RECEIPT OF REQUEST FOR ACTION UNDER 10 CFR 2.206

Notice is hereby given that by petition dated [insert date]; [insert petitioner's name] (petitioner) has requested that the NRC take action with regard to [insert facility or licensee name]. The petitioner requests [state petitioner's requests].

As the basis for this request, the petitioner states that [state petitioner's basis for request].

The request is being treated pursuant to 10 CFR 2.206 of the Commission's

regulations. The request has been referred to the Director of the Office of [insert action office]. As provided by Section 2.206, appropriate action will be taken on this petition within a reasonable time. [The petitioner met with the [insert action office] petition review board on [insert date] to discuss the petition. The results of that discussion were considered

in the board's determination regarding [the petitioner's request for immediate action and in establishing] the schedule for the review of the petition]. [If necessary, add] By letter

dated ,the Director (granted or denied) petitioner's request for [insert request for immediate action] at [insert facility/licensee name]. A copy of the petition is available in ADAMS for inspection at the Commission's Public Document Room, located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland, and from the ADAMS Public Library component on the NRC's Web site, http://wwwnrc.gov (the Public Electronic Reading Room).

FOR THE NUCLEAR REGULATORY COMMISSION

[Office Director]

Dated at Rockville, Maryland

This day of , 200X.

Approved: July 1, 1999 38 (Revised: October 25, 2000)
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 6

Sample Director's Decision and Cover Letter

[Insert petitioner's name & address]

Dear [insert petitioner's name]:

This letter responds to the petition you filed with [EDO or other addressee of petition]

pursuant to Section 2.206 of Title 10 of the Code of Federal Regulations (10 CFR 2.206) on

[date of petition] as supplemented on [dates of any supplements]. In your petition you

requested that the NRC [list requested actions].

On [date of acknowledgment letter] the NRC staff acknowledged receiving your petition

and stated pursuant to 10 CFR 2.206 that your petition was being referred to me for action

and that it would be acted upon within a reasonable time. You were also told that [staff

response to any request for immediate action].

[You met with the petition review board on [date(s) of the pre- and/or post-PRB

meeting(s)] to clarify the bases for your petition. The transcript(s) of this/these mreeting(s)

was/were treated as (a) supplement(s) to the petition and are available in ADAMS for

inspection at the Commission's Public Document Room, located at One White Flint North,

11555 Rockville Pike (first floor), Rockville, Maryland, and from the ADAMS Public

Library component on the NRC's Web site, http:llwwwnrcgov (the Public Electronic

Reading Room)].

[By letter dated [insert date], the NRC staff requested [name of licensee] to provide

information related to the petition. [Name of licensee] responded on [insert date] and the

information provided was considered by the staff in its evaluation of the petition].

In your petition you stated that [summarize the issues raised]. [Briefly summarize the

safety significance of the issues and the staffs response].

[The NRC issued a Partial Director's Decision (DD-YY-XX) dated [insert] which [explain

what aspects of the petition were addressed]. [Explain which issues remained to be

addressed in this director's decision and briefly explain the reason for the delay on these

issues]].

The staff sent a copy of the proposed director's decision to you and to [licensee(s)] for

comment on [date]. [You responded with comments on [date] and the licensee responded

on [date]. The comments and the staff's response to them are included in the director's

decision]. OR The staff did not receive any comments on the proposed director's decision].

Approved: July 1, 1999

(Revised: October 25, 2000) 39
11J 

Volume 8, Licensee Oversight Programs Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 6 (continued)

[Summarize the issues addressed in this director's decision and the staff's response].

A copy of the Director's Decision (DD-YY-XX) will be filed with the Secretary of the

Commission for the Commission to review in accordance with 10 CFR 2.206(c). As

provided for by this regulation, the decision will constitute the final action of the

Commission 25 days after the date of the decision unless the Commission, on its own motion, institutes a review of the decision within that time. [The documents cited in the

enclosed decision are available in ADAMS for inspection at the Commission's Public

Document Room, located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland, and from the ADAMS Public Library component on the NRC's Web

site; http://www.nrc.gov (the Public Electronic Reading Room) (cite any exceptions involving proprietary or other protected information)].

I have also enclosed a copy of the notice of "Issuance of the Director's Decision Under

10 CFR 2.206" that has been filed with the Office of the Federal Register for publication.

[If appropriate, acknowledge the efforts of the petitioner in bringing the issues to the

attention of the NRC]. Please feel free to contact [petition manager name and number] to discuss any questions related to this petition.

Sincerely,

[Insert Office Director's Name]

Docket Nos. [ ]

Enclosures: Director's Decision YY-XX

Federal Register Notice

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

Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

DD-YY-XX

UNITED STATES OF AMERICA

NUCLEAR REGULATORY COMMISSION

OFFICE OF [INSERT]

[Office Director Name], Director

In the Matter of ) Docket No(s). [Insert]

)

)

[LICENSEE NAME] ) License No(s). [Insert]

* )

([Plant or facility name(s)]) ) (10 CER 2.206)

DIRECTOR'S DECISION UNDER 10 CFR 2.206

X> I. Introduction

By letter dated [insert date], as supplemented on [dates of supplements], [petitioner names

and, if applicable, represented organizations] filed a Petition pursuant to Title 10 of the

Code of Federal Regulations, Section 2.206. The petitioner(s) requested that the U.S.

Nuclear Regulatory Commission (NRC) take the following actions: [list requests]. The

bases for the requests were -[describe].

In a letter dated [insert], the NRC informed the Petitioners that their request for [list

immediate actions requested] was approved/denied and that the issues in the Petition were

being referred to the Office of [insert] for appropriate action.

[The Petitioner(s) met with the (assigned office abbreviation) petition review board on

[date(s) of the pre- and/or post-PRB meeting(s)] to clarify the bases for the Petition. The

transcript(s) of this/these meeting(s) was/were treated as (a) supplement(s) to the petition

and are available in ADAMS for inspection at the Commission's Public Document Room,

located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland,

and from the ADAMS Public Library component on the NRC's Web site, http://www.

nrc.gov (the Public Electronic Reading Room)].

[By letter dated [insert date], the NRC staff requested [name of licensee] to provide

information related to the petition. [Name of licensee] responded on [insert date] and the

information provided was considered by the staff in its evaluation of the petition].

[The NRC issued a Partial Director's Decision (DD-YY-XX) dated [insert] which [explain

what aspects of the petition were addressed]. [Explain which issues remained to be

Approved: July 1, 1999

(Revised: -October 25, 2000) 41
Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

addressed in this director's decision and briefly explain the reason for the delay on these

issues]].

The NRC sent a copy of the proposed director's decision to the Petitioner and to

[licensee(s)] for comment on [date]. [The Petitioner responded with comments on [date] and the licensee(s) responded on [date]. The comments and the NRC staff's response to

them are included in the director's decision]. OR [The staff did not receive any comments

on the proposed director's decision].

II. Discussion

[Discuss the issues raised, the significance of the issues (or lack thereof), and the staff's

response with supporting bases. Acknowledge any validated issues, even if the staff or the

licensee decided to take corrective actions other than those requested by the petitioner. Clearly explain all actions taken by the staff or the licensee to address the issues, even if

these actions were under way or completed before the petition was received. This

discussion must clearly present the staff response to all of the valid issues so that it is

clear that they have been addressed].

III. Conclusion

[Summarize the staff's conclusions with respect to the issues raised and how they have

been, or will be, addressed].

As provided in 10 CFR 2.206(c), a copy of this Director's Decision will be filed with the

Secretary of the Commission for the Commission to review. As provided for by this

regulation, the decision will constitute the final action of the Commission 25 days after the

date of the decision unless the Commission, on its own motion, institutes a review of the

decision within that time.

Dated at Rockville, Maryland, this [insert date] day of [insert month, year].

[Office director's name], Director

Office of [insert]

Approved: July 1, 1999 42 (Revised: October 25, 2000)
Volume8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 7

[7590-01 -P]

Sample Federal Register Notice for Director's Decision

U.S. NUCLEAR REGULATORY COMMISSION

Docket No(s).

License No(s).

[Name of Licensee]

NOTICE OF ISSUANCE OF DIRECTOR'S DECISION UNDER 10 CFR 2.206

Notice is hereby given that the Director, [name of office], has issued a director's

K..> decision with regard to a petition dated [insert date], filed by [insert petitioner's name],

hereinafter referred to as the "petitioner." [The petition was supplemented on [insert date,

include transcripts from meeting(s) with the PRB]]. The petition concerns the operation of

the [insert facility or licensee name].

The petition requested that [insert facility or licensee name] should be [insert

request for enforcement-related action]. [If necessary, add] The petitioner also requested

that a public meeting be held to discuss this matter in the'Washington, DC, area.

As the basis for the [insert date] ;request, the petition&r raised concerns'stemming

from [insert petitioners supporting basis for the request]. The [insert petitioners name]

considers such operation to be potentially unsafe and to bein violation of Federal

regulations. In'the petition, a number of references to [insert references] were cited that

the petitioner believes prohibit operation of the facility with [insert the cause'for the

requested enforcement-related action]. -

The petition of [insert date] raises concerns originating from [insert summary

information on more bases/rationale/discussion and supporting facts used in the

disposition of the petition and the development of the'director's decision].

Approved: July 1, 1999

(Revised: October25,2000) 43
Volume 8, Licensee. Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 7 (continued)

[On [insert date], the petitioner [and the licensee] met with the staff's petition review

board]. [On [insert date of public meeting], the NRC conducted a meeting regarding [insert

facility or licensee name]. The(se) meeting(s) gave the petitioner and the licensee an

opportunity to provide additional information and to clarify issues raised in the petition].

The NRC sent a copy of the proposed Director's Decision to the Petitioner and to

[licensee(s)] for comment on [date]. [The Petitioner responded with comments on [date] and

the licensee(s) responded on [date]. The comments and the NRC staffs response to them are

included in the Director's Decision]. OR [The staff did not receive any comments on the

proposed Director's Decision].

The Director of the Office of [name of office] has determined that the request(s), to

require [insert facility or licensee name] to be [insert request for enforcement-related

action], be [granted/denied]. The reasons for this decision are explained in the director's

decision pursuant to 10 CFR 2.206 [Insert DD No.], the complete text of which is available

in ADAMS for inspection at the Commission's Public Document Room, located at One

White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland, and via the

NRC's Web site (http:/lwwwnrc.gov) on the World Wide Web, under the "Public

Involvement" icon.

[Briefly summarize the staff's findings and conclusions].

A copy of the director's decision will be filed with the Secretary of the Commission

for the Commission's review in accordance with 10 CFR 2.206 of the Commission's

regulations. As provided for by this regulation, the director's decision will constitute the

final action of the Commission 25 days after the date of the decision, unless the

Commission, on its own motion, institutes a review of the director's decision in that time.

Dated at Rockville, Maryland, this [insert date] day of [insert month, year].

FOR THE NUCLEAR REGULATORY COMMISSION

Original Signed By

[Insert Office Director's Name]

Office of [insert Office Name]

Approved: July 1, 1999 44 (Revised: October 25, 2000)
.........

Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

Exhibit 8

Sample Letters Requesting Comments on the Proposed

Director's Decision

(Note: For clarity, separate letters will need to be sent to the petitioner and the licensee.

This sample provides guidance for both letters.)

[Insert petitioner's address] .

Dear [Insert petitioner's name]

Your petition dated [insert date] and addressed to the [insert addressee] has been reviewed

by the NRC staff pursuant to 10 CFR 2.206 of the Commission's regulations. The staff's

proposed director's decision on the petition is enclosed. I request that you provide

comments to me on any portions of the decision that you believe involve errors or any

issues in the petition that you believe have not been fully addressed. The staff is making a

similar request of the licensee. The staff will then review any comments provided by you

and the licensee and consider them in the final version of the director's decision with no

further opportunity to comment.

Please provide your comments by [insert date, nominally 2 weeks from the date of this

letter].

Sincerely,

[Signed by Division Director]

Docket Nos. []

cc w/o end: [Service List]

[Insert licensee's address]

Dear [Insert licensee's name]

By letter dated [insert date], [insert name of petitioner] submitted a petition pursuant to

10 CFR 2.206 of the Commission's regulations with respect to [insert name(s) of affected

facilities]. The petition has been reviewed by the NRC staff and the staff's proposed director's

decision on the petition is enclosed. I request that you provide comments to me on any

* portions of the decision that you believe involve errors or any issues in the petition that you

believe have not been fully addressed. The staff is making a similar request of the petitioner.

The staff will then review any comments provided by you and the petitioner and consider

them in the final version of the director's decision with no further opportunity to comment.

Approved: July 1, 1999

(Revised: October 25,2000) 45
kLJ1

Volume 8, Licensee Oversight Programs

Review Process for 10 CFR 2.206 Petitions

Handbook 8.11 Exhibits

K>-

Exhibit 8 (continued)

Please provide your comments by [insert date, nominally 2 weeks from the date of this

letter].

Sincerely,

[Signed by Division Director]

Docket Nos. [ ]

cc w/encl: [Service List]

-i

46 Approved: July 1, 1999

(Revised: October 25, 2000).