CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 1 

COMMISSION MEETINGS/HEARINGS 

GOVERNMENT IN THE SUNSHINE ACT 

The Government in the Sunshine Act (PL 94-409) (Sunshine Act) requires the collegial 

agencies of the Federal Government, including the NRC, to open meetings of their 

Commissioners to public observation except where the subject matter falls within one of 

the specific categories of exemption. The law is based on the premise that "the public is 

entitled to the fullest practicable information regarding the decision-making process of the 

Federal Government." The Sunshine Act applies to meetings of at least a quorum of 

Commissioners where deliberations determine or result in the joint conduct or disposition 

of official Commission business. This Chapter describes procedures for Commission 

meetings that are governed by the Sunshine Act, and briefly covers the scope of NonSunshine Act discussions. 

The Sunshine Act favors open meetings. An agency, however, is allowed to close a 

meeting or portions of a meeting or to withhold information about a meeting or portions of 

a meeting if the agency determines that the meeting or portions thereof, if opened, or the 

information, if released, would likely disclose exempted information protected from 

disclosure under one or more of the 10 exemptions authorized by the Sunshine Act. A 

list of these exemptions is contained in 10 CFR Part 9. Determinations to close a meeting 

require a recorded majority vote of the entire Commission membership. 

The Sunshine Act further requires NRC and similar agencies to publicly announce, at 

least 7 calendar days prior to each meeting, its time, place, and subject matter, and 

whether it is to be open or closed. The agency can provide less than 7 calendar days 

notice of a meeting, provided a majority of the Commission determines by recorded vote 

"that agency business requires" less notice. 

DEVELOPMENT OF COMMISSION SCHEDULE 

1. SECY prepares a schedule of Commission meetings from an assessment of the 

following considerations: 

a. a projection of anticipated meeting subjects from the EDO; 

b. projections and requirements known to SECY; 

c. input from Commissioners, OGC, OCA, OIP, CFO; 

d. availability of all Commissioners; 

e. readiness of affirmation items; 

 
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f. requests for meetings with the Commission by outside agencies or 

organizations; and 

g. requests for a meeting by any Commissioner. 

2. First priority is given to the scheduling of meetings on days when all 

Commissioners are available.

3. Factors such as holidays, Congressional hearings, availability of staff, and the 

conflicting schedules of individual Commissioners influence the dates and times 

available for meetings. As part of the data-gathering process, Commissioners' 

staffs record periods when the Commissioner will not be available for Commission 

meetings into an on-line automated calendaring system that provides an integrated 

daily schedule of Commissioner availability. 

4. SECY meets at pre-agenda sessions with the Chairman and representatives of 

OGC and EDO. The results of the pre-agenda meeting form the basis for the 

Chairman's proposed agenda to the other Commissioners. 

5. SECY provides to the Commission a package of materials in preparation for the 

Agenda Planning Session at least 5 business days prior to the Agenda Planning 

Session. The package containing the proposed Commission schedule, as 

approved by the Chairman, consists of: a future meetings list out to 26 weeks, the 

current Commission calendar for each month out to 3 months, final or proposed 

scheduling notes for Commission meetings out to 3 months, periodic meetings list, 

a list of items coming to the Commission for review (including staff-generated 

items), and an NRC Exercise Schedule. 

6. The purpose of the Agenda Planning Session, conducted by the Chairman and 

typically held monthly, is for the Commission to review, discuss, and approve the 

proposed meeting schedule, as well as any other agenda-related matters that the 

Chairman or individual Commissioners wish to address. Commissioners, their 

staff, and representatives from EDO, OGC, CFO, OIP, OCAA, and SECY normally 

attend and participate as appropriate. The Chairman presents a proposed agenda 

for collegial Commission discussion, but if a Commissioner desires that a meeting 

be scheduled, he or she should raise it at Agenda Planning or should inform SECY 

in writing, and provide copies of the notice and a proposed meeting scheduling 

note to all Commissioners. In recognition of the collegial process, an individual 

Commissioner’s request that a meeting be scheduled will be granted unless a 

majority of the Commission disapproves the request. 

7. The approved schedule of upcoming Commission meetings is disseminated within 

NRC by SECY in the form of the Commission calendar, with approved scheduling 

notes. A summary of the schedule limited to the coming 6-week period is also 

released to the Federal Register for publication and posted to the NRC external 

web site. The Commission will cancel or delay announced meetings only when 
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required by extraordinary circumstances and will provide as much notice as 

feasible in the event of a cancellation or delay. SECY will poll the Commission on 

whether to cancel or delay an announced meeting. In determining whether to 

cancel or delay an announced meeting, the Commission will consider inclement 

weather, government operating status, and any other relevant information. 

Cancellation or delay of an announced meeting requires support by a majority of 

the Commission. 

8. Guidelines for Stakeholder Participation in Commission meetings:

a. In planning Commission meetings, the Commission may determine that it 

would be useful and practical to obtain additional information or views 

through stakeholder participation. Emphasis will be given to meeting topics 

where a decision by the Commission on the topic is required (e.g., a 

notation vote paper is or will be before the Commission for action). In its 

discretion, the Commission may also schedule meetings with stakeholders 

covering a broad range of issues. 

b. In preparing draft scheduling notes, SECY in coordination with the staff will 

prepare a list of stakeholders that could be considered for invitation to brief 

the Commission. The staff should identify to SECY the stakeholders that 

have shown interest in the particular meeting topic along with its views for 

participation that could assist the Commission in making its decision (e.g., 

particularly active stakeholders). 

c. The Commission will decide who will participate in Commission meetings 

through its approval of draft scheduling notes. SECY will poll the 

Commission on draft scheduling notes that are not resolved at Agenda 

Planning Sessions. Commissioners may respond to SECY’s poll by 

proposing alternate or additional participants or topics. These proposals 

will be incorporated into scheduling notes if approved by a majority of the 

Commission. If necessary, SECY will poll the Commission to determine 

whether majority support exists for such proposals. In addition, if a 

Commission-approved participant is unavailable, SECY will poll the 

Commission to determine whether majority support exists for an alternate 

participant. 

d. The Commission will decide as part of Agenda Planning who will participate 

in the Commission meeting. If outside participants are invited, priority 

consideration will be given to other Federal agencies, states, elected 

officials, tribal governments, organizations, and persons that represent a 

broad spectrum of views, have specific interest in the meeting topic and 

bring a unique perspective to the briefing, and are experts on the subject 

matter. To the extent practical, the Commission will attempt to achieve a 

balance in the points of view represented at the meeting. The 

Commission’s goal of including stakeholders in Commission meetings is to 
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give the Commission information on a range of views on a given topic. It is 

not the Commission’s intent, nor is it realistic, to try to have every different 

view on a given topic represented at a meeting. Other organizations and 

individuals who express an interest in speaking will be encouraged to 

submit written comments for Commission consideration, which will be 

included as part of the record, and/or coordinate common interests with 

presenters who have agreed to participate. The Commission will not 

normally reconsider a decision on stakeholder participation. Should a 

stakeholder ask to be added to the list of participants, the Commission 

reserves the option to consider whether the stakeholder’s participation in 

the meeting would be helpful to the Commission. Such a request should be 

made in writing to the Secretary of the Commission 3 weeks in advance of 

the announced briefing. The written request should be clear as to who the 

stakeholder is representing and the unique perspective that would be 

provided at the briefing. Normally, the Commission will approve a final list 

of the participants for a Commission briefing at least 2 weeks in advance of 

the meeting. 

e. The Office of the Secretary will arrange the briefings and invite the 

participants that have been agreed to by the Commission. Only one 

speaker will be permitted per organization unless the Commission 

determines that broader participation is desirable or necessary. Outside 

participants will be grouped into panels as appropriate. The letter of 

invitation from the Secretary will state that participants should summarize 

their key points at the Commission meeting in 5-10 minutes. The specific 

amount of time for each speaker may be discussed at the Agenda Planning 

Session and is reflected in the scheduling note. Typically, the letter will also 

state that participants should submit written material no later than 5 

business days in advance of the meeting. Notice will also be given that the 

Commission reserves the right to withdraw an invitation to speak if the 

written material on the presentation is not provided 5 business days in 

advance of the meeting date. 

f. NRC staff will submit to the Commission pertinent SECY Papers or other 

documents 15 business days in advance of the scheduled Commission 

meeting. The Commission will be given at least 2 business days to review 

the staff’s meeting materials to determine if they should be released to the 

outside meeting participants and the public. It is the goal of the Commission 

to make documents that the Commission determines should be released 

available to meeting participants and publicly released at least 10 business 

days in advance of the Commission meeting. The Commission expects to 

receive meeting materials in a timely manner in the absence of an advance 

request from the staff for an extension of the due date. If meeting materials 

are not received in a timely manner, the Commission meeting may be 

rescheduled. Rescheduling an announced meeting requires support by a 

majority of the Commission. 
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FORMAT FOR COMMISSION MEETINGS 

The Commission has conducted business in both open and closed meetings and in 

several different meeting formats over the years. Adjustments in style, format, and 

conduct are made to best suit the information gathering and decision-making needs of 

the Commission. 

The majority of Commission meetings are open for public observation. Members of the 

public may attend meetings held in the Commission's main conference room, observe the 

presentations and discussions, and obtain copies of NRC documents released at the 

meeting. They may not address the Commission or other meeting participants without 

prior Commission approval. Most meetings are also webcast over the internet. 

Under certain circumstances allowed by the Sunshine Act, the Commission may meet in 

closed session. A separate conference room is normally utilized for this purpose. 

 1. Open/Public Commission Meetings

As previously noted, the Sunshine Act presumes that most Commission meetings will be 

conducted in public. Open meetings are held to enable the Commission to gather 

information in briefings by NRC staff members,21 the regulated industry, and members of 

the public in fulfillment of the Commission's responsibilities. In addition to gathering 

information in staff briefings, the Commission may utilize its meetings to provide the staff 

with guidance on future activities and/or vote on specific issues such as restart of a 

nuclear plant. Commission voting and decision-making activities may occur at the end of 

briefings by the staff, industry, and/or public, or voting may occur at a later date after the 

Commission has had the opportunity to consider the information received during the 

briefing or from other documents and views. 

Voting may also occur at short meetings (Affirmation Sessions) held to affirm final orders 

or rules developed in the notation voting process (see Chapter II for a description of 

Affirmation Papers and Chapter III “Votes at Commission Meetings”). Affirmation 

Sessions, which may involve a short 5-10 minute discussion of issues, are required by 

law22 and enable the Commissioners, in the presence of each other, to formally ratify 

 

 21 The procedures for staff presentations at Commission meetings are in Appendix 

8. 

 22 The provisions of the Energy Reorganization Act of 1974 require that a "quorum 

for the transaction of business shall consist of at least three members present" and 

that "[a]ction of the Commission shall be determined by a majority vote of the 

members present" (42 USC 5841). The Commission has determined that the 

requirement of "presence" does not preclude the Commission from meeting with 

the participation of a Commissioner who is "present" by speaker phone, so long as 

there is no impairment of the Commissioner's ability to hear and be heard by all 
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votes previously cast by notation vote. Affirmation Sessions are generally scheduled to 

obtain a formal vote of the Commission on recommended actions that legally bind those 

the NRC regulates or have a significant legal effect on persons outside the Commission. 

Such actions usually involve the issuance of final rules or adjudicatory orders. SECY will 

poll the Commission on scheduling the affirmation as soon as a majority position on the 

proposed action has been established and all extensions have expired. The Commission 

should strive to schedule affirmation at the earliest opportunity, giving at least 7 calendar 

days public notice (unless a majority of the Commission agrees to short notice) following 

either the establishment of a majority position of the Commission and expiration of all 

extensions, or direction from a majority of the Commission that affirmation should be 

scheduled. Significant orders of the Commission (and its Licensing Boards) are printed 

in a cumulative compilation of NRC adjudicatory decisions, NUREG-0750, “Nuclear 

Regulatory Commission Issuances.”23 

The Commission may also hold occasional open meetings for a collegial discussion of a 

variety of matters of current interest to individual Commissioners. These meetings, while 

open to the public, do not usually have a formal agenda, do not involve the active 

participation of the NRC staff, and do not result in a Commission decision on any 

particular issue discussed. 

All open meetings are transcribed by a stenographic reporter. In addition most open 

Commission meetings are webcast over the Internet providing real-time viewing of the 

meeting. These webcasts are also archived to provide for viewing at a later time. Other 

than stenographic edits made by SECY, transcripts are not edited or altered. SECY edits 

the stenographic transcripts for accuracy, maintains the transcripts, and releases them to 

the public. Transcripts contain a disclaimer stating that it is not a part of the formal or 

informal record of decision of matters discussed and that expressions of opinion in the 

transcript do not necessarily reflect final determinations or beliefs. 

2. Closed Commission Meetings

Under certain limited circumstances, the Commission may meet in closed session. The 

Sunshine Act allows the Commission to hold discussions in closed session when the 

discussion includes classified information, Safeguards Information, proprietary 

information, investigation and enforcement matters, internal management and personnel 

matters, certain adjudicatory/litigation matters, and information the premature disclosure 

of which would be likely to significantly frustrate implementation of a proposed 

Commission action. A detailed set of “Security Procedures for Conducting Classified 

Meetings/Hearings” has been issued by the Division of Security and Facilities Support, 

 

those in the room and no effect on the public rights of attendance and observation 

under the Sunshine Act. 

 23 Appendix 9 contains a description of the orders published in the Nuclear 

Regulatory Commission Issuances. 
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Office of Administration, in consultation with the Office of the Secretary. See Appendix 

10 for the procedures. 

As with open meetings, closed meetings are also used to provide the Commission with 

information in briefings by the staff and allow the Commission to make decisions, i.e., 

vote, on issues requiring a decision if a majority of the Commission agrees to vote at the 

meeting. 

The most common types of closed Commission meetings are: 

Management and Personnel – the Commission considers management, 

organization, and personnel issues requiring collegial attention. Attendance is very 

limited -- often only the Commissioners attend. 

Security Issues – briefings are held in closed session to discuss matters relating 

to the security and safeguards of nuclear material and facilities. 

 Executive Branch – briefings are held at the request of the Commission in closed 

session to permit representatives of Executive Branch Departments and Agencies 

to brief the Commission. These briefings are typically on sensitive, pre-decisional 

foreign policy issues, classified security matters, controlled unclassified 

information, and classified matters related to the Commission's responsibilities for 

the common defense and security of U.S. nuclear facilities and U.S.-origin 

facilities, equipment and materials overseas, and implementation of U.S. foreign 

and nonproliferation policies regarding import and export of nuclear materials and 

production and utilization facilities. 

Investigative Matters – on occasion, the Commission is briefed in closed session 

by the Inspector General and/or the Office of Investigations on pending 

investigative matters. 

Adjudicatory/Litigation – on occasion, the Commission is briefed in closed 

session by the General Counsel, the Solicitor, or the Office of Commission 

Appellate Adjudication on current adjudicatory/litigation matters. 

As required by the Sunshine Act, the NRC maintains a complete verbatim transcript or 

electronic recording of all closed meetings, except certain adjudicatory meetings, which 

may be recorded by detailed minutes. For every closed meeting, the General Counsel 

must certify that the meeting may be properly closed. The agency must maintain a copy 

of the General Counsel's certification along with a statement of the presiding officer of the 

meeting (the Chairman) stating the time and place of the meeting and listing the persons 

actually present. The Secretary prepares this statement for the Chairman. 

The records of closed meetings (transcripts, notes, and/or tape recordings) are normally 

retained by SECY, the Division of Nuclear Security in NSIR, or the Office of the Chairman, 

depending on the classification and sensitivity of the meeting. These records may be 
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released to the public following review and approval by the Commission. The reviews 

are conducted by the originators, other agencies if involved, NSIR as needed, OGC, and 

the Commissioners. SECY coordinates the review. 

3. Non-Sunshine Act Discussions

Non-Sunshine Act discussions among three or more Commissioners are appropriate and 

legally permissible only when discussions are preliminary, informal, informational, or “big 

picture.” If such a discussion begins to focus on discrete proposals or issues, such as to 

cause or be likely to cause individual participating members to form reasonably firm 

positions regarding matters pending or likely to arise before the agency, the discussion 

should be halted and continued only in the context of a Sunshine Act meeting, scheduled 

in accordance with the requirements of that statute. The Office of the Secretary maintains 

a record of the non-Sunshine Act meeting, which includes the date, time, topic and 

attendees (see Appendix 11). Unless determined otherwise by a majority of the 

Commission, the General Counsel and the Secretary of the Commission shall attend all 

non-Sunshine Act discussions to ensure that all legal requirements are met. If nonSunshine Act discussions take place via email amongst a quorum of the Commission, the 

General Counsel and the Secretary of the Commission should be copied on the 

messages. 

CONDUCT OF COMMISSION MEETINGS 

1. The Commission desires to start its meetings promptly at the time scheduled. The 

Chairman can begin a meeting as soon as a quorum of Commissioners is present. 

A Commissioner may request that the start of a meeting be briefly delayed, which 

the Chairman may grant at his or her discretion. 

2. Meetings are generally informal in nature; the Chairman or Acting Chairman 

presides at all meetings and assures equal opportunity for participation and 

questions by all Commissioners present.24 (Energy Reorganization Act, Section 

201(a)(1)). 

3. On occasion the Commission conducts formal sessions at which representatives 

of the parties in a particular adjudicatory proceeding are invited to present their 

positions in an oral argument before the Commission. Procedural arrangements 

are established by a majority of the Commission in advance to determine the 

issues for discussion and to specify time limits for each party's presentation and 

for Commissioner questions. 

 

 24 For example, the Commission recommends following the current practice, which 

rotates the sequence in which Commissioners are recognized to question 

participants so that each member of the Commission has equal opportunity to rotate 

through each position in the sequence over the course of multiple meetings. 
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4. A Commissioner who is unavoidably absent, such as because of medical leave or 

official travel, may take part in any Commission meeting, as described in this 

Chapter, provided that he or she is in two-way communication with the other 

Commissioners in the meeting by a device (e.g., a speaker phone) that allows the 

voice of the absent Commissioner to be heard by all present in the meeting room 

and allows the absent Commissioner to hear the entire discussion in the meeting. 

This procedure applies whether or not the participation of the absent 

Commissioner is needed to create a quorum for the transaction of business. A 

Commissioner participating in a meeting by speaker phone has the same rights of 

voting possessed by every other Commissioner. When this procedure is 

employed, the Secretary will ensure that voices are properly identified. 

MEETING-RELATED DOCUMENTS 

1. Documents in Advance of Meetings

In order to prepare for matters to be discussed at meetings, the following 

documents are required in advance so that the Commissioners may familiarize 

themselves with the purpose and content of matters to be presented: 

a. For staff-only briefings of the Commission, pertinent SECY papers, 

documents, or briefing outlines by the staff involved must (except in 

extraordinary circumstances) be available to Commissioners at least 10 

business days before a meeting on a particular subject is held. The staff 

should advise the Commission, as early as possible, of any anticipated 

failure to meet the due date for submission of meeting materials and request 

approval for any necessary extension of the due date. If the document is 

not available 10 business days in advance, the originating office must 

explain the reason to the Commission in a cover memorandum. 

Commissioners may request postponement of a meeting if they do not have 

sufficient time to review late arriving documents. When such requests are 

made, SECY discusses the issue with the Chairman and polls the other 

Commissioners to determine whether the meeting will be postponed. A 

meeting will be postponed if agreed to by a majority of the Commission. 

b. Slides, if they are to be used, should also be received by the Commission 

at least 5 business days prior to meetings. Slides are routinely posted to 

the NRC's external web site for open meetings for use by the public when 

viewing a webcast Commission meeting over the Internet. 

 

c. Staff scripts or speaker notes, if used, should be provided to the 

Commission at least 24 hours in advance of the meeting. 

d. Any memoranda by Commission-level offices pertinent to the subject matter 

should be available at least 10 business days prior to the meeting. 
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e. For Commission meetings at which stakeholders have been invited to 

speak, pertinent SECY papers, documents, or briefing outlines should be 

forwarded to the Commission for review at least 15 business days in 

advance of the meeting. This will allow the Commission time to review the 

documents prior to release to the meeting participants and the public. 

Public release will occur generally at 10 business days prior to the meeting. 

2. Documents at Meetings

At open Commission meetings, SECY ensures that copies of the principal 

documents referenced in the Commission schedule and slides are placed near the 

entrance of the Commission Conference Room for members of the public. Staff 

presenters are responsible for providing sufficient copies of the slides or other 

relevant written information for public availability and should ensure they arrive in 

the briefing room 30 minutes prior to the start of the meeting. SECY will ensure 

relevant SECY papers are publicly available in ADAMS and on the NRC external 

Web site prior to the Commission meeting. On occasion, additional copies of 

documents will be made available to members of the public at the meeting if it is 

anticipated that the discussion will draw upon information contained in the 

documents. SECY ensures that pertinent documents are publicly released prior 

to the meeting, subject to the agency’s policy on the release of documents 

containing sensitive information. 

STAFF REQUIREMENTS MEMORANDA (SRM) 

After Commission meetings, SECY prepares a draft SRM to memorialize the Commission 

decisions or actions that took place in or may arise from the meeting, as well as the 

associated requirements placed on staff for implementing action. Recommendations or 

suggestions made by individual Commissioners should be captured in the draft SRM as 

Additional Commissioner Comments for Commission review and approval. Final SRMs 

are issued to the action addressee, with copies to the Commissioners and interested staff 

offices. Procedures for developing, reviewing, and issuing meeting SRMs are identical 

to those described in Chapter III for SRMs on voting matters. 

BRIEFINGS OF THE COMMISSION ASSISTANTS 

Briefings by the staff to the Commission Assistants (CAs) may be originated by the staff 

or requested by a Commissioner office. In most cases, the staff will initiate the request 

based on the need to inform or update the Commission staffs of progress in specific areas 

or ongoing events. Similarly, a Commissioner office may request a briefing to provide 

more information or clarification on a specific topic and will request that the appropriate 

staff office (such as EDO, OGC, or another office) or SECY propose briefing times. These 

meetings should be held as promptly as possible. 

In either case, the staff office will coordinate with appropriate staff, including multiple 

offices if needed, to determine their availability and propose to SECY several dates and 
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times for the CA briefing. When an urgent CA brief is required, this should be explained 

in the request. CA briefings will normally be scheduled for 1 hour, unless otherwise noted. 

The CA briefing request to SECY should also include a description of what is to be 

conveyed to the CAs. In addition, the staff should highlight if the briefing relates to a 

SECY paper or COMSECY that is currently before the Commission, or a paper that is 

expected in the near future. 

SECY will forward the request to the CAs after checking the availability of the times 

offered against other commitments such as conference room availability, other 

Commission meetings, or other CA briefings. The Commission CAs are expected to 

respond promptly and are encouraged to support times that are mutually-convenient to 

all offices in order to finalize the schedule. 

CONDUCT OF MANDATORY HEARINGS ON 

APPLICATIONS FOR COMBINED LICENSES AND 

CONSTRUCTION PERMITS FOR MEDICAL ISOTOPE 

PRODUCTION AND UTILIZATION FACILITIES

1. Before the Hearing:

 

Notice: 10 CFR § 2.104(a) requires that the Secretary issue a notice of hearing for 

publication in the Federal Register as soon as practicable after a combined license (COL) 

or medical isotope production and utilization facility construction permit application has 

been docketed (or, in certain cases, tendered (see 10 CFR § 2.101(a)(2)). The Secretary 

will also issue a supplemental notice of hearing – specific to the uncontested or 

“mandatory,” portion of the proceeding – as soon as practicable after the staff submits to 

the Commission the Information Paper described below under “Pre-Filed Documents.” 

This supplemental notice should state: (1) the time and place of the hearing, (2) the nature 

of the hearing, (3) the authority under which the hearing is to be held, (4) the matters of 

fact and law to be considered (i.e., whether the staff’s review has been adequate to 

support the applicable findings), (5) the schedule for submittal of the pre-filed documents, 

and (6) the designation of the Commission itself as the presiding officer for the hearing. 

Pre-Filed Documents: Within one week of public issuance of the Final Safety Evaluation 

Report (FSER) or Final Environmental Impact Statement (FEIS)/Environmental 

Assessment (EA), whichever comes later, the NRC staff will submit an Information Paper 

to the Commission. This Information Paper will be made publicly available and should, 

at minimum: 

(1) Address each of the findings necessary for issuance of a COL or construction 

permit, and provide an adequate basis for the Commission to conclude whether 

each of these findings can be made. The Information Paper should not recap all 

matters in the safety or environmental review process, particularly routine aspects 

of the review where there was no actual complication or controversy. Rather, the 

Information Paper should be focused on non-routine matters. The staff should also 
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include a discussion of issues raised by the ACRS, as well as the staff’s responses 

thereto. 

(2) In focusing on non-routine matters, the areas of particular importance in 

supporting the safety and environmental findings would be any unique features of 

the facility or novel issues that arose as part of the review process. The Information 

Paper should exclude discussion of admitted contentions that have been (or are 

being) addressed in a contested proceeding before the Licensing Board. 

Additionally, the staff’s Information Paper should exclude matters that were 

previously addressed and resolved in the context of other reviews undertaken as 

part of the process, e.g., as part of an earlier Early Site Permit (ESP) review, an 

earlier reference COL review, or have been (or are being) addressed in the context 

of a rulemaking. 

(3) Include other aspects of the staff’s review that are important for the Commission 

to make its final decision but are not necessarily tied to specific findings. For 

instance, if an applicable design certification rulemaking is currently ongoing, the 

staff’s Information Paper should include a brief summary of any significant 

technical or policy issues that the staff believes would be of significant Commission 

interest and an estimate of the completion date of that rulemaking. 

This Information Paper shall serve as the staff’s primary pre-filed testimony. In addition 

to this paper, the staff shall identify its witnesses for the hearing and answer any 

Commission pre-hearing questions. Answers to any pre-hearing questions and the 

witness list would be due 21 days prior to the scheduled hearing date, unless the 

Commission directs otherwise. 

The following documents should be referenced in the pre-filed testimony and included as 

enclosures to the SECY paper or otherwise made available, for example, by providing 

ADAMS accession numbers: 

The license application and all supplements; 

The Final Safety Evaluation Report and all supplements; 

The Final Environmental Impact Statement or Environmental Assessment and all 

supplements; 

The pertinent letter from the Advisory Committee on Reactor Safeguards; and 

The proposed license or permit. 

In addition to the Information Paper, the staff may submit pre-filed testimony of its planned 

individual witnesses as late as 5 days in advance of the hearing. 

The applicant should also submit pre-filed written testimony, which would also be due 21 

days prior to the scheduled hearing date, unless the Commission directs otherwise. This 

testimony should, at minimum, include answers to any pre-hearing questions issued by 

the Commission and identify the applicant’s witnesses for the oral hearing. The applicant 

may also include in this pre-filed testimony any additional views that it wishes to provide. 
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Interested States, local government bodies, and federally recognized Indian Tribes may 

also submit written statements to the Commission. Such statements should be filed 36 

days prior to the scheduled hearing date. 

No filings submitted in an uncontested (i.e., “mandatory”) proceeding, whether submitted 

by the staff, the applicant, or an interested State, local government body, or federally 

recognized Indian Tribe, may address substantive issues within the scope of the 

contentions that have been admitted in a contested adjudicatory proceeding for the same 

application. Such filings would include, for instance, the staff’s Information Paper, the 

applicant’s pre-filed testimony, answers to pre-hearing questions, question responses 

filed subsequent to the hearing, and any statements filed by interested States, local 

government bodies, or federally recognized Indian Tribes. Presentations made at the 

oral hearing also should not address issues within the scope of admitted contentions. 

However, key reference documents such as the license application and supplements, the 

FSER, the FEIS or EA and supplements, the Advisory Committee on Reactor Safeguards 

letter, and the proposed license or permit need not be redacted to remove references to 

contested issues before being made available to the Commission for the uncontested 

hearing. 

Commissioners have the option of issuing written questions to the applicant or the staff 

before the hearing. Pursuant to his or her authority, the Secretary shall compile each 

Commissioner’s pre-hearing questions and issue them in the form of an order no later 

than 34 days before the scheduled hearing date. The order should specify the date by 

which responses to these questions must be filed (as indicated above, responses would 

generally be due 21 days prior to the scheduled hearing date and would be filed in 

conjunction with the witness list in the case of the staff and the witness list and any other 

pre-filed testimony in the case of the applicant). These questions could also serve to 

focus the parties’ presentations at the oral hearing. 

All documents submitted by the staff, the applicant, and interested States, local 

government bodies, and federally recognized Indian Tribes should be filed in accordance 

with 10 CFR § 2.302, docketed by SECY in accordance with 10 CFR § 2.303, and made 

part of the hearing record. 

No later than 14 days prior to the scheduled date of the oral hearing, the Secretary will 

also issue a scheduling order and note, which will provide additional logistical details 

regarding the hearing. If the Commission intends to invite an interested State, local 

government body, or federally recognized Indian Tribe to send a representative to the 

hearing, such an invitation will also be included in the scheduling order. Procedural 

arrangements are established by a majority of the Commission in advance to determine 

the topics for discussion and to specify time limits for each party's presentation and for 

Commissioner questions. 
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August 26, 2016 Chapter IV - Page 14 

2. The Hearing: 

Documents for the Hearing: A sufficient number of copies of slides or other relevant 

written information should be placed in the hearing room for the public 30 minutes before 

the start of the oral hearing. 

Opening Remarks: The Chairman will call the hearing to order, describe the nature of 

the proceeding, under what statutes and rules it is taking place, what findings the 

Commission would have to make before authorizing issuance of the license or permit, 

what the general order of the hearing will be, and when a Commission decision might be 

expected. 

Testimony: Witnesses for both the applicant and the NRC staff, as well as any 

representatives of interested States, local government bodies, or federally recognized 

Indian Tribes that the Commission has invited to participate, will be identified and sworn 

in by the Chairman. Before each hearing, the Commission will approve a scheduling note 

that specifies the order and composition of the witness panels for the hearing, states the 

topics the witness panels will discuss, and identifies the appropriate witness panel for 

Commissioner questions on relevant sections of the FSER and FEIS or EA (in responding 

to Commissioner questions, the witness panel may also invite other witnesses present at 

the hearing to answer). Any invited representatives of interested States, local government 

bodies, or federally recognized Indian Tribes will also participate as the Commission 

deems appropriate. Limited appearance statements will not be entertained. 

The maximum allotted time for each Commissioner to ask questions and receive answers 

to questions at the hearing should be established by a majority of the Commission prior 

to the hearing. Each Commissioner will decide how to divide his or her time for questions 

and answers among the witness panels not to exceed the allotted time. Any requests to 

extend this time may be granted by a majority of the Commissioners present. The 

Commission does not anticipate, even with many complex issues, that a hearing would 

last more than three business days. 

Post-hearing Responses to Follow-up Questions: If Commissioners, at the hearing, 

ask any follow-up questions that cannot be fully answered at the hearing itself, the staff, 

the applicant, and/or participating interested States, local government bodies, or federally 

recognized Indian Tribes, as appropriate, may file supplemental responses to such 

questions no later than 14 days after the hearing concludes (unless the Commission sets 

a different deadline for such responses). 

Record: The oral hearing will be transcribed, and the transcription reviewed for errors, 

corrected, and made part of the hearing record. See 10 CFR § 2.327. The 

Commissioners, applicant, staff, or any participating government or Tribal representative 

may submit transcript corrections within 7 days after the availability of the transcript. Also 

to be made part of the record will be any presentation materials used by the applicant, 

the staff, or representatives of interested States, local government bodies, or federally 
CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 15 

recognized Indian Tribes at the hearing and any written responses from the applicant and 

staff to orders or questions presented by the Commission. Except for the limited purpose 

of making any necessary transcript corrections, the record will close once the deadline 

for filing and post-hearing responses to questions posed at the hearing has passed or at 

the conclusion of the hearing if no such responses are filed. 

3. Commission Decision after the Hearing: 

The Commission adjudicatory decision after the oral hearing should address whether the 

staff’s review has been adequate to support the findings set forth in Parts 50, 51, and 52, 

or imposed by Commission order, as appropriate, or if inadequate identify which findings 

were insufficient, provide the basis for the Commission’s determinations, list the 

documents that comprise the entire record considered by the Commission and upon 

which it relied, and authorize the appropriate Office Director to issue, appropriately 

condition, or deny the combined license or construction permit, or order further actions, 

as appropriate. See 10 CFR § 2.344. 

In the event that a contested adjudicatory proceeding regarding the application is ongoing 

or has already taken place, at the time the Commission issues its decision in the 

uncontested proceeding, the Commission will condition its uncontested hearing decision 

as appropriate to ensure no prejudice is done to the contested proceeding. 

4. Schedule for Uncontested Hearings:

The Commission intends to issue adjudicatory decisions in mandatory hearings no later 

than 4 months after the FSER and FEIS or EA are both publicly issued, except that in the 

case of a COL proceeding, if an associated design certification rulemaking is still pending 

as of that date, the Commission will issue a decision immediately after affirming the final 

rule for the referenced design. 

The Commission also intends, to the extent practicable, to adhere to the target dates 

listed below for the key milestones leading up to the Commission decision. The 

Commission recognizes, however, that circumstances may warrant occasional deviations 

from these target dates. It is not anticipated, however, that, absent extraordinary 

circumstances, such deviations would alter the Commission’s overall objective of issuing 

its mandatory hearing decisions no later than 4 months from the public issuance of the 

later of the FSER, FEIS, or EA. 

Milestone Target Date

Staff submits Information Paper to 

Commission

Within one week of public issuance of 

FSER & FEIS or EA

Notice of mandatory hearing sent to 

Federal Register

As soon as practicable after staff’s 

Information Paper is submitted to the 

Commission
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August 26, 2016 Chapter IV - Page 16 

Interested States, local government 

bodies, or federally recognized Indian 

Tribes file any written statements

36 days before the hearing

Commission issues any pre-hearing 

questions

34 days before the hearing

Applicant files pre-filed testimony, 

including witness list and answers to any 

pre-hearing questions

21 days before the hearing

Staff files witness list and answers to any 

pre-hearing questions

21 days before the hearing

Secretary issues scheduling order and 

note

14 days before the hearing

Mandatory hearing commences 51 days after staff’s Information Paper is 

submitted to the Commission

Staff and applicant file responses to any 

follow-up questions

14 days after hearing is complete

Commission affirms adjudicatory decision 4 months after FSER & FEIS or EA are 

both publicly issued 

(In the case of a COL proceeding, 

affirmation at this stage takes place if the 

referenced design certification rulemaking 

is already complete. If the referenced 

design certification rulemaking is still 

pending as of 4 months after FSER & FEIS 

for COL are both publicly issued, 

affirmation takes place immediately after 

Commission affirms the final design 

certification rulemaking for the referenced 

design.)

TEMPLATE 

Notice of Hearing 

A template for drafting a mandatory hearing notice for a COL proceeding is provided 

below. This notice is to be used to provide specific information on the uncontested 

(“mandatory”) portion of the hearing and will be issued by SECY after receipt of the Staff’s 

SECY paper supporting the mandatory hearing for each COL application. Appropriate 

adjustments will be made to accommodate any case-specific circumstances (e.g., if the 

COL application contains an ITAAC closure request pursuant to 10 CFR 52.97(a)(2) or a 
CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 17 

limited work authorization request). Notices of hearing for medical isotope production 

and utilization facility construction permit proceedings will follow the same format but will 

be tailored to the specific application at issue. 

NUCLEAR REGULATORY COMMISSION 

Docket No. [Insert Docket Number] 

TITLE: In the Matter of [Insert name of Applicant]; Combined License for [Insert site 

name and number of units] Notice of Hearing 

I. BACKGROUND 

The Commission hereby gives notice that, pursuant to section 189a of the Atomic Energy 

Act it will convene an evidentiary session to receive testimony and exhibits in the 

uncontested portion of this proceeding regarding the [Insert Date of Application], 

application of [Insert Name of Applicant] for a 10 CFR Part 52 combined license (COL), 

seeking approval to construct and operate a new nuclear power generation facility at 

[Insert Site]. This mandatory hearing will concern safety and environmental matters 

relating to the proposed issuance of the requested COL, as more fully described below. 

Participants in the hearing are not to address any contested issues in their written filings 

or oral presentations. 

II. EVIDENTIARY UNCONTESTED HEARING 

The Commission will conduct this hearing at the specified location and time: 

 1. Date [Insert Date] Time: [Insert Time] Location: [Insert Location]

The hearing on these issues will continue on subsequent days, if necessary. 

III. PRESIDING OFFICER 

The Commission is the presiding officer for this proceeding. 

IV. MATTERS TO BE CONSIDERED 

The matter at issue in this proceeding is whether the review of the application by the 

Commission’s staff has been adequate to support the findings found in 10 CFR § 52.97 

and 10 CFR § 51.107. Those findings are as follows: 

Issues Pursuant to the Atomic Energy Act of 1954, as Amended

 (1) whether the applicable standards and requirements of the Act and the 

Commission’s regulations have been met; (2) whether any required notifications to other 

agencies or bodies have been duly made; (3) whether there is reasonable assurance that 
CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 18 

the facility will be constructed and will operate in conformity with the license, the 

provisions of the Act, and the Commission’s regulations; (4) whether the applicant is 

technically and financially qualified to engage in the activities authorized; (5) whether 

issuance of the license will not be inimical to the common defense and security or the 

health and safety of the public. 

Issues Pursuant to the National Environmental Policy Act (NEPA) of 1969, as 

Amended

 (1) Determine whether the requirements of Sections 102(2) (A), (C), and (E) of 

NEPA and the applicable regulations in 10 CFR Part 51 have been met; (2) independently 

consider the final balance among conflicting factors contained in the record of the 

proceeding with a view to determining the appropriate action to be taken; (3) determine, 

after weighing the environmental, economic, technical, and other benefits against 

environmental and other costs, and considering reasonable alternatives, whether the 

combined license should be issued, denied, or appropriately conditioned to protect 

environmental values; (4) determine whether the NEPA review conducted by the NRC 

staff has been adequate. 

V. SCHEDULE FOR SUBMITTAL OF PRE-FILED DOCUMENTS 

No later than [replace with date that is 21 days prior to the scheduled hearing date], 

unless the Commission directs otherwise, the staff and the applicant shall submit a list of 

its anticipated witnesses for the hearing. 

No later than [replace with date that is 21 days prior to the scheduled hearing date], 

unless the Commission directs otherwise, the applicant shall submit its pre-filed written 

testimony. The staff previously submitted its testimony on [replace with date of staff 

testimony]. 

The Commission may issue written questions to the applicant or the staff before the 

hearing. If such questions are issued, an order containing such questions will be issued 

no later than [replace with date 34 days before the scheduled hearing date]. 

Responses to such questions are due [replace with date that is 21 days prior to the 

scheduled hearing date], unless the Commission directs otherwise. 

VI. INTERESTED GOVERNMENT PARTICIPANTS 

No later than [replace with date that is 36 days prior to the oral evidentiary hearing], 

any interested State, local government body, or federally recognized Indian Tribe may file 

with the Commission a statement of any issues or questions that the State, local 

government body, or Indian Tribe wishes the Commission to give particular attention to 

as part of the uncontested hearing process. Such statement may be accompanied by 

any supporting documentation that the State, local government body, or Indian Tribe sees 

fit to provide. Any statements and supporting documentation (if any) received by the 
CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 19 

Commission using the agency’s E-filing system25 by the deadline indicated above will be 

made part of the record of the proceeding. The Commission will use such statements 

and documents as appropriate to inform its pre-hearing questions to the Staff and 

applicant, its inquiries at the oral hearing, and its decision following the hearing. The 

Commission may also request, prior to [replace with date that is no later than 14 days 

prior to the oral hearing], that one or more particular States, local government bodies, 

or Indian Tribes send one representative each to the evidentiary hearing to answer 

Commission questions and/or make a statement for the purpose of assisting the 

Commission’s exploration of one or more of the issues raised by the State, local 

government body, or Indian Tribe in the pre-hearing filings described above. The decision 

of whether to request the presence of a representative of a State, local government body, 

or Indian Tribe at the evidentiary hearing to make a statement and/or answer Commission 

questions is solely at the Commission’s discretion. The Commission’s request will specify 

the issue or issues that the representative should be prepared to address. 

States, local governments, or Indian Tribes should be aware that this evidentiary hearing 

is separate and distinct from the NRC’s contested hearing process. Issues within the 

scope of contentions that have been admitted in a contested proceeding for a COL 

application are outside the scope of the uncontested proceeding for that COL application. 

In addition, while States, local governments, or Indian Tribes participating as described 

above may take any position they wish, or no position at all, with respect to issues 

regarding the COL application or the NRC Staff’s associated environmental review that 

do fall within the scope of the uncontested proceeding (i.e., issues that are not within the 

scope of admitted contentions), they should be aware that many of the procedures and 

rights applicable to the NRC’s contested hearing process due to the inherently adversarial 

nature of such proceedings are not available with respect to this uncontested hearing. 

Participation in the NRC’s contested hearing process is governed by 10 CFR § 2.309 (for 

persons or entities, including States, local governments, or Indian Tribes, seeking to file 

contentions of their own) and 10 CFR § 2.315(c) (for interested States, local governments, 

and Indian Tribes] seeking to participate with respect to contentions filed by others). 

Participation in this uncontested hearing does not affect a State’s, local government’s, or 

Indian Tribe’s right to participate in the separate contested hearing process. 

If necessary: The Commission recognizes that [a request] / [requests] to participate 

under 10 CFR § 2.315(c) in proceedings regarding this COL application [was] / [were] 

previously dismissed on mootness grounds by an NRC Atomic Safety and Licensing 

Board. Such dismissals apply solely to the contested portion of the proceeding, and do 

not affect any rights to participate in this uncontested portion of the proceeding. 

 

 25 The process for accessing and using the agency’s E-filing system is described in 

the [DATE] notice of hearing that was issued by the Commission for this 

proceeding. See Notice of Hearing [xx FR xx]. Participants who are unable to use 

the EIE, or who will have difficulty complying with EIE requirements in the time 

frame provided for submission of written statements, may provide their statements 

by electronic mail to hearingdocket@nrc.gov. 
CHAPTER IV – COMMISSION MEETINGS/HEARINGS 

August 26, 2016 Chapter IV - Page 20 

If necessary: If the COL application contains an ITAAC closure request pursuant to 

52.97(a)(2) or an LWA request, appropriate language should be inserted regarding the 

necessary findings for those items.