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

For updates or revisions to policies contained in this MD that were issued after the MD was signed, 

please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

DT-16-23

Volume 5: Governmental Relations and Public Affairs

Approved By: Scott Moore, Acting Director

Office of Nuclear Material Safety and Safeguards

Date Approved: June 22, 2016

Expiration Date: June 22, 2021

Issuing Office: Office of Nuclear Material Safety and Safeguards 

Division of Material Safety, State, Tribal, and Rulemaking Programs

Contact Name: Joseph O’Hara

301-415-6854

EXECUTIVE SUMMARY

Management Directive (MD) 5.3, “Agreement State Participation in Working Groups,” has 

been updated to reflect organizational changes and current practices in the establishment 

and implementation of Agreement State participation in working groups. References to the 

Conference of Radiation Control Program Directors (CRCPD) participation on working groups 

have been removed as a result of a conflict with the Federal Advisory Committee Act (FACA) 

requirements. State representatives from CRCPD may participate in working groups only if 

the provisions of FACA are met. Procedure SA-801, “Agreement State Participation in NRC

Working Groups,” replaces Handbook 5.3. SA-801 references the agency’s processes for 

dissenting opinion in MD 10.159, “NRC Differing Professional Opinion Program.” 

Note that the Office of Federal and State Materials and Environmental Management 

Programs (FSME) and the Office of Nuclear Material Safety and Safeguards (NMSS) merged 

on October 5, 2014. Not all State procedures have been updated to reflect the new office 

name of NMSS. In the interim, current procedures are still in effect and will be referenced as 

FSME State Procedures until such time as they are reviewed and revised to include the new 

official office name. All procedures may be found on the NMSS public Web site

(https://scp.nrc.gov/), by selecting “Resources and Tools,” and then “NMSS Procedures.” 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

TABLE OF CONTENTS

I. POLICY.............................................................................................................................. 2

II. OBJECTIVES .................................................................................................................... 3

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 3

A. Director, Office of Nuclear Material Safety and Safeguards .......................................... 3

B. General Counsel........................................................................................................... 3

C. Lead NRC Office or Division......................................................................................... 3

D. Organization of Agreement States (OAS) Executive Board .......................................... 4

E. Working Group Chair, Co-Chair(s), or Task Leader...................................................... 4

F. NRC/Agreement State Working Group Coordinator...................................................... 5

G. NRC/Agreement State Working Group Member ........................................................... 5

H. Rulemaking Working Group Member(s) (All) ................................................................ 6

I. Steering Committee...................................................................................................... 7

J. Agreement State Rulemaking Working Group Member(s) ............................................ 7

IV. APPLICABILITY................................................................................................................ 8

V. DIRECTIVE HANDBOOK .................................................................................................. 8

VI. REFERENCES................................................................................................................... 8

I. POLICY

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

programs the opportunity for early and substantive involvement in the development or 

formulation of any rule, policy, directive or guidance document, as well as participation in 

any special study or other NRC activity, as authorized and directed under Section 274g. 

of the Atomic Energy Act of 1954, as amended. Management Directive (MD) 5.3 

describes the steps and process the NRC employees should follow to establish and 

implement NRC/Agreement State working groups as mechanisms for Agreement States 

to obtain this early and substantive involvement. 

B. The NRC uses two types of working groups for its regulatory activities. The 

NRC/Agreement State working groups normally develop policy, directives, or guidance 

recommendations. Rulemaking working groups normally develop recommendations for 

NRC regulations and associated guidance. In addition, steering committees comprised 

of NRC and Agreement State managers are also participants in this process. 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

II. OBJECTIVES

— Describe the steps to establish and implement NRC/Agreement State or rulemaking 

working groups.

— Develop a process through which every working group member—

1. Contributes to the development and implementation of a working group charter.

2. Aligns with the vision, purpose, and goals; as stated in the working group charter.

3. Commits to the highest standards for quality and effective problem solving.

4. Actively seeks improvements to processes and standards.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY

A. Director, Office of Nuclear Material Safety and Safeguards

As delegated by the Executive Director for Operations, provides management oversight of 

the activities described in this MD, as needed.

B. General Counsel

Ensures legal sufficiency and consistency with current laws, regulations, and agency 

policy, including but not limited to ensuring that there is no conflict with the Federal 

Advisory Committee Act (FACA).

C. Lead NRC Office or Division 

1. Recommends the establishment of working groups for issues that would directly 

affect an Agreement State. 

2. Approves the establishment of all NRC/Agreement State working groups, rulemaking 

working groups, and steering committees to help ensure appropriate coordination 

with Agreement States. 

3. Approves all charters of NRC/Agreement State working groups, rulemaking working 

groups and steering committees to help ensure efficient and effective purpose, 

function, and product.

4. Establishes a draft charter for the working group that preserves the essential 

elements of the request for participation, addresses the purpose, membership, 

objectives, operating rules, and schedule of the working group. 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

5. Establishes clear expectations for the working group regarding the purpose (the work 

expected) and the goals (the desired outcome and framework for recommendations) 

associated with the project. 

6. Establishes ground rules, roles, and responsibilities for working group members, as 

well as what work will be done and by whom. Ensures clear alignment between the 

issues being addressed and the goal(s) to be achieved.

7. Establishes measurable expectations with respect to timeliness, quality, and quantity. 

8. Establishes authority for decision making. 

9. Establishes expectations for communication strategies for (1) seeking input from 

stakeholders, when appropriate, and (2) providing status updates and results to 

the steering committee and the Organization of Agreement States (OAS) 

Executive Board. 

10. Ensures that the resources needed to accomplish the task are provided to the 

working group.

11. In the absence of the Director, the Deputy Director has the authority to perform these 

functions.

D. Organization of Agreement States (OAS) Executive Board

The NRC and OAS collaborated in the development of MD 5.3. Although this directive is 

an internal NRC document, the OAS Executive Board has responsibilities involving 

NRC/Agreement State working groups as follows:

1. Recommends the establishment of NRC/Agreement State working groups and 

steering committees. 

2. Consults with the Office of Nuclear Material Safety and Safeguards (NMSS) and/or 

any other lead NRC office on Agreement State involvement in rulemaking working 

groups. 

3. Determines Agreement State representatives on working groups.

4. The OAS Executive Board chair concurs in all charters of NRC/Agreement 

State working groups and, as applicable, rulemaking working groups and 

steering committees.

E. Working Group Chair, Co-Chair(s), or Task Leader

Depending on the task of the working group there may be a chair (rulemaking working 

group), co-chair(s) (NRC/Agreement State working groups), or a task leader (NMSS 

rulemaking working group).
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

1. Coordinates establishment of the working group.

2. Leads working group meetings including but not limited to establishing meeting 

schedules and agenda. 

3. Ensures the preparation of meeting minutes and other support activities, as 

appropriate. 

4. For rulemaking working groups, the NRC chair, co-chair, or task leader ensures that 

appropriate documents are made available in ADAMS and the Public Document Room. 

5. Ensures that the working group follows the charter, rulemaking plan, and regulatory 

basis, including the completion of all tasks within the agreed-upon timeframe. 

6. Ensures that the lead organization and the steering committee (if applicable) are kept 

informed of working group activities.

7. Ensures that issues and areas needing policy guidance or direction are brought 

to the lead organization or steering committee (if applicable) for discussion and 

resolution. If the working group has no steering committee and needs guidance, 

the chair, co-chair(s), or task leader will bring the issue(s) to the attention of the 

NRC office management, the OAS Executive Board, and the Office of the 

General Counsel, as applicable. 

8. Issues the final working group product or products.

F. NRC/Agreement State Working Group Coordinator

1. Ensures the working group members understand the process and objectives.

2. Informs division management of changes in the working group membership.

3. Facilitates the development of the working group charter.

4. Updates the status of all NRC/Agreement State and rulemaking working groups on a 

quarterly basis.

G. NRC/Agreement State Working Group Member

1. Works with the working group co-chair(s) or task leader to assess the tasks and 

milestones needed to—

(a) Complete draft working group products,

(b) Review and comment on drafts,

(c) Address comments, 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

(d) Prepare any briefing materials, and 

(e) Complete final working group products on time.

2. Reviews contractor reports, as appropriate.

3. Completes working group tasks and products, on time. 

4. Facilitates the concurrence process by assisting in resolving any significant issues or

concerns. 

5. Supports and participates in management briefings and any public meetings. 

6. Informs chair, co-chair(s), or task leader of any conflicting priorities and problems 

relative to completing tasks and products.

7. Ensures that their management’s opinions and views are presented to the working 

group.

8. The Agreement State member(s) of NRC/Agreement State working groups and 

rulemaking working groups will keep the OAS Executive Board apprised of the 

working group’s activities and solicits comments and input on working group issues. 

Notifies the OAS Executive Board of potential issues or concerns. Obtains views 

from other Agreement States, if possible. 

H. Rulemaking Working Group Member(s) (All)

These working groups may or may not include an Agreement State staff member. If the 

rulemaking working group will provide a compatibility recommendation, the working 

group must include an Agreement State representative.

1. Works with the task leader to assess the tasks and milestones needed to—

(a) Prepare the rule package,

(b) Prepare the rule documents, 

(c) Review and comment on drafts,

(d) Address comments, 

(e) Estimate information collection burden, 

(f) Prepare briefing materials, and 

(g) Complete the rulemaking package on time. 

2. Reviews contractor reports, as appropriate. 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

3. Prepares associated guidance (including licensing, inspection, and enforcement 

guidance), as appropriate, and helps develop milestones for its preparation so that 

final guidance will be available at the time the rule is implemented. 

4. Facilitates the rulemaking concurrence process by assisting with resolving any 

significant issues or concerns. 

5. Attends and participates in working group meetings, including being appropriately 

prepared.

6. Supports and participates in management briefings and any public meetings. 

7. Informs chair, co-chair(s), or task leader of conflicting priorities or problems relative 

to completion of tasks and products. 

8. Ensures that their management’s opinions and views are understood and presented 

to the working group. 

I. Steering Committee

1. For the associated working group, reviews, and comments on the working group 

charter. 

2. Provides guidance and direction to the working group.

3. Assists in resolving issues raised by working group members and facilitates the 

development of consensus documents. 

4. Provides insight on the technical, regulatory, and policy issues being addressed by 

the working group. 

5. Provides feedback on draft working group products. 

6. Reviews the final working group products and provides feedback on whether they 

are ready for issuance, fully address the substance of the charter, and are of 

sufficient depth, quality, and content. 

7. Keeps applicable office or division senior management informed of issues, 

schedules, and the working group’s activities, as necessary.

8. The Agreement State members of the steering committee groups will keep the OAS 

Executive Board apprised of activities and notify the OAS Executive Board of 

potential issues or concerns.

J. Agreement State Rulemaking Working Group Member(s)

1. Keeps the OAS Executive Board apprised of the rulemaking working group’s 

activities, and solicit comments and input on working group issues. 
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

2. Notifies the OAS Executive Board of any potential issues or concerns. 

3. Obtains views from other Agreement States, if possible.

IV. APPLICABILITY

The policy and guidance in MD 5.3 apply to all NRC employees who are responsible for 

establishing and participating in NRC/Agreement State and rulemaking working groups. The 

NRC and OAS collaborated in the development of MD 5.3, and therefore, Agreement State 

representatives are expected to abide by this directive.

V. DIRECTIVE HANDBOOK

Handbook 5.3 consists of NMSS Procedure SA-801, “Agreement State Participation in 

Working Groups.” It provides guidance for the establishment and implementation of 

NRC/Agreement State and rulemaking working groups for NMSS. SA-801 is available at 

https://scp.nrc.gov/.

VI. REFERENCES

Code of Federal Regulations

10 CFR 2.802, “Petition for Rulemaking—Requirements for Filing.”

10 CFR 2.803, “Petition for Rulemaking—NRC Action.”

Nuclear Regulatory Commission Documents

Commission Paper, COMKC-91-007, “Improving Cooperation with Agreement States,”

memorandum from Samuel J. Chilk, Secretary, to James M. Taylor, Executive Director 

for Operations, and Harold R. Denton, Director, Office of Governmental and Public 

Affairs, April 11, 1991 (ML010100091).

Management Directives—

3.5, “Attendance at NRC Staff-Sponsored Meetings.”

6.3, “The Rulemaking Process.”

10.159, “The NRC Differing Professional Opinion Program.”

NMSS Functional Description on the NRC Public Web Site: 

http://www.nrc.gov/about-nrc/organization/nmssfuncdesc.html.

NMSS Procedures on the NRC Public Web Site: 

https://scp.nrc.gov/.
MD 5.3 AGREEMENT STATE PARTICIPATION IN 

WORKING GROUPS

Date Approved: 06/22/2016

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

NMSS Procedure SA-801, “Agreement State Participation in NRC Working Groups,”

available at https://scp.nrc.gov/procedures.html. 

NMSS State Procedures (formerly known as FSME State Procedures) Web Site: 

https://scp.nrc.gov.

NMSS Policy and Procedures 6-10, “FSME Procedures for Preparation and Review of 

Rulemaking Packages,” Revision 2.

NMSS Public Meeting Schedule Web Site:

http://meetings.nrc.gov/pmns/mtg.

NRC, “Enhancing Public Participation in NRC Meetings; Policy Statement,” 

67 FR 36920, May 28, 2002.

NRC Public Affairs Web Site:

http://www.nrc.gov/about-nrc/public-affairs.html.

NUREG-BR/0053, “United States Nuclear Regulatory Commission Regulations 

Handbook,” available at 

http://www.nrc.gov/reading-rm/doc-collections/nuregs/brochures/br0053/. 

United States Code

Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).

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