7436 Federal Register / Vol. 52. No. 47 / Wednesday, March 11, 1987 / Proposed Rules Commission concluded, however, that with such a formulation of the rule, with essentially no guidance on how to determine what must be reported, it would be difficult for licensees or applicants to predict with any certainty what the Commission will deem to be material. Such a rule would likely provide little incentive for licensees or applicants to scrutinize or police their information gathering process for reportable information. The purpose of the reporting requirement which is being proposed is to provide clear notice that if any applicant or licensee recognizes it has information with significant health or safety or common defense or security implications, the information must be reported to the NRC notwithstanding the absence of a specific reporting requirement. Submission of a report depends upon the licensee's recognition of the significance of the information. The codification of a full disclosure requirement in this manner should not result in additional burdens on applicants and licensees. Licensees and applicants will not be required to develop formal programs similar to those prescribed under 10 CFR Part 21 to identify, evaluate, and report information. What is expected is a professional attitude toward safety throughout a licensee's or applicant's organization such that if a person identifies some potential safety information, the information will be freely provided to the appropriate company officials to determine its safety significance and reportability to the Commission. While proposed paragraph (b) defers to the licensee's judgment of the significance of information, the licensee's "identification" of the significance of the information need not be in the form of a specific documented decision before a violation of the rule exists for failure to report. An applicant's or licensee's recognition of information as significant could be established by the fact that specific meetings were held to discuss the matter, analyses performed or other internal actions taken to evaluate the matter. In addition, abuse of a licensee's responsibility under paragraph (b), if not punishable as a violation of paragraph (b), could be addressed by the Commission under its authority to issue orders to modify, suspend or revoke a license. For example, an order would be appropriate where the action of a licensee in not recognizing the significance of the information and failing to report it, together with other relevant facts, raises serious questions about either its competence, i.e., its ability to evaluate information, or its trustworthiness, i.e., its failure to consider potentially significant information for evaluation. Finally, the Commission has decided to exercise its discretion in the application of the term material false statement to miscommunications and limit use of the term to situations where there is an element of intent. A Charge of material false statement is equated by the public and most people in the industry with lying and intention to mislead. Yet under the current policy, a material false statement under the Atomic Energy Act can be either an affirmative statement, oral as well as written, or an omission, and can be unintended and inadvertent as well as international. The Advisory Committee concluded that enforcement of accuracy in communications by citations for a material false statement is "too blunt and heavy an instrument to be effective in achieving improved accuracy and completeness of information given to the NRC by licensees." The Commission agrees. The free flow of information from applicants and licensees is essential to the effectiveness of the NRC's regulatory program. A policy of sanctions for inaccurate information which has the likelihood to impede information flow, or which causes licensees to concentrate on limiting and qualifying what they say rather than on the quality of the information provided in order to avoid being charged with lying, does not serve the interests of the NRC. This change recognizes the negative connotations which are associated by the public and the industry with the term material false statement but retains the use of this label as an additional enforcement tool in egregious situations, which will be determined on a case-bycase basis. The Commission expects to use the term rarely because with the adoption of this proposed rule, the Commission will have the mechanism to apply the full range of enforcement sanctions to inaccurate communications or records without reliance on the term material false statement. Consequently, the Commission sees no need to develop a specific definition of the term "material false statement." The Any characterization or use which the Commission gives to the term material false statement as used in the Atomic Energy Act of 1854. as amended. is, of course. limited to the Commission's civil enforcement actions and has no legal impact on the meaning given to similar terms and phrases used in other statutes, eg. 18 U.S.C. 1001. or on the authority of the Department of Justice to prosecute under such statutes. Thus, regardless of what enforcement action NRC may take for a communication failure, the failure may be subject to criminal sanctions. Department of Justice supports this approach in view of the potential for confusion from the Commission's use of the term material false statement in its civil context and prosecutions for material false statements under 18 U.S.C. 1001. However, should a violation of the proposed requirement for complete and accurate information be lableled as a material false statement, it is expected that the communication failure will be flagrant and involving, for example, instances (1) where an inaccurate or incomplete written or sworn oral statement is made knowing the statement is inaccurate or incomplete, or with careless disregard for its accuracy or completeness; or (2) where an inaccurate or incomplete unsworn oral statement is made with a clearly demonstrable knowledge of its inaccuracy or incompleteness. The Commission's existing material false statement policy is currently reflected in the General Statement of Policy and Procedure for NRC Enforcement Actions, 10 CFR Part 2. Appendix C. Modifications to this policy to reflect the new rules and the changes to Commission policy announced here will be made at the time a final rule on this subject is adopted by the Commission. Environmental Impact: Categorical With respect to the proposed amendments to 10 CFR Parts 30, 40, 50, 60, 61, 70, 71, and 72, the NRC bas determined that the proposed rule is the type of action described in categorical exclusion 10 CFR 51.22(c)(3). The NRC has also determined that the proposed amendments to 10 CFR Parts 55, 110, and 150 meet the eligibility criteria for the categorical exclusion described in 10 CFR 51.22(c)(1). Accordingly, neither an environmental impact statement nor an environmental assessment has been prepared in connection with the issuance of the proposed rule. Paperwork Reduction Act Statement This proposed rule would add a specific information collection requirement that is subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). This proposed rule is being submitted to the Office of Management and Budget for review and approval of the paperwork requirement. Regulatory Analysis The Commission's current requirement for accuracy and completeness of information provided to the Commission is specified in the adjudicatory decision rendered with Federal Register / Vol. 52, No. 47 / Wednesday, March 11, 1987 / Proposed Rules respect to an enforcement action taken material false statement to communications from licensees and Backfit Statement The proposed rule codifies the existing obligations of applicants and licensees to provide information relating to licensed activities which could have significant implications for those activities and to ensure that all information provided to the Commission or maintained pursuant to Commission requirements is complete and accurate in all material respects. The Commission has determined, therefore, that the backfit rule, 10 CFR 50.109, does not apply to the proposed rule. The rule is purely administrative in nature, and therefore does not result in the "modification of or addition to systems, structures, components, or design of a facility...or the procedures or organization required to design, construct, or operate a facility..." See 10 CFR 50.109(a)(1). Regulatory Flexibility Certification As required by the Regulatory Any small entity subject to this (a) The licensee's size in terms of annual income or revenue, and number of employees; (b) How the proposed regulation would result in a significant economic burden upon the licensee as compared to that on a larger licensee; (c) How the proposed regulations 2 could be modified to take into account List of Subjects 10 CFR Part 30 Byproduct material, Government Government contracts, Hazardous Antitrust, Classified information, Fire prevention, Incorporation by reference, Intergovernmental relations, Nuclear power plants and reactors, Penalty, Radiation protection, Reactor siting criteria, Reporting requirements. 10 CFR Part 55 7437 Manpower training programs, Nuclear power plants and reactors, Penalty, Reporting and recordkeeping requirements. 10 CFR Part 60 High-level waste. Nuclear power plants and reactors, Nuclear materials, Penalty, Reporting and recordkeeping requirements, Waste treatment and disposal. 10 CFR Part 61 Low-level waste, Nuclear materials, Penalty, Reporting and recordkeeping requirements, Waste treatment and disposal. 10 CFR Part 70 Hazardous materials-transportation, Nuclear materials, Packaging and containers, Penalty, Radiation protection, Reporting and recordkeeping requirements, Scientific equipment. Security measures. Special nuclear material. 10 CFR Part 71 Hazardous materials-transportation, Nuclear materials, Packaging and containers, Penalty, Reporting and recordkeeping requirements. 10 CFR Part 72 Manpower training programs, Nuclear materials, Occupational safety and health, Reporting and recordkeeping requirements, Security measures, Spent fuel. 10 CFR Part 110 Administrative practice and procedure, Classified information, Export, Import, Intergovernmental relations, Nuclear materials, Nuclear power plants and reactors, Penalty. Reporting and recordkeeping requirements, Scientific equipment. 10 CFR Part 150 Hazardous materials-transportation, Intergovernmental relations, Nuclear materials, Penalty, Reporting and recordkeeping requirements, Security measures, Source material, Special nuclear material. For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reoganization Act of 1974, as amended, and 5 U.S.C. 553, the NRC is proposing to adopt the following amendments to 10 CFR Parts 30, 40, 50, 55, 60, 61, 70, 71, 72, 110 and 150. 7438 Federal Register Vol. 32, No. 47 / Wednesday, March 11,11987 / Proposed Rules PART-30-RULES OF GENERAL 1. The authority citation for Part 30 is? revised to read as follows: Authority: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec.~* 234, 83 Stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, 1244, 1246 (42 U.S.C. 5841, 5842, 5846). Section 30.7 also issued under Pub. L. 95601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (442 U.S.C. 2234). Section 30.61 also issued under Sec. 187, 68, Stat. 955 (42 U.S.C. 2237). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273); §§ 30.3 30.34 (b) and (c), 30.41(a) and (c), and 30.53 are issued under sec. 181b., 68 Stat. 948 as amended (42 U.S.C, 2201(b)); and $30.6, 30.9, 30.36, 30.51, 30.52, 30.55 and 30.56 (b) and (c) are issued under ser.. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 2. Immediately following § 30.8, a new. 30.9 is added under the undesignated center heading "General Provisions" to read as follows: $30.9 Completeness and accuracy of Information. (a) Information provided to the Commission by an applicant for a license or by a licensee or information. required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. PART 40-DOMESTIC LICENSING OF 3. The authority citation for Part 40 is revised to read as follows: Authority: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 Stat. 932, 933, 935, 948, 953, 955, as amended, secs. 11(e)(2), 83, 84, Pub. L. 95-804, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2014(e)(2). 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2236, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. ›› 275, 92 Stat. 3021, as amended by Pub. L. 97415, 96 Stat. 2067 (42 U.S.C. 2022). Section 40.7 also issued under Pub. L. 95601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 40.31(g) is also issued under sec. 122,1 68 Stat. 939 (42 U.S.C. 2152). Section 40.48 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 40.71 also. issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273), §§ 40.3, 40.25(d) (1) through (3), 40.35(a) through (d), 40.41 (b) and (c), 40.468, 40.51 (a) and (c), and 40.63 are issued under sec. 161b, 68 Stat. 948 as amended, (42 U.S.C. 2201(b)); and §§ 40.5 40.9 40.25 (c), (d) (3), and (4), 40.26(c)(2), 40.35(e), 40.42, 40.61, 40.62, 40.64 and 40.65 are issued under sec. 1810, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 4. Immediately following §40.8, a new $40.9 is added under the undesignated center heading "General Provisions" to read as follows: $40.9 Completeness and accuracy of Information. (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. PART 50-DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES 5. The authority citation for Part 50 is revised to read as follows: Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936, 937, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 1244, as amended(42 U.S.C. 2133, 2134, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202, 206, 88 Stat. 1242 1244, 1246, as amended (42 U.S.C. 5841, 5842 5846), unless otherwise noted. Section 50.7 also issued under Pub. L. 95601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Sections 50.58, 50.91 and 50.92 also issued under Pub. L. 97-415, 96 Stat. 2073 (42 U.S.C.} 2239). Section 50.78 also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Sections 50.80 through 50.81 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Sections 50.100 through 50.102 also issued under sec. 186, 68 Stat. 955 (42 U.S.C. 2236). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273); §§ 50.10 (a), (b). and (c), 50.44, 50.48, 50.48, 50.54, and 50.80(a) are issued under sec. 161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b)); §§ 50.10 (b) and (c) under 50.54 are issued under sec. 1811, 68 Stat. 949, as amended (42 U.S.C. 2201(i)); and $50.9, 50.55(e), 50.59(b), 50.70, 50.71, 50.72, 50.73, and 50.78 are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 6. Immediately following § 50.8, a new § 50.9 is added under the undesignated center heading "General Provisions" to read as follows: $50.9 Completeness and accuracy of Information. (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license condition to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and sécurity. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Federal Register / Vol 52 No. 47 / Wednesday, March 11, 1987 / Proposed Rules Commission by other reporting or PART 55-OPERATORS' LICENSES 7 The authority citation for Part 55 is révised to read as follows: Authority: Secs. 107, 161, 68 Stat. 939, 948, - as amended (42 U.S.C. 3137, 2201); secs. 201,, as amended, 202, 88 Stat. 1242, as amended,.. 1244 (42 U.S.C. 5841, 5842). Section 55.40 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273), §§ 55.3 and 55.31 (a) through (d) are issued under sec. 1811, 68 Stat. 949, as amended (42 U.S.C. 2201(i)); and $55.6b, 55.9 and 55.41 are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 8. Immediately following § 55.6a, a § 55.6b Completeness and accuracy of (a) Information provided to the Commission's regulations, orders, or (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. PART 60-DISPOSAL OF HIGH LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES 9. The authority citation for Part 60 is revised to read as follows: Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233), secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L91-190, 83 Stat. 853 (42 U.S.C. 4332); sec.: 121, Pub. L. 97-425, 96 Stat. 2228 (42 U.S.C. 10141). For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273). §§ 60.88, 60.71 to 60.75 are issued under sec. 1610, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 10. Immediately following § 60.8, a new § 60.8a is added to Subpart A to read as follows: § 60.8 Completeness and accuracy of Information. (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. PART 61-LICENSING REQUIREMENTS FOR LAND 11. The authority citation for Part 61 is revised to read as follows: Authority: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2073, 2077, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5821). For the purposes of sec. 223, 68 Stat. 958, as amended, (42 U.S.C. 2273); Tables 1 and 2, §§ 61.3, 61.24, 61.25, 61.27(a), 61.41 through 61.43, 61.52, 61.53, 81.55, 61.56, and 61.61 through 61.63 are issued under sec. 161b, 88 Stat. 948, as amended (42 U.S.C. 2201(b)); $61.8a, 61.10 through 61.16, 61.24, and 61.80 are issued under sec. 1810, 68 Stat. 950, as amended (42 U.S.C. 2201(0)). 12. Immediately following § 61.8, a new § 61.8a is added to Subpart A to read as follows: 7439 §61.8a Completeness and accuracy of Information. (a) Information provided to the Commission by an applicant for a license or by a licensee or information required by statute or by the Commission's regulations, orders, or license conditions to be maintained by the applicant or the licensee shall be complete and accurate in all material respects. (b) Each applicant or licensee shall notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant or licensee violates this paragraph only if the applicant or licensee fails to notify the Commission of information that the applicant or licensee has identified as having a significant implication for public health and safety or common defense and security. Notification shall be provided to the Administrator of the appropriate Regional Office within two working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements. PART 70-DOMESTIC LICENSING OR SPECIAL NUCLEAR MATERIAL 113. The authority citation for Part 70 is revised to read as follows: Authority: Secs. 51, 53 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954, as amended sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2201, 2232, 2282); secs. 201, as amended, 202, 204, 206, 88 Stat. 1242, as amended, 1244, 1245, 1246, (42 U.S.C. 5841, 5842, 5845, 5846). Section 70.7 also issued under Pub. L. 95601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 88 Stat. 475 (42 U.S.C. 2077). Section 70.36 and 70.44 also issued under sec. 184, 68 Stat. 954 as amended (42 U.S.C. 2234). Section 70.61 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). Section 70.62 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138). For the purposes of sec. 223, 68 Stat. 958, as amended, (42 U.S.C. 2273); §§ 70.3, 70.19(c), 70.21(c), 70.22(a), (b), (d) through (k), 70.24(a) and (b), 70.32(a)(3), (5), (6), (d), and (i), 70.36, 70.39(b) and (c), 7041(a), 70.42(a) and (c), 70.58, 70.57(b), (c), and (d), 70.58(a) through (8)(3) and (h) through (j) are issued under sec. 161b, 68 Stat. 948, as amended (42 U.S.C. 2201(b); § 70.7, 70.20a (a) and (d), 70.20b (c) and (e), 70.21(c), 70.24(b), 70.32(a)(6), (c), (d). (e), and (g), 70.36, 70.51(c) through (g), 70.56, 70.57(b) and (d), and 70.58(a) through (g)(3) and (h) through (j) are issued under sec. 1611, 68 Stat. 949, as amended (42 U.S.C. 2201 (i)); |
