10 C.F.R. Subpart M—Procedures for Hearings on License Transfer Applications
Title 10 - Energy
Source: 63 FR 66730, Dec. 3, 1998, unless otherwise noted.
The provisions of this subpart, together with subpart C of this part, govern all adjudicatory proceedings on an application for the direct or indirect transfer of control of an NRC license when the transfer requires prior approval of the NRC under the Commission's regulations, governing statutes, or pursuant to a license condition. This subpart provides the only mechanism for requesting hearings on license transfer requests, unless contrary case specific orders are issued by the Commission. [69 FR 2270, Jan. 14, 2004] (a) The Commission will notice the receipt of each application for direct or indirect transfer of a specific NRC license by placing a copy of the application at the NRC Web site, http://www.nrc.gov. (b) The Commission will also publish in the (c) Periodic lists of applications received may be obtained upon request addressed to the NRC Public Document Room, US Nuclear Regulatory Commission, Washington, DC 20555–0001. [63 FR 66730, Dec. 3, 1998, as amended at 64 FR 48949, Sept. 9, 1999] The Commission will notice the withdrawal of an application by publishing the notice of withdrawal in the same manner as the notice of receipt of the application was published under §2.1301. Unless exempt from disclosure under part 9 of this chapter, the following documents pertaining to each application for a license transfer requiring Commission approval will be placed at the NRC Web site, http://www.nrc.gov, when available: (a) The license transfer application and any associated requests; (b) Commission correspondence with the applicant or licensee related to the application; (c) (d) The NRC staff Safety Evaluation Report (SER). (e) Any NRC staff order which acts on the license transfer application; and (f) If a hearing is held, the hearing record and decision. [63 FR 66730, Dec. 3, 1998, as amended at 64 FR 48949, Sept. 9, 1999] The procedures in this subpart will constitute the exclusive basis for hearings on license transfer applications for all NRC specific licenses. (a) As an alternative to requests for hearings and petitions to intervene, persons may submit written comments regarding license transfer applications. The Commission will consider and, if appropriate, respond to these comments, but these comments do not otherwise constitute part of the decisional record. (b) These comments should be submitted within 30 days after public notice of receipt of the application and addressed to the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001, Attention: Rulemakings and Adjudications Staff. (c) The Commission will provide the applicant with a copy of the comments. Any response the applicant chooses to make to the comments must be submitted within 10 days of service of the comments on the applicant. Such responses do not constitute part of the decisional record. Hearings under this subpart will be oral hearings, unless, within 15 days of the service of the notice or order granting the hearing, the parties unanimously agree and file a joint motion requesting a hearing consisting of written comments. No motion to hold a hearing consisting of written comments will be entertained absent consent of all the parties. [69 FR 2270, Jan. 14, 2004] (a) A notice of oral hearing will— (1) State the time, place, and issues to be considered; (2) Provide names and addresses of participants, (3) Specify the time limit for participants and others to indicate whether they wish to present views; (4) Specify the schedule for the filing of written testimony, statements of position, proposed questions for the Presiding Officer to consider, and rebuttal testimony consistent with the schedule provisions of §2.1321. (5) Specify that the oral hearing shall commence within 15 days of the date for submittal of rebuttal testimony unless otherwise ordered; (6) State any other instructions the Commission deems appropriate; (7) If so determined by the NRC staff or otherwise directed by the Commission, direct that the staff participate as a party with respect to some or all issues. (b) If the Commission is not the Presiding Officer, the notice of oral hearing will also state: (1) When the jurisdiction of the Presiding Officer commences and terminates; (2) The powers of the Presiding Officer; (3) Instructions to the Presiding Officer to certify promptly the completed hearing record to the Commission without a recommended or preliminary decision. A notice of hearing consisting of written comments will: (a) State the issues to be considered; (b) Provide the names and addresses of participants; (c) Specify the schedule for the filing of written testimony, statements of position, proposed questions for the Presiding Officer to consider for submission to the other parties, and rebuttal testimony, consistent with the schedule provisions of §2.1321. (d) State any other instructions the Commission deems appropriate. (a) A notice or order granting a hearing or permitting intervention shall— (1) Restrict irrelevant or duplicative testimony; and (2) Require common interests to be represented by a single participant. (b) If a participant's interests do not extend to all the issues in the hearing, the notice or order may limit her/his participation accordingly. (a) Unless otherwise determined by the Commission with regard to a specific application, the Commission has determined that any amendment to the license of a utilization facility or the license of an Independent Spent Fuel Storage Installation which does no more than conform the license to reflect the transfer action, involves respectively, “no significant hazards consideration,” or “no genuine issue as to whether the health and safety of the public will be significantly affected.” (b) Where administrative license amendments are necessary to reflect an approved transfer, such amendments will be included in the order that approves the transfer. Any challenge to the administrative license amendment is limited to the question of whether the license amendment accurately reflects the approved transfer. [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2270, Jan. 14, 2004] (a) During the pendency of any hearing under this subpart, consistent with the NRC staff's findings in its Safety Evaluation Report (SER), the staff is expected to promptly issue approval or denial of license transfer requests. Notice of such action shall be promptly transmitted to the Presiding Officer and parties to the proceeding. (b) Except as otherwise directed in accordance with §2.1309(a)(7), the NRC staff is not required to be a party to proceedings under this subpart but will offer into evidence its SER associated with the transfer application and provide one or more sponsoring witnesses. (c) If the NRC staff desires to participate as a party, the staff shall notify the Presiding Officer and the parties and shall thereupon be deemed to be a party with all the rights and responsibilities of a party. (a) The Commission will ordinarily be the Presiding Officer at a hearing under this part. However, the Commission may provide in a hearing notice that one or more Commissioners, or any other person permitted by law, will preside. (b) A participant may submit a written motion for the disqualification of any person presiding. The motion shall be supported by an affidavit setting forth the alleged grounds for disqualification. If the Presiding Officer does not grant the motion or the person does not disqualify himself and the Presiding Officer or such other person is not the Commission or a Commissioner, the Commission will decide the matter. (c) If any person presiding deems himself or herself disqualified, he or she shall withdraw by notice on the record after notifying the Commission. (d) If a Presiding Officer becomes unavailable, the Commission will designate a replacement. (e) Any motion concerning the designation of a replacement Presiding Officer shall be made within 5 days after the designation. (f) Unless otherwise ordered by the Commission, the jurisdiction of a Presiding Officer other than the Commission commences as designated in the hearing notice and terminates upon certification of the hearing record to the Commission, or when the Presiding Officer is disqualified. (a) The Presiding Officer in any oral hearing shall conduct a fair hearing, develop a record that will contribute to informed decisionmaking, and, within the framework of the Commission's orders, have the power necessary to achieve these ends, including the power to: (1) Take action to avoid unnecessary delay and maintain order; (2) Dispose of procedural requests; (3) Question participants and witnesses, and entertain suggestions as to questions which may be asked of participants and witnesses. (4) Order consolidation of participants; (5) Establish the order of presentation; (6) Hold conferences before or during the hearing; (7) Establish time limits; (8) Limit the number of witnesses; and (9) Strike or reject duplicative, unreliable, immaterial, or irrelevant presentations. (b) Where the Commission itself does not preside: (1) The Presiding Officer may certify questions or refer rulings to the Commission for decision; (2) Any hearing order may be modified by the Commission; and (3) The Presiding Officer will certify the completed hearing record to the Commission, which may then issue its decision on the hearing or provide that additional testimony be presented. Unless otherwise limited by this subpart or by the Commission, participants in a hearing consisting of written comments may submit: (a) Initial written statements of position and written testimony with supporting affidavits on the issues. These materials must be filed on the date set by the Commission or the presiding officer. (b) Written responses, rebuttal testimony with supporting affidavits directed to the initial statements and testimony of other participants, and proposed written questions for the Presiding Officer to consider for submittal to persons sponsoring testimony submitted under paragraph (a) of this section. These materials shall to filed within 20 days of the filing of the materials submitted under paragraph (a) of this section, unless the Commission or Presiding Officer directs otherwise. Proposed written questions directed to rebuttal testimony for the Presiding Officer to consider for submittal to persons offering such testimony shall be filed within 7 days of the filing of the rebuttal testimony. (c) Written concluding statements of position on the issues. These materials shall be filed within 20 days of the filing of the materials submitted under paragraph (b) of this section, unless the Commission or the Presiding Officer directs otherwise. [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] (a) Unless otherwise limited by this subpart or by the Commission, participants in an oral hearing may submit and sponsor in the hearings: (1) Initial written statements of position and written testimony with supporting affidavits on the issues. These materials must be filed on the date set by the Commission or the presiding officer. (2)(i) Written responses and rebuttal testimony with supporting affidavits directed to the initial statements and testimony of other participants; (ii) Proposed questions for the Presiding Officer to consider for propounding to persons sponsoring testimony. (3) These materials must be filed within 20 days of the filing of the materials submitted under paragraph (a)(1) of this section, unless the Commission or Presiding Officer directs otherwise. (4) Proposed questions directed to rebuttal testimony for the Presiding Officer to consider for propounding to persons offering such testimony shall be filed within 7 days of the filing of the rebuttal testimony. (b) The oral hearing should commence within 65 days of the date of the Commission's notice granting a hearing unless the Commission or Presiding Officer directs otherwise. Ordinarily, questioning in the oral hearing will be conducted by the Presiding Officer, using either the Presiding Officer's questions or questions submitted by the participants or a combination of both. (c) Written post-hearing statements of position on the issues addressed in the oral hearing may be submitted within 20 days of the close of the oral hearing. (d) The Commission, on its own motion, or in response to a request from a Presiding Officer other than the Commission, may use additional procedures, such as direct and cross-examination, or may convene a formal hearing under subpart G of this part on specific and substantial disputes of fact, necessary for the Commission's decision, that cannot be resolved with sufficient accuracy except in a formal hearing. The staff will be a party in any such formal hearing. Neither the Commission nor the Presiding Officer will entertain motions from the parties that request such special procedures or formal hearings. [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] (a) All direct testimony in an oral hearing shall be filed no later than 15 days before the hearing or as otherwise ordered or allowed pursuant to the provisions of §2.1322. (b) Written testimony will be received into evidence in exhibit form. (c) Participants may designate and present their own witnesses to the Presiding Officer. (d) Testimony for the NRC staff will be presented only by persons designated for that purpose by either the Executive Director for Operations or a delegee of the Executive Director for Operations. (e) Participants and witnesses will be questioned orally or in writing and only by the Presiding Officer. Questions may be addressed to individuals or to panels of participants or witnesses. (f) The Presiding Officer may accept written testimony from a person unable to appear at the hearing, and may request him or her to respond to questions. (g) No subpoenas will be granted at the request of participants for attendance and testimony of participants or witnesses or the production of evidence. [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004] (a) A participant may appear in a hearing on her or his own behalf or be represented by an authorized representative. (b) A person appearing shall file a written notice stating her or his name, address and telephone number, and if an authorized representative, the basis of her or his eligibility and the name and address of the participant on whose behalf she or he appears. (c) A person may be excluded from a hearing for disorderly, dilatory or contemptuous conduct, provided he or she is informed of the grounds and given an opportunity to respond. (a) Motions and requests shall be addressed to the Presiding Officer, and, if written, also filed with the Secretary and served on other participants. (b) Other participants may respond to the motion or request. Responses to written motions or requests shall be filed within 5 days after service unless the Commission or Presiding Officer directs otherwise. (c) The Presiding Officer may entertain motions for extension of time and changes in schedule in accordance with paragraphs (a) and (b) of this section. (d) When the Commission does not preside, in response to a motion or request, the Presiding Officer may refer a ruling or certify a question to the Commission for decision and notify the participants. (e) Unless otherwise ordered by the Commission, a motion or request, or the certification of a question or referral of a ruling, shall not stay or extend any aspect of the hearing. (a) Any application for a stay of the effectiveness of the NRC staff's order on the license transfer application shall be filed with the Commission within 5 days of the issuance of the notice of staff action pursuant to §2.1316(a). (b) An application for a stay must be no longer than 10 pages, exclusive of affidavits, and must contain: (1) A concise summary of the action which is requested to be stayed; and (2) A concise statement of the grounds for a stay, with reference to the factors specified in paragraph (d) of this section. (c) Within 10 days after service of an application for a stay under this section, any participant may file an answer supporting or opposing the granting of a stay. Answers must be no longer than 10 pages, exclusive of affidavits, and should concisely address the matters in paragraph (b) of this section, as appropriate. No further replies to answers will be entertained. (d) In determining whether to grant or deny an application for a stay, the Commission will consider: (1) Whether the requestor will be irreparably injured unless a stay is granted; (2) Whether the requestor has made a strong showing that it is likely to prevail on the merits; (3) Whether the granting of a stay would harm other participants; and (4) Where the public interest lies. (a) Upon completion of a hearing, the Commission will issue a written opinion including its decision on the license transfer application and the reasons for the decision. (b) The decision on issues designated for hearing under §2.309 will be based on the record developed at hearing. [63 FR 66730, Dec. 3, 1998, as amended at 69 FR 2271, Jan. 14, 2004]
Title 10: Energy
PART 2—RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS
Subpart M—Procedures for Hearings on License Transfer Applications
§ 2.1300 Scope of subpart M.
§ 2.1301 Public notice of receipt of a license transfer application.
§ 2.1302 Notice of withdrawal of an application.
§ 2.1303 Availability of documents.
§ 2.1304 Hearing procedures.
§ 2.1305 Written comments.
§ 2.1308 Oral hearings.
§ 2.1309 Notice of oral hearing.
§ 2.1310 Notice of hearing consisting of written comments.
§ 2.1311 Conditions in a notice or order.
§ 2.1315 Generic determination regarding license amendments to reflect transfers.
§ 2.1316 Authority and role of NRC staff.
§ 2.1319 Presiding Officer.
§ 2.1320 Responsibility and power of the Presiding Officer in an oral hearing.
§ 2.1321 Participation and schedule for submission in a hearing consisting of written comments.
§ 2.1322 Participation and schedule for submissions in an oral hearing.
§ 2.1323 Presentation of testimony in an oral hearing.
§ 2.1324 Appearance in an oral hearing.
§ 2.1325 Motions and requests.
§ 2.1327 Application for a stay of the effectiveness of NRC staff action on license transfer.
§ 2.1331 Commission action.
