Statement of Policy on "Cooperation with States at Commercial Nuclear Power Plants and Other Nuclear Production or Utilization Facilities"

Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1
Statement of Policy on “Cooperation With States at
Commercial Nuclear Power Plants and Other Nuclear
Production or Utilization Facilities”
(57 FR 6462, February 25, 1992)
It is the NRC's policy to cooperate fully with State governments as they seek to respond
to the expectations of their citizens that their health and safety be protected and that
there be minimal impact on the environment as a result of activities licensed by the NRC.
The NRC and the States have complementary responsibilities in protecting public health
and safety and the environment. Furthermore, the NRC is committed to the full and timely
disclosure of matters affecting the public and to the fair and uniform handling of all
agency interactions with the States, the public, and NRC licensees.
Accordingly, the NRC will continue to keep Governor-appointed State Liaison Officers
routinely informed on matters of interest to the States. The NRC will respond in a timely
manner to a State's requests for information and its recommendations concerning
matters within the NRC's regulatory jurisdiction. If requested, the NRC will routinely
inform State Liaison Officers of public meetings between NRC and its licensees and
applicants in order that State representatives may attend as observers. Additionally, at
the State's request, representatives from a State in which the NRC-licensed facility is
located (the host State) and from a State within the plume exposure pathway emergency
planning zone (EPZ) (within approximately a 10-mile radius) of an NRC-licensed facility
located in another State (the adjacent State) will be able to observe specific inspections
and/or inspection entrance and exit meetings where State representatives are
knowledgeable in radiological health and safety matters.
The Commission recognizes that the involvement of qualified State representatives in
NRC radiological health and safety programs has the potential for providing additional
safety benefit. Therefore, the NRC will consider State proposals to enter into instruments
of cooperation for State participation in inspections and inspection entrance and exit
meetings. State participation in NRC programs would allow qualified State
representatives from States in which an NRC-licensed facility is located, either
individually or as a member of a team, to conduct specific inspection activities in
accordance with NRC standards, regulations, and procedures in close cooperation with
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Approved: March 18, 1993
(Revised: October 15, 1997)

Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
the NRC. State activities will normally be conducted under the oversight of an authorized
NRC representative with the degree of oversight dependent upon the activity involved.
In the proposal to enter into an instrument of cooperation, the State must identify those
activities for which cooperation with the NRC is desired. The State must propose a
program that: (1) recognizes the Federal Government, primarily NRC, as having the
exclusive authority and responsibility to regulate the radiological and national security
aspects of the construction and operation of nuclear production or utilization facilities,
except for certain authority over air emissions granted to States by the Clean Air Act; (2)
is in accordance with Federal standards and regulations; (3) specifies minimum
education, experience, training, and qualifications requirements for State representatives
which are patterned after those of NRC inspectors; (4) contains provisions for the
findings of State representatives to be transmitted to NRC for disposition; (5) would not
impose an undue burden on the NRC and its licensees and applicants; and (6) abides by
NRC protocol not to publicly disclose inspection findings prior to the release of the NRC
inspection report.
Consistent with section 274c of the Act, the NRC will not consider State proposals for
instruments of cooperation that do not include the elements listed above, which are
designed to ensure close cooperation and consistency with the NRC inspection program.
As a practical matter, the NRC is concerned that independent State inspection programs
could direct an applicant's or licensee's attention to areas not consistent with NRC safety
priorities, misinterpret NRC safety requirements, or give the perception of dual
regulation. For purposes of this policy statement, an independent State inspection
program is one in which State representatives would conduct inspections and assess
NRC-regulated activities on a State's own initiative and authority without close
cooperation with, and oversight by, an authorized NRC representative.
Instruments of cooperation between the NRC and the States, approved prior to the date
of this policy statement will continue to be honored by the NRC. The NRC strongly
encourages those States holding these agreements to consider modifying them, if
necessary, to bring them into conformance with the provisions of this policy statement.
Implementation
As provided in the policy statement the NRC will routinely keep State Liaison Officers
informed on matters of interest to the States. In general, all State requests should come
Approved: March 18, 1993
(Revised: October 15, 1997)

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Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
from the State Liaison Officer to the appropriate NRC Regional Office. The NRC will
make every effort to respond as fully as possible to all requests from States for
information on matters concerning nuclear production, or utilization facility safety within
30 days. The NRC will work to achieve a timely response to State recommendations
relating to the safe operation of nuclear production or utilization facilities. Host State or
adjacent State representatives are free to attend as observers any public meeting
between the NRC and its applicant and licensees. The appropriate Regional Office will
routinely inform State Liaison Officers of the scheduling of public meetings upon request.
Requests from host States and adjacent States to observe inspections and/or inspection
entrance and exit meetings conducted by the NRC require the approval of the
appropriate Regional Administrator.
NRC will consider host State participation in inspections and the inspection entrance and
exit meetings, where the State-proposed agreement identifies the specific inspections
they wish to assist NRC with and provides a program containing those elements as
described in the policy statement. NRC may develop inspection plans along with qualified
State representatives using applicable procedures in the NRC Inspection Manual.
Qualified State representatives may be permitted to perform inspections in cooperation
with, and on behalf of, the NRC under the oversight of an authorized NRC representative.
The degree of oversight provided would depend on the activity. For instance, State
representatives may be accompanied by an NRC representative initially, in order to
assess the State inspectors' preparedness to conduct the inspection individually. Other
activities may be conducted as a team with NRC taking the lead. All enforcement action
will be undertaken by the NRC.
The Commission will decide policy matters related to agreements proposed under this
policy statement. Once the Commission has decided the policy on a specific type of
agreement, similar State-proposed agreements may be approved, consistent with
Commission policy, by the Executive Director for Operations. A State-proposed
instrument of cooperation will be documented in a formal MOU signed by NRC and the
State.
Once the NRC has decided to enter into an MOU for State involvement in NRC
inspections, a formal review, not less than six months after the effective date, will be
performed by the NRC to evaluate implementation of the MOU and resolve any
problems identified. Final agreements will be subject to periodic reviews and may be
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Approved: March 18, 1993
(Revised: October 15, 1997)

Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
amended or modified upon written agreement by both parties and maybe terminated
upon 30 days written notice by either party.
Additionally, once State involvement in NRC activities at a nuclear production or utilization
facility is approved by the NRC, the State is responsible for meeting all requirements of
an NRC licensee and applicant related to personal safety and unescorted access of
State representatives at the site.

Approved: March 18, 1993
(Revised: October 15, 1997)

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Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
Appendix A
Protocol Agreement for State Observation
of NRC Inspections
NRC Protocol:

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•

The Regional State Liaison Officer (RSLO) will normally be the lead individual
responsible for tracking requests for State observation, assuring consistency
regarding these requests, and for advising the Regional Administrator on the
disposition of these requests. The appropriate technical representative or Division
Director will communicate with the State on specific issues concerning the
inspection(s).

•

Requests for observations of Headquarters-based inspections will also be
coordinated through the RSLO. Headquarters-based inspections should be
referred through the RSLO to a technical representative designated by the
Region.

•

NRC will process written requests to the Regional Administrator through the State
Liaison Officer (SLO). Requests should identify the type of inspection activity and
facility the State wishes to observe.

•

Limits on scope and duration of the observation period may be imposed if, in the
view of the Regional Administrator, they compromise the efficiency or
effectiveness of the inspection. Regions should use their discretion as to which,
if any, inspections will be excluded from observations.

•

States will be informed they must not release information concerning the time and
purpose of unannounced inspections.

•

The Region will make it clear to the licensee that the State views are not
necessarily endorsed by NRC. The Region will also make it clear that only NRC
has regulatory authority for inspection findings and enforcement actions regarding
radiological health and safety.
Approved: March 18, 1993
(Revised: October 15, 1997)

Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
State Protocol:
•

A State will make advance arrangements with the licensee for site access training
and badging (subject to fitness for duty requirements), prior to the actual
inspection.

•

Normally, no more than one individual will be allowed to observe an NRC
inspection.

•

The State will be responsible for determining the technical and professional
competence of its representatives who accompany NRC inspectors.

•

An observer's communication with the licensee will be through the appropriate
NRC team member, usually the senior resident inspector or the team leader.

•

When informed of an unannounced inspection, a State must not release
information concerning its time and purpose.

•

An observer will remain in the company of NRC personnel throughout the course
of the inspection.

•

State observation may be terminated by the NRC if the observer's conduct
interferes with a fair and orderly inspection.

•

An observer will not be provided with proprietary or safeguards information.
Observers will not remove any material from the site without NRC or licensee
approval.

•

The State observer, in accompanying the NRC inspectors, does so at his or her
own risk. NRC will not be responsible for injuries or exposures to harmful
substances which may occur to the accompanying individual during the inspection
and will assume no liability for any incidents associated with the accompaniment.

Approved: March 18, 1993
(Revised: October 15, 1997)

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Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
State Protocol: (continued)
•

The State observer will be expected to adhere to the same conduct as NRC
inspectors during an inspection accompaniment.

•

If the State observer notices any apparent non-conformance with safety or
regulatory requirements during the inspection, he/she will make those
observations promptly known to the NRC team leader or lead inspector. Likewise,
when overall conclusions or views of the State observer are substantially different
from those of the NRC inspectors, the State will advise the team leader or lead
inspector and forward those views, in writing, to the NRC Region. This will allow
NRC to take any necessary regulatory actions.

•

Under no circumstances should State communications regarding these inspections
be released to the public or the licensee before they are reviewed by the NRC
and the inspection report is issued. State communications may be made publicly
available, similar to NRC inspection reports, after they have been transmitted to
and reviewed by NRC.

Adjacent State Protocol:

8

•

An adjacent State is a State within the plume exposure pathway emergency
planning zone (EPZ) (within approximately a 10-mile radius) of an NRC-licensed
facility located in another State. A host State is a State in which an NRC-licensed
facility is located. An adjacent State may request permission to observe NRC
inspections at an NRC-licensed facility in a host State.

•

The adjacent State SLO must communicate his/her request for observation to the
Regional Administrator for the region in which the facility is located.

•

The adjacent State SLO must also communicate his/her request to the host State
SLO so that each State is aware of the other's intentions.

Approved: March 18, 1993
(Revised: October 15, 1997)

Volume 5, Governmental Relations and Public Affairs
Memoranda of Understanding With States
Handbook 5.2 Exhibits

Exhibit 1 (continued)
Adjacent State Protocol: (continued)
•

If a host State and an adjacent State request observation of the same inspection,
the Regional Administrator will make the final determination on the number of
State observers who may attend the inspection. If there is a need to limit the
number of observers, the Regional Administrator will routinely give preference to
the host State observers.

•

Adjacent State observers will abide by the same protocol in all aspects of the
inspection as host States under this agreement.

Signature of State Observer

Approved: March 18, 1993
(Revised: October 15, 1997)

Date

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