[Federal Register Volume 72, Number 248 (Friday, December 28, 2007)]
[Proposed Rules]
[Pages 73676-73680]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-25299]
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NUCLEAR REGULATORY COMMISSION
10 CFR Part 2
[Docket No. PRM-2-13]
Lincoln County, Nevada; Denial of Petition for Rulemaking
AGENCY: Nuclear Regulatory Commission.
ACTION: Denial of Petition for rulemaking.
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SUMMARY: The NRC is denying a petition for rulemaking submitted March
23, 2007, by Lincoln County, Nevada, related to its potential
participation as an affected unit of local government (AULG) in the NRC
proceeding concerning the Department of Energy's proposed repository
for high-level radioactive waste at Yucca Mountain, Nevada. Lincoln
County desires an amendment to 10 CFR 2.314(b) to allow it and other
AULGs to be represented in the proceeding by any duly authorized
individual, including a non-attorney consultant. The Commission is
denying the petition as unnecessary because the current regulations
allow Lincoln County the representation it seeks.
ADDRESSES: Publicly available documents related to this petition,
including the petition for rulemaking and the NRC's letter of denial to
the petitioner, are available for public inspection or copying in the
NRC Public Document Room, 11555 Rockville Pike, Rockville, Maryland.
These documents are also available on the NRC's Electronic Reading Room
at http://www.nrc.gov/reading-rm/adams.html. From this site, the public
can gain entry into the NRC's Agencywide Document Access and Management
System (ADAMS), which provides text and image files of NRC's public
documents. The ADAMS accession numbers for the
[[Page 73677]]
rulemaking petition and the letter of denial sent to the petitioner are
ML070930363 and ML073390550, respectively. If you do not have access to
ADAMS or if there are problems in accessing the documents located in
ADAMS, contact the PDR reference staff at (800) 387-4209, (301) 415-
4737 or by e-mail to [email protected].
FOR FURTHER INFORMATION CONTACT: Michael A. Spencer, Office of the
General Counsel, U.S. Nuclear Regulatory Commission, Washington DC
20555-0001, Telephone: (301) 415-4073.
SUPPLEMENTARY INFORMATION:
The Petitioner
Lincoln County states that, according to the 2000 census,
approximately 4,165 people, 1,540 families, and 1,010 households reside
in the County. The average annual per capita income is approximately
$17,000, and the primary occupations of the people of Lincoln County
are cattle ranching, agriculture, government services, and small-scale
mining.
Background
I. The Yucca Mountain Repository and Its Relationship to Lincoln County
The Nuclear Waste Policy Act of 1982, as amended (NWPA) \1\
established a national program for the management and permanent
disposal of high-level radioactive waste (HLW). In 1987, the NWPA was
amended to direct the Department of Energy (DOE) to focus its site
characterization activities only on Yucca Mountain. The NWPA provides
that if the President recommends the site to Congress and this
recommendation is disapproved according to sections 116 or 118 of the
NWPA (42 U.S.C. 10136 and 10138), the site will be disapproved unless
Congress passes a resolution of repository siting approval.\2\ After
the President's recommendation of Yucca Mountain as the site for the
repository and the State of Nevada's disapproval of this
recommendation, Congress passed a resolution approving Yucca Mountain
as the repository site.\3\ Because of Congress's approval, DOE will
submit an application to the NRC for a repository at Yucca Mountain,
which application will be reviewed according to the NRC's regulations
in 10 CFR Part 63. In addition, a public hearing regarding the HLW
repository application (HLW proceeding) will be conducted under
Subparts C and J of Part 2 of the NRC's regulations. DOE expects to
submit this application in 2008.
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\1\ 42 U.S.C. 10101 et. seq.
\2\ 42 U.S.C. 10135(c).
\3\ Pub. L. No. 107-200 (2002).
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The NWPA also provides, in 42 U.S.C. 10136(c) and 10222(d), that
DOE will provide grants to States and affected units of local
government (AULGs) from the Nuclear Waste Fund to assist them in
undertaking certain specified activities related to the Yucca Mountain
repository. DOE has designated several counties as AULGs,\4\ and
Lincoln County, which is adjacent to the county where the proposed
repository would be located, states that it is an AULG that receives
DOE grants from the Nuclear Waste Fund. According to Lincoln County,
these grants are subject to Congressional appropriations. AULGs also
have status under Commission regulations, being recognized as potential
parties to the HLW proceeding.\5\ Although an application has yet to be
submitted, NRC adjudicatory activities such as document disclosures are
already underway. Prior to the docketing of DOE's application,
adjudicatory activities in the HLW proceeding related to document
access, discovery, and the Licensing Support Network (LSN) are under
the jurisdiction of the Pre-License Application Presiding Officer
(PAPO).
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\4\ U.S. Dep't of Energy, Office of Civilian Radioactive Waste
Management, Annual Report to Congress for Fiscal Year 2002, at 23
(Sept. 2003), available at http://www.ocrwm.doe.gov/info_library/program_docs/annualreports/02ar/fy_2002.pdf.
\5\ See 10 CFR 2.1001 (definition of ``potential party''). An
AULG may become a party upon submission of an admissible contention
related to the application. Id.
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II. The Basis for the Petition
On October 27, 2005, the PAPO issued a notice informing potential
parties and interested government participants of an upcoming tour of
the Yucca Mountain repository. Space for this tour was limited,
however, so only representatives of potential parties or interested
government participants who had filed a notice of appearance under 10
CFR 2.314(b) were permitted to join the tour.
A non-attorney consultant contacted the Atomic Safety and Licensing
Board Panel (ASLBP) requesting permission to join the tour as the
representative of both Lincoln County and White Pine County, Nevada,
but he was informed that neither county had filed a notice of
appearance in the proceeding.\6\ White Pine County, then timely filed a
notice of appearance, designating the non-attorney consultant as its
representative. A majority of the PAPO did not deem this representation
proper, however, because the majority believed that government entities
are limited by 10 CFR 2.314(b) to attorney representation only.\7\ The
members of the PAPO did not provide any analysis or otherwise state the
bases for their conclusions. Because of the lack of briefing and lack
of unanimity on the issue, the PAPO allowed the consultant to
participate in that particular trip as a matter of the PAPO's
discretion, leaving resolution of the representation issue for
``another day.'' \8\
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\6\ United States Dep't of Energy (High Level Waste Repository:
Pre-Application Matters), No. PAPO-00, 2005 WL 4799369, at *1 (LBP
Dec. 2, 2005) (unpublished order).
\7\ Id.
\8\ Id.
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This representation issue is at the heart of the petition. Lincoln
County desires the option of being represented through non-attorney
``consultants or other duly authorized representatives.'' Lincoln
County states that it is a small county with few resources that is
entirely dependent on DOE grants from the Nuclear Waste Fund to
participate in NRC proceedings. Lincoln County further states that the
grants may only be used for participation in licensing proceedings if
expressly appropriated by Congress and that such appropriations have
been made only since FY 2006. According to Lincoln County, the amount
of funding (if any) is variable and unpredictable because it depends on
an annual decision of Congress, which may change from year to year.
Further, Lincoln County claims that the DOE grants, which have totaled
$5.3 million for Lincoln County over the last eight years, are used for
diverse purposes, such as operating its Nuclear Waste Oversight Office,
conducting public information activities, and retaining expert
consultants. Lincoln County, therefore, believes that it cannot afford
to retain experienced counsel for the purpose of representing it on a
daily basis in the HLW proceeding, which Lincoln County expects to
``entail literally hundreds of days of hearings.'' Lincoln County also
claims that its District Attorney's office will not be able to
regularly participate in the HLW proceeding because the office has only
one attorney, the District Attorney, who is responsible for both
criminal and civil matters.
At the time the petition was filed in March of this year, the
representation issue had yet to be resolved by the PAPO, and still has
yet to be resolved. At a case management conference only a couple of
weeks prior to the filing of the rulemaking petition, the PAPO
recognized that the issue remained to be decided, but thought
resolution might
[[Page 73678]]
await a ``concrete set of facts.'' \9\ Lincoln County believes that
this issue must be resolved quickly because DOE's license application
is expected in 2008, and it can come as early as six months after DOE
certifies that its document collection is available on the Licensing
Support Network.\10\ DOE certified its document collection on October
19, 2007.\11\ Also, the application is expected ``not later than June
30, 2008.'' \12\ Lincoln County believes that it is unclear when the
PAPO may deem the representation issue ripe enough to rule on it, and
that the disposition of any appeal of such a ruling might not come well
enough in advance of the hearings to allow Lincoln County and other
AULGs to effectively plan for them. In its petition for rulemaking,
Lincoln County ``is requesting that the Commission directly and
authoritatively clarify this issue * * * to allow AULGs sufficient time
to plan their participation'' in the HLW proceeding.
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\9\ Transcript at 954-55 (March 5, 2007).
\10\ See 10 CFR 2.1003(a).
\11\ DOE's certification came in a filing in the PAPO proceeding
styled ``The Department of Energy's Certification of Compliance.''
This certification has been challenged in the PAPO proceeding by the
State of Nevada in a ``Motion to Strike DOE's October 19, 2007 LSN
Recertification and to Suspend Certification Obligations of Others
until DOE Validly Recertifies,'' (Oct. 29, 2007).
\12\ ``The Department of Energy's Thirtieth Monthly Status
Report Regarding LSN Certification and License Application
Submittal,'' (November 1, 2007).
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III. Lincoln County's Requested Relief
Lincoln County states that it has not discovered a judicial or NRC
decision squarely on point and that it is unclear whether an AULG may
be represented by a non-attorney in the HLW proceeding under the
current regulations. Lincoln County does believe that it is
unreasonable to allow partnerships, corporations, and unincorporated
associations to be represented by non-attorney members or officers, as
provided by Sec. 2.314(b), but to disallow such representation for
AULGs. Lincoln County, however, wishes to have greater representation
options than these private entities because County Commissioners serve
voluntarily and have other jobs, while ``full-time government officials
and officers cannot reasonably be expected to vacate their daily public
duties to the taxpayers in order to participate in NRC licensing
proceedings.'' Lincoln County requests that the following language be
added to Sec. 2.314(b):
In any adjudicatory proceeding concerning an application for a
license to construct a geological repository for high-level
radioactive waste pursuant to the Nuclear Waste Policy Act, as
amended, an affected unit of local government (as designated by the
Secretary of Energy pursuant to 42 U.S.C. Sec. 10136(c)) may be
represented by any duly authorized representative and/or an
attorney-at-law.
Analysis of the Petition
Lincoln County wishes to have the option of being represented in
the HLW proceeding through non-attorney ``consultants or other duly
authorized representatives'' and has submitted the instant petition to
achieve that result through rulemaking. If the current regulations do
not proscribe such representation, however, then no relief through
rulemaking is necessary. Before considering Lincoln County's proposed
modification, therefore, it must first be ascertained whether the
current regulations do, in fact, pose such a bar. Resolution of this
issue depends on answers to the following questions:
(1) May a county be represented in an adjudication by a non-
attorney?
(2) If representation by a non-attorney is allowed, may any duly
authorized individual, including a non-attorney consultant, represent a
county?
Section 2.314(b), which contains the representation provision for
NRC proceedings, is the primary source for answering these questions.
Also relevant, however, are the provisions in Sec. Sec. 2.309(d)(2)
and 2.315(c) relating to participation by a State or local government
body (defined in these sections as a ``county, municipality, or other
subdivision'') and other expressions of Commission policy and practice.
As explained below, a local government body may be represented
under the current regulations by any individual, including a non-
attorney consultant, if the individual is duly authorized. For this
reason, the Commission is denying the petition as unnecessary.
I. A State or Local Government Body May Appear on Its Own Behalf, as
Well as Be Represented by an Attorney
A. States and local government bodies are ``persons'' under Sec.
2.314(b).
Representation in NRC proceedings is governed by 10 CFR 2.314(b),
which provides the following:
A person may appear in an adjudication on his or her own behalf
or by an attorney-at-law. A partnership, corporation, or
unincorporated association may be represented by a duly authorized
member or officer, or by an attorney-at-law. A party may be
represented by an attorney-at-law if the attorney is in good
standing and has been admitted to practice before any Court of the
United States, the District of Columbia, or the highest court of any
State, territory, or possession of the United States.
(emphasis added).
In addition to representation by an attorney, Sec. 2.314(b)
expressly provides the option of self-representation for a ``person,''
and the word ``person'' is defined in Sec. 2.4 very broadly to cover
many entities, including ``any State or any political subdivision of,
or any political entity within a State.'' A State or local government
body, therefore, is a ``person'' under Part 2 and has the option under
Sec. 2.314(b) either to be represented by an attorney or to appear on
its own behalf and be represented by one other than an attorney. The
rule text, however, does not specify who may represent a government
body appearing on its own behalf. This issue will be the subject of
Section II of this document.
B. The regulatory history of the representation provision and
Commission practice favor a broad reading of ``person.''
The language in Sec. 2.314(b) derives from two rulemakings, the
first in 1962 and the second in 1980. The 1962 rulemaking was a major
revision to Part 2 that substantially revised and simplified the
representation provision. After the 1962 revisions, former Sec.
2.713(a) read as follows:
A person may appear in an adjudication on his own behalf or by
an attorney-at-law in good standing admitted to practice before any
court of the United States, the District of Columbia, or the highest
court of any State, territory, or possession of the United
States.\13\
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\13\ ``Revision of Rules,'' (27 FR 377, 383; Jan. 13, 1962). The
representation provision was moved to its current home in Sec.
2.314(b) during the major Part 2 revisions of 2004. See ``Changes to
Adjudicatory Process,'' (69 FR 2182; Jan. 14, 2004). The original
``representation'' provision was found in Sec. 2.704, as issued in
1956. (21 FR 804, 806; Feb. 4, 1956).
Although the word ``person'' was not explicitly defined in the
regulations at that point, Sec. 2.4 in the same rulemaking provided
that ``[w]ords or phrases which are defined in the Atomic Energy Act of
1954, as amended, and in this chapter have the same meaning when used
in this part.'' \14\ Section 11 of the Atomic Energy Act of 1954 (AEA)
had already defined ``person'' broadly to include ``any State or any
political subdivision of, or any political entity within a State,''
among other entities.\15\
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\14\ 27 FR 377, 378.
\15\ 42 U.S.C. 2014, Pub. L. No. 83-703, 68 Stat. 919, 922
(1954).
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The 1980 amendments, which moved the representation provision from
Sec. 2.713(a) to Sec. 2.713(b), added the provision for partnerships,
corporations, and unincorporated associations that is still found in
current Sec. 2.314(b). This addition was characterized in the proposed
rule as ``clarify[ing] who may
[[Page 73679]]
appear before NRC in a representative capacity.'' \16\ Although the
proposed rule change spoke to representation of partnerships,
corporations, and unincorporated associations only by members, the
final rule added representation by officers. This addition was
described in the final rule as ``mak[ing] clear that a partnership,
corporation or unincorporated association may be represented by a duly
authorized officer, as well as by a member or attorney, and reflects
both actual practice and the intent of the rule.'' \17\
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\16\ ``Changes in Rules of Practice Governing Discipline in
Adjudicatory Proceedings,'' (45 FR 3594, 3594; Jan. 18, 1980).
\17\ Final Rule, ``Changes in Rules of Practice Governing
Discipline in Adjudicatory Proceedings,'' 45 FR 69877, 69878.
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The Commission, therefore, in issuing the 1980 amendment to the
representation provision, viewed the amendment as a clarification of
the older representation provision for ``persons'' and not as a
substantive change or addition. The Commission also recognized that
representation of certain entities by non-attorneys was occurring in
Commission proceedings, but gave no indication that this practice was
in any way contrary to the regulations.\18\ The representation rights
specified in the 1980 amendment, therefore, should be seen as inherent
in the concept of self-representation in former Sec. 2.713(a), even if
the former provision did not express these rights in their precise
contours. ``Person'' in Sec. 2.314(b), therefore, should be read
broadly to include States and local government bodies, which would
allow government bodies to appear on their own behalf through a non-
attorney.
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\18\ For examples of Commission practice prior to the 1980
amendment, see Duke Power Co. (Catawba Nuclear Station, Units 1 and
2), LBP-73-28, 6 AEC 666, 678-80 (1973), (specifically noting the
broad AEA definition of ``person'' in concluding that representation
of an organization by a non-attorney member was consonant with
Commission regulations, the APA, and the AEA), aff'd, ALAB-150, 6
AEC 811, clarification denied, ALAB-155, 6 AEC 829; and General
Electric Co. (GE Test Reactor, Vallecitos Nuclear Center), LBP-79-
28, 10 NRC 578, 583-84 (1979) (distinguishing representation of
organizations by non-attorney members from representation of a U.S.
congressman by a non-attorney by pointing out that the non-attorney
organization members were ``appear[ing] as the `person * * * on his
own behalf,' and not as a representative of that person'').
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II. Any Duly Authorized Individual May Represent a State or Local
Government Body
As explained above, Sec. 2.314(b) does not specify who may
represent a State or local government body appearing on its own behalf.
To resolve this petition, the question whether a non-attorney
consultant may serve as such a representative must also be answered. In
deciding the question, the Commission has considered its policy and
practice, the interests of comity, and the distinct interests that
government bodies represent.\19\ As explained below, Commission policy
and practice favor deference to State law and government choice on the
question of representation. The Commission, therefore, concludes that
States and local government bodies may be represented by anyone duly
authorized to represent the government body in question.\20\
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\19\ The practice of the federal courts is not dispositive of
the outcome of this question because, as opposed to Commission
practice, federal courts generally forbid non-attorney
representation of entities. See Rowland v. California Men's Colony,
Unit II Men's Advisory Council, 506 U.S. 194, 201-02 (1993) (stating
that in federal practice, corporations and other artificial entities
``may appear in the federal courts only through licensed counsel'').
\20\ To be clear, this response to the petition addresses only
the representation of State and local government bodies, as defined
in Sec. 2.309(d)(2), and does not address the representation of any
other type of entity.
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``[T]he Commission has long recognized the benefits of
participation in [its] proceedings by representatives of interested
states, counties, municipalities, etc.'' \21\ The Commission put this
policy into practice, in part, through Sec. 2.315(c), which allows
interested States and local government bodies a special opportunity to
participate in NRC hearings that is unavailable to private individuals
or entities.\22\ A narrow reading of Sec. 2.314(b) with respect to
government bodies, however, could hinder the participation of smaller
government bodies, such as Lincoln County, who lack the resources and
flexibility to fully participate solely through attorneys, elected
officials, or full-time government officials or officers. A narrow
reading, moreover, would not produce any countervailing benefit because
the Commission has no interest in telling governments which types of
non-attorneys may represent them. Because Commission policy clearly
favors government participation, a rule interpretation limiting such
participation should be disfavored if it produces no benefit and is not
required by the text of the rule.
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\21\ Niagara Mohawk Power Corp. (Nine Mile Point Nuclear
Station, Units 1 and 2), CLI-99-30, 50 NRC 333, 344 (1999).
\22\ Affected, Federally-recognized Indian Tribes also enjoy
Sec. 2.315(c) non-party participant rights.
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The Commission is also persuaded that it would be misguided to
impose on government bodies representation choices analogous to the
Sec. 2.314(b) representation choices for partnerships, corporations,
and unincorporated associations. First, such an attempt ignores that
government bodies and private entities are different creatures with
different powers serving different interests, which is why they are
treated differently regarding nonparty participation. Second, choosing
an analogous government version of a private entity member or officer
might prove difficult and result in unfairness. If government lay
representation were limited to elected officials, for example,
government bodies would have much less flexibility in their
representation than unincorporated associations, who may be represented
by anyone who joins the association.
Instead of imposing representation limits on government bodies,
therefore, the Commission broadly reads Sec. 2.314(b) to allow
government bodies to choose their representatives, as long as these
choices comport with State law and any applicable local government
charter. The Commission adopts this broad reading because it recognizes
that government bodies serve the public interest and because it
respects their choices regarding their own representation. This broad
reading, in its deference to State law and government choice, also
accords with Commission practice. For instance, in the major 2004
revisions to part 2, the new Sec. Sec. 2.309(d) and 2.315(c) limited
State and local government body participation to a single
representative.\23\ According to the statement of considerations for
the rule, however, ``[w]here a State's constitution provides that both
the Governor and another State official or State governmental body may
represent the interests of the State in a proceeding,'' the governor
and other official/body could participate as distinct parties, each
with a single representative.\24\
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\23\ ``Changes to Adjudicatory Process,'' (69 FR 2182; Jan. 14,
2004).
\24\ Id. at 2222.
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Similar concern for State law and government choice was also
expressed by the former Atomic Safety and Licensing Appeal Board
(Appeal Board), which faced the issue whether a Congressman from New
Hampshire, in addition to the Attorney General, could serve as a
representative of New Hampshire participating as an interested
government under former Sec. 2.715(c).\25\ In deciding that only the
Attorney General could represent the State, the Appeal Board rested its
decision on State law because it was ``persuaded
[[Page 73680]]
that considerations of comity dictate that [it] defer to New Hampshire
law on the matter of what person or persons should be deemed to speak
for the state in [NRC] licensing proceedings.'' \26\ The Appeal Board
went on to point out that since Sec. 2.715(c) was issued in response
to Sec. 274l. of the AEA, which section had the stated purpose of
furthering cooperation between the Commission and the states, ``[i]t is
reasonable to assume that the legislative contemplation was that the
concerned state, and not this agency, would make the decision
respecting who is to serve as its spokesman.'' \27\ Although the
original version of Sec. 2.715(c) was directed only to States, its
reach was expanded in 1978 to political subdivisions of a State to
``improve coordination with States, counties, and municipalities.''
\28\ The Appeal Board's reasoning, with which the Commission agrees,
also applies to local government bodies because restricting the
representation choices of local government bodies does little to
``improve coordination'' with them.
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\25\ Public Service Company of New Hampshire (Seabrook Station,
Units 1 and 2), ALAB-862, 25 NRC 144 (1987).
\26\ Id. at 148.
\27\ 25 NRC 144, 148-49.
\28\ ``Miscellaneous Amendments,'' (43 FR 17798, 17798; Apr. 26,
1978).
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This Appeal Board decision is especially persuasive because, under
both current Sec. 2.315(c) and the former Sec. 2.715(c), interested
government participants have rights similar in many important respects
to the rights of those participating as parties. These rights include
the opportunity to introduce evidence, interrogate witnesses, file
proposed findings, and petition for review. Given this level of
participation, it would seem that interested government participants
are, in fact, ``appearing'' in NRC adjudications, which arguably puts
decisions respecting their representation under the umbrella of Sec.
2.314(b).\29\ In any event, it would make little sense to impose
representation choices on government bodies participating as parties
that are different from the choices available to interested government
participants.
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\29\ Section 2.314(b) governs who ``may appear in an
adjudication.''
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In light of the above, the Commission sees no need to put
conditions on the representation of a government body that neither
State law nor the governing charter of the body see fit to impose. To
do so could only serve to limit government participation and would be
contrary to the interests of comity. So long as a person is duly
authorized to represent the government body in question, in conformity
with State law and any applicable local government charter, that
person, whether an attorney or not, may represent that government body
in NRC proceedings.
Conclusion
Lincoln County petitioned for a rule amendment that would allow
AULGs to participate in NRC proceedings through any duly-authorized
representative, which could include a non-attorney consultant. As
explained above, however, Lincoln County's desired outcome is already
provided for in the current regulations, making Lincoln County's
desired rulemaking unnecessary. For this reason, Lincoln County's
petition for rulemaking is denied.
Dated at Rockville, Maryland this 20th day of December 2007.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. E7-25299 Filed 12-27-07; 8:45 am]
BILLING CODE 7590-01-P