ML20011E907
| ML20011E907 | |
| Person / Time | |
|---|---|
| Issue date: | 04/26/1989 |
| From: | Lieberman J NRC OFFICE OF ENFORCEMENT (OE) |
| To: | Davis A, Ebneter S, Russell W NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III) |
| Shared Package | |
| ML20011E902 | List: |
| References | |
| FOIA-90-34 EGM-89-05, EGM-89-5, NUDOCS 9002230018 | |
| Download: ML20011E907 (4) | |
Text
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i EE NUCLEAR REGULATORY COMMISSION 11 n
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- wasHawaToN, D. C. 20665 j
APR 't 6 1989 EGM 89-05 i
y MEMORANDUM FOR:
William T. Russell, Regional Administrator, Region I
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L Stewart D. Ebneter, Regional Administrator, Region II.
A. Bert Davis, Regional Administrator, Region III 4
Robert D. Martin, Regional Administrator, Region IV l
John B. Martin, Regional Administrator, Region V iFROM:
James Lieberman, Director Office of Enforcement
SUBJECT:
DISTRIBUTION LISTS AND BOILERPLATE PARAGRAPHS L
This EGM is to provide: (1) appropriate distribution lists for both reactor and materials escalated enforcement actions, and (2) changes to the boilerplate paragraphs _in enforcement actions.
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l 1.
The distrib'ution lists used by the regions should be modified to include those listed in Enc 1csures 1 and 2.
We ere working with Document Control l
(NRC) personnel to pursue the use of the " RIDS" to distribute escalated enforcement actions.
Additional guidance will be provided should " RIDS" distribution become possible.
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2.
With the latest revision of the Enforcement Policy in October 1988 and Hugh Thompson's new position, the following changes should be made to the boilerplate paragraphs for enforcement actions.
In the letter to the licensee: "To emphasize
, I have been authorized, after consultation with the Director, Office of Enforcement, and the Deputy Executive Director for Nuclear Materials Safety, Safe-guards, and Operations Support, to issue the enclosed Notice of Violation and Proposed Imposition of Civil Penalty....In accordance with the
" General Statement of Policy and Procedure for NRC Enforcement Actions,"
10 CFR Part 2, Appendix C, 53 Fed. Reg. 40019 (October 13,1988)
(Enforcement Policy), the violation (s)....
In the Notice of Violation, the introductory paragraph: "During an NRC inspection conducted... In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," 10 CFR Part 2, Appendix C, 53 Fed. Reg. 40019 (October 13,1988),..."
For civil penalty cases, in the Notice of Violation, the paragraph after the statement of violations:
"In requesting mitigation of the proposed penalty, the factors addressed in Section V.B of 10 CFR Part 2, Appendix C, should be addressea." [ note-nonumberusedtodescribethefactorsand no year or Federal Register citation for the Enforcement Policy]
In an effort not to have complicated boilerplate paragraphs which would change depending on the date of the violation and additional complications for cases in which the violations occurred prior taiand after October 13, 1988, we should use the above boilerplate. This form of citation should be used until publication of the revised version of Part 2, Appendix C in the next 10 CFR bound volume, gg22pgga90023 UNNERSTA90-34 PDR
l 3.,
w Regional Administrators 3.
In order'to highlight the significance (dollar amount) of a proposed civil penalty, a change to the subject line of proposed and imposed civil penalties should be made to include the civil penalty amount.
For a proposed civil penalty case, the subject line should be:
SUBJECT:
NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF CIVIL PENALTY j
- $ XXX.XXX (NRCINSPECTION(INVESTIGATION)REPORTNO.XX-XXX/YY-NN)"
For an imposed civil penalty _ case, the subject line should be:
SUBJECT:
ORDER IMPOSING A CIVIL MONETARY PENALTY - $ XXX,XXX" 4.
~In enforcement actions which collectively aggregate several violations
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into a problem and assess a single civil penalty, we may either assess 1
the civil penalty equally among the violations or use another distribution of the civil penalty anount.
For cases involving equal assessment of the civil penalty among the violations (which have more than one part or 1
example), we should be specific in the number of violations which the civil penalty is being apportioned
" Cumulative Civil Penalty - $XXX,XXX (assessed equally between (among) the i violations)." The number specified should correspond to the number of "Colitrary to" statements in the Notice.
It is not always appropriate to assess the civil penalty equally among the violations.
In such cases, it would be appropriate to specify a l
separate assessment scheme instead.
For example - " Cumulative Civil Penalty - $ XXX,XXX (assessed (or $XXX,XXX) for Violation B,"~..)(or $XXX,XX Tha key is to be clear in the statement of the assessment as to how the 1
civil penalty is to be divided anong the violations.
5.
When enforcement actions refer to findings in inspection reports, the j
term " apparent violations" or " potential violations" should be used to l
distinguish frem the actual violations being cited in the enforcement action,1such as Notice of Violation.
In addition, specific reference to the numbar " apparent" or " potential" violations is not reconsnended in that there may be confusion when the actual hotice of Violation is issued which may have a different number of violations then originally considered.
Should you have any) questions concerning these issues, please contact me or Howard Wong (X20747.
1 James Lieberman, Director Office of Enforcement
Enclosures:
As stated cc:
H. Thompson, DEDS L. Chandler., OGC Regional Coordinators
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. Enclosure 1 Distribution for Reactor Cases' J
')1STRIBUTION:
'DR :
- LPDR SECY CA -
HThompson, DEDS JMTaylor. DEDR-JLieberman, OE (RegionalAdministrator)
LChandler, DGC-l iTMurley, NRR JPirtlow,-NRR Enforcement-Coordinators RI, RII, RIII, RIV, RV Resident Inspector Fingram, GPA/PA.
Bilayes, 01 EJordan, AEOD OE:ES
-(EnforcementSpecialist)
OE:Chron OE:EA DCS
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.(State)-
l GJohnson, RM-on civil penalty impositions l
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. Enclosure 2 4
Distribution for Material Cases DISTRIBUTION:
I PDR
-SECY CA HThompson, DEDS JMTaylor, DEDR
-JLieberman, OE (Regional.' Administrator)
- LChandler, OGC
.RBernero..NMSS' RCunningham, NMSS Enforcement Coordinators RI, RII, RIII, RIV RV-
>FIngram, GPA/PA BHayes, 01 J
VMiller, SPA /SP
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Edordan,.AE00 OE:ES.
(EnforcementSpecialist) 0E:Chron-OE:EA-1 DCS.
- (State) l GJohnson, RM.
on civil penalty impositions 1
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