ML20132B172
| ML20132B172 | |
| Person / Time | |
|---|---|
| Issue date: | 11/08/1996 |
| From: | Mcgaffigan E NRC COMMISSION (OCM) |
| To: | Hoyle J NRC OFFICE OF THE SECRETARY (SECY) |
| References | |
| SECY-96-222-C, NUDOCS 9612170087 | |
| Download: ML20132B172 (3) | |
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NOTATION yOTt RELEASED TO THE PDR RESPONSE SHEET date
~ initials TO:
John C.
Hoyle, Secretary COMMISSIONER MCGAFFIGAN FROM:
SECY-96-222 - USE OF OPEN PREDECISIONAL ENFORCEMENT CONFERENCES AND ELIMINATION OF l
SUBJECT:
CERTAIN PROVISIONS FOR COMMISSION CONSULTATION; PROPOSED REVISIONS TO THE ENFORCEMENT POLICY TO ADDRESS RISK SIGNIFICANT VIOLATIONS AND CERTAIN l
NON-CITED VIOLATIONS X ) c.<Y Abstain Disapproved Approved Request Discussion Not Participating COMMENTS:
My comments are attached.
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Release Vote
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i DATE cj prob Withhold Vote
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e Entered on "AS" Yes X
No 170023 96121700e7,6110, c
PDR CONMS NRCC l
l CORRESPONDENCE PDR
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- l Commissioner McGaffican's Comments on SECY-96-222:
I approve the proposals in SECY-96-222 as follows:
- 1. I approve the staff's proposals with regard to open predecisional enforcement conferences and I agree with Commissicaer Diaz' admonition l
i that press releases for such conferences should be carefully crafted to make it clear that the agency has not prejudged the outcome of the conference.
I suggest the addition of the noted sentence on the attached page 17 of the revised Enforcement Policy to emphasize to the public that predecisional enforcement conferences normally will be held in the NRC's regional offices or at NRC Headquarters.
- 2. I approve all of the staff's proposals on consultation with, and notice to. the Commission on enforcement-related matters.
I do not believe that the staff should routinely consult with the Commission when it proposes to exercise discretion under Section VII.B.2 of the Enforcement Policy and refrain from taking enforcement action for violations discovered during extended shutdowns or work stoppages.
The criteria for exercising discretion in those cases are very detailed and clear and should be easy to upply without Commission intervention. In addition.
the staff will issue an Enforcement Notification for the first proposal to exercise discretion in these situations and that should be sufficient to allow the Commission to inquire further if it so desires.
On the matter of notice to the Commission. I agree with Commissioner Diaz' suggestion that the staff should provide a more detailed and earlier explanation of an enforcement action than an EN provides if the action is likely to have implications for broader sanctions or involves issues that are of substantial public interest.
However. I don't believe that this suggestion need be incorporated into the Enforcement Policy itself.
- 3. I approve the staff's proposal to modify the Enforcement Policy to explicitly refer to risk significance.
I also agree with Commissioner Rogers' suggestion that the staff should be asked to prepare a paper on how it intends to relate risk considerations to the assessment of civil penalties.
However. I would suggest that we allow the staff to gain six months' experience in applying risk considerations to enforcement actions before the staff is required to submit its paper on the subject.
- 4. I approve the staff's proposed clarification to the Enforcement Policy on non-cited violations.
I also agree with the Chairman's proposed edits to the Enforcement Policy itself.
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conference will e termin ted if disruption interferes with a successful conference.g Members of the public attending open conferences will be reminded that (1) the apparent violations discussed at predecisional enforcement conferences are subject to further review and may be subject to change prior to any resulting enforcement action and (2) the statements of views or expressions of opinion made by NRC employees at predecisional enforcement conferences, or the lack thereof, are not intended to represent l
final determinations or beliefs.
When needed to protect the public health and safety or common defense and i
1 security, escalated enforcement action, such as the issuance of an immediately effective i
order, will be taken before the conference. In these cases, a conference may be held after the escalated enforcement action is taken.
VII. EXERCISE OF DISCRETION A Escalation of Enforcement Sanctions 1,
Situations when the violation results in a substantial increase in risk, (e) including cases in which the duration of the violation has contributed to the substantia increase;
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