ML20133E674
| ML20133E674 | |
| Person / Time | |
|---|---|
| Issue date: | 01/06/1997 |
| From: | Callan L NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV) |
| To: | Grandin R AFFILIATION NOT ASSIGNED |
| Shared Package | |
| ML20133E675 | List: |
| References | |
| REF-QA-99990004-970106 EA-96-382, NUDOCS 9701130104 | |
| Download: ML20133E674 (6) | |
Text
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UNITED STATES S
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- g NUCLEAR REGULATORY COMMISSION h
REGloN IV t
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% *****/g 611 RYAN PLAZA DRIVE. SulTE 400 ARLINGTON, T ExAs 7G011-8064 January 6, 1997 l
EA 96-382 l
Mr. Robert E. Grar ain Grandin Testing Lab, Inc.
I 11 Roberts Circle Los Lunas, New Mexico 87103 l
SUBJECT:
NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF civil PENALTY -
3
$ 2,500
(
Reference:
NRC Inspection Report No. 999-90004/96-11 and Investigation Report 4-96 009)
Dear Mr. Grandin:
This is in reference to the matters discussed at a predecisional enforcement conference conducted on November 25,1996,in the NRC's Arlington, Texas office. The conference was conducted to discuss an apparent violation involving the use of portable moisture / density gauges in areas of exclusive federal jurisdiction without either: (1) first obtaining an NRC license; or (2) filing NRC Form 241 pursuant to 10 CFR 150.20(b)(1),
which is an option provided by longstanding practice of the NRC staff for work performed within the physical borders of an Agreement State but in an area under exclusive Federal jurisdiction. The results of the inspection and investigation of this matter were discussed with you on October 31,1996 and were provided to you in a letter issued on November 8, 1996. We also have considered the information you provided in a letter dated December 11,1996, following the conference.
During the conference, you admitted that Grandin Testing Lab had used gauges at Kirtland Air Force Base without either obtaining an NRC license or filing Form NRC 241, but denied that there was any willfulness involved. You stated that Grandin Testing Lab had simply not understood the requirements and had filled out NRC Form 241s in the past at the request of the Air Force, but without understanding what was required. We asked you at the conference to address how you had resolved a letter from the Air Force to you on February 18,1996, which stated explicitly that Grandin Testing Lab had not submitted a valid NRC Form 241. In your December 11,1996 letter you stated that the resolution of this matter was lef t to an employee of Grandin Testing Lab. An attached statement from that employee indicated that he had been instructed by the Air Force to contact the NRC, which he did, and that he had received a package of information from the NRC in late February 1996. He said in the statement that he had difficulty completing the NRC forms, l
that he told you " things would be covered," and that the matter was dropped when he lef t the office for an extended period of time. Although this may not represent a deliberate intent to violate NRC requirements, the inaction on the part of your employee and the f act that Grandin Testing Lab had not taken steps to come into compliance prior to an NRC l
investigator arriving in June 1996, coupled with explicit notice from the Air Force in February 1996 that Grandin Testing Lab had not submitted a valid NRC Form-241, leads 1
9701130104 970106 REQ 4 GA999 ENV*****
99990004 PDR
Grandin Testing Lab, Inc. the NRC to conclude that Grandin Testing Lab displayed, at the least, a careless disregard for whether it was complying with federal requirements. As stated in section IV.C of the NRC's Enforcement Policy, carelese disregard constitutes a form of willfulness.
Therefore, based on the information developed during the investigation, and the information that you provided during the conference, the NRC has determined that a willful violation of NRC requirements occurred. Specifically, as discussed above, Grandin Testing Lab elected to continue its use of moisture / density gauges at Kirtland Air Force Base in 1996 without notifying the NRC by filing Form NRC 241 and submitting the necessary i
fees, despite indications and some knowledge that such was expected, in addition, Grandin Testing Lab conducted such activities in 1994 and 1995 without an NRC license and without filing Form NRC 241. This violation is cited in the enclosed Notice of Violation and Proposed imposition of Civil Penalty.
Grandin Testing Lab's actions denied the NRC an opportunity to inspect and to assure that it was conducting its activities in accordance with all safety requirements. Thus, this violation has been categorized in accordance with the " General Statement of Po! icy and Procedure for NRC Enforcement Actions" (Enforcement Policy), NUREG 1600 at Severity Level 111.
In accordance with the Enforcement Policy, a civil penalty with a base value of $2,500is considered for a Severity Levelill violation. As we explained to you at the conference, this value can be adjusted up or down based on our consideration of the circumstances. Since this violation is considered willful, the NRC considered whether credit was warranted for identi/ication and Corrective Action in accordance with the civil penalty assessment process in Section VI.B.2 of the Enforcement Policy. The violation was discovered by the NRC during its investigation, resulting in no credit to Grandin Testing Lab for identification.
With regard to corrective actions, you indicated at the conference that you had taken immediate steps to come into compliance in June 1996, and that you had taken steps to assure that this type of violation would not recur, resulting in credit under this f actor.
Therefore, to emphasize the importarice of compliance with federal requirements applicable to the use of moisture / density gauges in areas where the NRC has jurisdiction, I have been authorized, after consultation with the Director, Office of Enforcement, to issue the enclosed Notice of Violation and Proposed imposition of Civil Penalty (Notice) in the base amount of $2,500 for the Severity Level 111 violation described above and in the Notico.
In addition, as you were told at the conference, you should be aware that deliberate violations of NRC requirements may subject you and your company to criminal and civil sanctions. Civil sanctions may include orders prohibiting involvement in NRC-licensed activities on the part of you and your company.
]
You are required to respond to this letter and should follow the instructions specified in the enclosed Notice when preparing your response. In your response, you should document the specific actions taken and any additional actions you plan to prevent recurrence. After reviewing your response to this Notice, including your proposed corrective actions and the results of future inspections, the NRC will determine whether further NRC enforcement action is necessary to ensure compliance with NRC regulatory requirements.
u
l Grandin Testing Lab, Inc. In accordance with 10 CFR 2.790 of the NRC's " Rules of Practice," a copy of this letter, its enclosure, and your response will be placed in the NRC Public Document Room (PDR).
To the extent possible, your response should not include any personal privacy, proprietary, j
or safeguards information so that it can be placed in the PDR without redaction.
Sincerely, L
. Cal an M,
Regional Administrator i
Docket No. 999-90004 License No. DM257-03 (New Mexico)
Enclosure:
Notice of Violation and I
Proposed imposition af Ci il Penalty v
4 cc w/
Enclosure:
State of New Mexico i
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4-DISTRIBUTION:
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SECY Enforcement Coordinators j
CA RI, Ril, Rlli JTaylor, EDO (0-17G21)
' JGilliland, OPA (0-2G4) i HThompson, DEDS (0-17G21)
PLohaus, OSP (0-3D23) l JLieberman, OE (0 7H5)
HBell, OlG (T-5D28)
LChandler, OGC (0-15818)
EJordan, AEOD (T-4D18) j JGoldberg, OGC (0-15B18)
GCaputo, 01 (0-3 E4) i CPaperiello, NMSS (T-8A23)
DCool, NMSS or (T-8FS)
LTremper, OC/LFDCB (T-9E10)
OE:ES (0-7H5)
OE:EA (0 7H5)
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RIV DISTRIBUTION:
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BHenderson (BWH)
MHammond (MFH2)
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JHorner (JWH3)
WBrown (WLB)
RScarano (RAS 1)
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LWilliamson (ELW1)
LHowell (LLH)
CCain (CLC)
FWenslawski (FAW) l BSpitzberg (DBS)
JCruz (JXC2) l Copies to:
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NMI&FCDB File RSLO/ Hackney l
MIS Coordinator LJCallan> Reading File i
PAO /Henderson i
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DISTRIBUTION:
PDR lE 14 SECY Enforcement Coordinators CA RI,Ril,Rlli JTaylor, EDO (0-17G21)
JGilliland, OPA (0-2G4)
HThompson, DEDS (0-17G21)
PLohaus, OSP (0-3D23)
JLieberman, OE (0-7H5)
HBell, OlG (T-5D28) 1 LChandler, OGC (015B18)
EJordan, AEOD (T-4D18)
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JGoldberg, OGC (0-15B18)
GCaputo, 01 (0-3E4) i CPaperiello, NMSS (T-8A23)
DCool, NMSS or (T-8F5)
LTremper, OC/LFDCB (T-9E10)
OE:ES (0 7H5)
OE:EA (0-7H5)
NUDOCS l
RIV DISTRIBUTION:
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E-mail to:
1 OEMAll DKunihiro (DMK1) i SJCollins (SJC1)
RWise (RXW)
BHenderson (BWH)
MHammond (MFH2)
CHackney (CAH)
JHorner (JWH3)
WBrown (WLB)
RScarano (RAS 1)
LWilliamson (ELW1)
LHowell (LLH)
CCain (CLC)
FWenslawski (FAW)
BSpitzberg (DBS)
JCruz (JXC2)
Copies to:
RIV Files GSanborn > EAFile NMI&FCDB File RSLO/ Hackney MIS Coordinator LJCallan> Reading File PAO /Henderson l
DOCUMENT NAME:G:\\EA\\ DRAFT \\EA96382.DFT To receive copy of document. Indicate in box: "C" = Copy without enclosures "E" = Copy with enclosures "
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4-DISTRIBUTION:
PDR IE 14 Enforcement Coordinators, RI, Ril, Rlli SECY CA JGilliland, OPA (0-2G4)
JTaylor, EDO (017G21)
PLohaus, OSP (0-3D23)
HThompson, DEDS (0-17G21)
HBell, OlG (T-5D28)
JLieberman, OE (0 7H5)
EJordan, AEOD (T-4D18)
LChandler, OGC (0-15B18)
GCaputo, 01 (0-3E4)
JGoldberg, OGC (0-15B18)
DCool, NMSS or (T-8F5)
CPaperiello, NMSS (T-RA23)
OE:ES (0-7H5)
OE:EA (0 7H5)
NUDOCS LTremper, OC/LFDCB (T-9E10)
RIV DISTRIBUTION:
E-mail to:
OEMAIL SJCollins(SJC)
RWise(RXW)
BHenderson(BWH)
MHammond(MFH2)
DKunihiro (DMK1)
CHackney(CAH)
JHorner(JWH3)
WBrown(WLB)
RScarano(RAS 1)
LWilliamson(ELW1)
LHowell(LLH)
CCain(CLC)
FWenslawski(FAW)
BS; itzberglDBS)
~ivi5huiier (MHd; ---3CyttE1)
Copies to:
RIV Files GSanborn> EAFile NMI&FCDB File MIS Coordinator RSLO/ Hackney PAO /Henderson LJCallan> Reading File
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