ML20133F508
| ML20133F508 | |
| Person / Time | |
|---|---|
| Site: | Surry, North Anna  |
| Issue date: | 12/31/1996 |
| From: | Ebneter S NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II) |
| To: | Ohanlon J VIRGINIA POWER (VIRGINIA ELECTRIC & POWER CO.) |
| References | |
| NUDOCS 9701140237 | |
| Download: ML20133F508 (9) | |
Text
December 31, 1996 Virginia Electric and Power Company ATTN: Mr. J. P. O'Hanlon Senior Vice President - Nuclear Innsbrook Technical Center 5000 Dominion Boulevard Glen Allen, VA 23060
SUBJECT:
RECENT REVISION TO THE NRC ENFORCEMENT POLICY REGARDING PREDECISIONAL ENFORCEMENT CONFERENCES
Dear Mr. O'Hanlon:
This is to advise you of a char.ge to the Nuclear Regulatory Commission's Enforcement Policy which is published as NUREG 1600, General Statement of Policy nnd Procedures for NRC Enforcement Actions. The significant change involves how predecisional enforcement conferences will be conducted.
Effective December 10, 1996, all predecisional enforcement conferences scheduled after that date will be open to public observation with some exceptions. This change was noticed in the Federal Reaister, 61 FR 65088 December 10, 1996.
This action culminates a trial program initiated on July 10, 1992, where select conferences were designated as open. As stated in the referenced Federal Reaister notice " Opening predecisional enforcement conferences is consistent with the agency's principles of good regulation and normal agency 3olicy. The intent of open conferences is not to maximize public attendance, aut to provide the public with an opportunity to observe the regulatory process."
Region II has conducted a significant number of open conferences during the trial period. The staff has found that there has been little, if any, negative impact on their ability to engage in effective interactive communication with licensees during the conference.
Enclosed is a copy of the Federal Reaister notice for your information. You should refer to the notice and Section V of the Enforcement Policy for discussion of those situations where predecisional enforcement conferences will be closed to public observation.
9701140237 961231 PDR ADOCK 05000280 j
G PDR sw
l VEPC0 2
i Should you have any questions, please contact Mr. Bruno Uryc, Director, Enforcement and Investigation Coordination Staff Region II, at either 1 800 577 8510 or 404 331-5505.
J Sincerely Original signed by Stewart D. Ebneter Stewart D. Ebneter l
Regional Administrator Docket Nos.: 50 280, 50 281, 50 338, 50-339 i
j License Nos.:
Enclosure:
Federal Reaister, 61 FR 65088, l
December 10, 1996 i
cc w/ encl:
H. L. Bowling, Manager 4
i Nuclear Licensing and Operations Support j
Virginia Electric & Power Company Innsbrook Technical Center l
5000 Dominion Boulevard l
Glen Allen, VA 23060 W. R. Matthews, Manager North Anna Power Station P. O. Box 402 l
Mineral, VA 23117 D. A. Christian, Manager Surry Power Station Virginia Electric & Power Company 5570 Hog Island Road Surry, VA 23883 I
Ray D. Peace, Chairman
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Surry County Board of Supervisors P. O. Box 130 Dendron, VA 23839 i
Executive Vice President Old Dominion Electric Cooperative 4201 Dominion Boulevard Glen Allen. VA 23060 cc w/ enc 1 continued: See page 3 j
_ _ - _ _ _ - _... ~._.._ _ _..-_.. _.-_
VEPC0 3
cc w/ encl: Continued f
Dr. W. T. Lough Virginia Cor) oration Commission i
Division of Energy Regulation l
P. O. Box 1197 Richmond, VA 23209 William C. Porter, Jr.
County Administrator Louisa County P. O. Box 160 Louisa, VA 23093 Michael W. Haupin, Esq.
Hunton and Williams Riverfront Plaza, East Tower i
951 E. Byrd Street Richmond, VA 23219 Attorney General Supreme Court Building 900 East Main Street Richmond, VA 23219 Robert B. Strobe, M.D., M.P.H.
l State Health Commissioner Office of the Commissioner Virginia Department of Health i
P. O. Box 2448 Richmond, VA 23218 Distribution w/o encl:
G. Edison, NRR J. Lieberman. OE R. Gibbs, RII P. Fillion, RII D. Jones, RII W. Stansberry, RII C. Payne, RII PUBLIC Distribution w/o encl continued: See page 4 l
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l
(
I VEPC0 4
Distribution w/o encl: Continued 1
NRC Resident Inspector U.S. Nuclear Regulatory Comission 3
1024 Haley Drive Mineral, VA 23117 i
NRC Resident Inspector U.S. Nuclear Regulatory Comission Surry Nuclear Power Station 5850 Hog Island Road l
Surry, VA 23883 I
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OrF!ce o t t. d rs p!t.opa SIGNATURE b
NAME BU git LReyes DATE 12
/ 96 12 /
/ 96 12 /
/ 96 12 /
/ 96 12 /
/ 96 12 /
/ 96 COPY?
YES NO YES NO YES NO YES NO YES NO YES NO UFFiCIAL RtLukU LOPY OUCUMtNT NAMt: G;W tt'LOtNF.FtC 1
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85088 Federal Register / Vol. 61. No. 238 / Tuesday. December 10,1996 /' Notices 1
to satisfy the plant :lesign basis, condition. Nonetha loss, the limusee was non-cited violation, and consideration t
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Specifically, the bl swout panels would aware that the pam is' pressure relief of risk in developing sanctions.
l still protect the bu ldings' values calmisted i i 1993 were above DA1ES: his revision is effective on superstructure fras i failure, which was the stated value of k5 psf stated in the December 10.199H. Comments are due j
considered the pia it designbasis.The UFSAR at which t1 e panels were on or before January 9,1997.The licensee contendec that the 45 psf value supposed to piquvic s rouef.The NRC change'to Part V of the Enforcement is not considered t le plant design basis maintains thstithe l=aa== was outside Policy %-^ open predecisional j
for reportability co seiderations and o'its design biais ad decreened the enforcement 5 does not apply j
none of the princfi le safety barriers was margin to the peau are that would muse to aanf=nences that were announced seriously degraded Therefore, the building fallue en l therefore,the priorto the effective date of this 5
licensee does not c maider that this deviation fross the JFSAR should have revision.
i condition was rep < rtable given the been reponedito th iNRC.
AnansessB: Send written comments to:
j information avalia: 'le in October 1993.
The NRC mininta ns this position.
The Secretary of the mminaion. U.S.
e 4
and thmfore disaq rees with this notwith-*==>Ha= th i Heensee's Nuclear Regulatory emenmiamion.
ddance in W--Aia=*a= DC 20655. ATTN:
violation.
contention that the
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ksuggest that the Docieting and Service Branch. Deliver 1
The licensee alas notes that thee NUREG-1022.wou description of the < iolation in the candition was not : sportable.no NRC
=====ts to: 11555 Rackville Pike.
j Notice of Violation and particularly,the bouevedat he Ha ensee misinterpreted Rockvius, Maryland 2es52 between ddance andin so '
7:45 asa and 4:15 paa, an Federal discussion of the v olation in the se NUREG %s een j
doing. failed prt the subject
- workdays, ef====ata may be transmittal letter, a assests that the NRC is applying a relati 'eTy recent regulatory
==daia= to IJi C. Siniply stated, the
--==la-d at NE Public Document
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position regarding he status of ye,,,,,,
,f a miming high Roosn. 21201.Sansat. NW. (uwer.
numencal values s ithin the UFSAR.
Hm e straint.which
- Imvel). Washington,DC.
i j
Specifically, the lit enees states that it y $ am lysed as not being a e scommostcoenm' appears that the NI ;C is considering all required for cxun L nace with the design Jasnes Ueberman. Director. Office of -
f statements and cor imitments in the basis,is not a i ble to the pressure Enferr====* U.S. Nuclear Regulatory j)
UFSAR as, stand-a lone requirements.
zelief panels.
We component which c-=i==1an Washington.DC 20555 he licensee furthe r notes that while
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provides a ci at functiost in (301)415-2741.
I"8 '"P'"*"#* ""
M 8 "'"A M 80 " " C'" D f e O t srn ta er b t the event of ha c verpressues transaamt " General Statement of Policy and j
not cited as such 11 an ofthe rs t[at the NRC of de mact m o tui Mae buudings.
Procedum for NRC Enforminent violations it a Asians" (Enforcement Poucy or Policy) i 1
considers that illure of the blowout
- 7. NRC Conct n
was first issued on September 4,1980.
j panels to function it the UFSAR stated The NRC con :lu< es that the licensee Since that time.the Enforcement Policy j
pressure of 45 psf 1 i,in itself, a violation has not provided al, adequate basis for has been rvvised on a number of
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of regulatory requi ements and a reportable situatioi.The licensee mitigating the cNil ty.
occasions. On June 30,1995 (60 FR Acardingly,the N has<ietermined 34381), the Enfoscament Policy was l
disagrees with this intebrotation of the that a monetary :i.I penalty in the revised in its and was also legal significance c fthe SAR. and is amount of 350.0% thould be impoemd puhusband as 1800. b Policy l
icipatin ith he Nuclear Energy for the violationiin SectionI of the June ly addresses violations by itute (Nbw) to is itiate a dialogue with 1
18.1996 Notice. In addition, the ~
sees and consin non.ucensed J
the NRC regarding.he resolution of this licensee has not pr ivided an adequate persons, as di=====d further in footnote i
generic issue. He scensee further states basis for the withd awal of Violation 3 to Section 1. Introdudion and Purpose, its efforts to reach that notwithstandi; ike interpretation of II.B in the Notics.
and in Section X: Enforcement Action j
agnement on what t
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infonnation in the JFSAR should be.
[FR Doc. 96-3132 FI ed 12-6-06: 8:45 anni Against Non. licensees. As described below, the n==i==ian is amending the e
the licensee believi s that it is clear that muses coes,ese,e,
j the NRC's ragulato y interpretation is Enforcement Policy to address issues inconsistent with t is previously issued regarding consultation with the guidance on report ibility as referenced Policy a6nd Procedure for Enforcement Commission, open predecisiona1 i
in the licensee's := ponse.
Actions; Policy Statement enforcement conferences.non-cited f
violations, and risk.eignificant i
- 6. NRCEvaluation afucensee Response Aeescy: Nuclear Regulatory violations.
j he NRC agrees hat the licensee.
Commission.
p based on its errone >us calculations in Acnost Poucy ustement: Revision.
Most enforcement decisions are made i
1 October 1993, conc luded that the pressum nlief pan < 'Is would provide summeAsm N Nncimar Regulatory at the NRC stafflove!JHowever, based k
relief atvaluesbols w the reaczor and Cosamission(NRC or n==ission)is oss dance in Section III of the e
turbine building su perstructure failure amending its General Statement of Policy Responsibilities."
pressure of so psf. Nhile the licensee Policy and Procoeurs for Enforcement ourtain cases requise formal Commissior:
clearly should hav< been aware that the Actions (Enforcement Policy) to revise masultation. De practice of pressun relief pan <,ls would provide the list of enforcement matters on which en-mission consultation has existed i
relief at values abo re the 80 psi the NRC staff must consult with the since the Enfom' Policy was first 1
superstructure pros sures if the en==ission, to the Poucy to pahll=h==Las an issesrim Policy in 1980.
j calculation had bei o adequately provide that most anal
- After 1980, the nuesbar of cases performed,it is als i clear that the enformenent con willbe open to requiring this type of consultation has 4
ucensee could not sport a condition public observation.to clarify the more than doubled.Most of the criteria I f
that it was not awe e of. even though it cirm==*= ices in which a licensee-for =a=ulwi= were adopted many j
should have beena were of the identified violation will be treated, as a years ago,to addrums particular i
ENCIDSURE 4'
i
[
Federal Register / Vol. 61. No. 238 / Tuesday, December 10. 1996 / Notices 65089 r==1,=ioner concerns or areas where imm more than tw2 times the amount medid <Han== ions between the NRC the NitC staf had little experience. De of the base dvil panalty. However, item and liconeses. limit the free== change of 2
NItC staff has had substantial (2) of 5=' Man m uf the Policy is being information.noduce conference ence in imple,menting the clarined to requ re coneuhation when
=Nareivan=== and negnavely impact the vos of the Enforcement Policy. It the NRC stas propoems a dril pensity enforcement program. Al'h=gh j
. is seletively rare that the en==f asion yester than 3 times the Severity Imvel ind reiterated this cancern during progreen,the==wiaa has devistes fraro the recommended NRC 1 values shovm in Table 1 A for a single '
- the c
j staf approedi.nus, there is less need violation or probleen. N NRC staf will not found that open enderensnaat j
for anandatory en aission involvement continue tre provide notiScotion to the conferences conducted during the trial inmen enforcementmatters.
r===i='on for all dvil paaal*i-and proyam were v=h=*=a*ia13y less frank on these factors and orders.
and open.nor was the NIIC prevented me the significant effort gresa obtaining the ladesmedan roouired
-- m Pmderaienal Enfesament Conformen to implement its enforcement prog' rem carrently expended in providing Commission consultation on Historically,the Enforcement Policy In some cases, the NRCstof needed to enforcement matters, the Commission hasprovided that enforcement sek lin=a-additional questions, but j
has given the NRC staff more flexibility can.orences are closed===eing=
the information uitheately provided was to dacida what enforcessant issues her ween the NitC andlicensees to ahreye sufBeleet to most pradarisional abould be brought to the Commission's' armhange information on potential enforcernent conJerenoeg j
attention because of policy signincance, rafety issues. Martian V of the current Opening F H '
enforcement controversy,or known==iaaion Anfor====* Policy states that
=- is te with the r
i laternet.
conferences, "are not normally open to sesacy's prindples of regulation Section M of the Enforcement Policy the public obosh" However, on and normal
(" Staff j
is being modified to delete the specinc July 10.1992.the n==i== ion Meetings Open to Final e
- - - for consultation with the. established a 2. year trial to Policy **a'a==a*." 50 FR 4s340:
j r--
ra==i= alan before the NRC staff lasves determine if the Policy sh d be 9"f*"=ha' 20,1994). & intent of open j
f enforra===t actions involving matenal ch== gad to anake most enforcement ana8arences is not to====4=l= public
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falso statements, orders or dril conferenome open to the public. On July
=**an'ima'=, but to psevide the public l
penalties to unlicensed individuab, or 19,1994,the NItC announced that the with an opportunity to observe the dril penalties to liansed reactor trial program would be continued until Although making the n==ission had acted on the yt meetings open to the i
operstors. Because of the egregirus e
l usture of material falso stateme.it cases, enforcement review team's e* Poses participants to the risk j
11is logicalthat they would be recommendations.
that information may be misunderstood f
considered very significant rrgulatory he announament of the trial ormi-a sad,the n==i=fon does e
concerns and be categorized at Severity program explained that the not Bad that the risk outweighs the levelI and require Commission Commission's decision on whether to public conSdence gained by allowing 4
censultation nn that basia.Section m(3) establish a per=====t policy for making open observation of NoC predecisional of the Enforcement Polic /). N enforcement conferences open would be enforcement conferences.
rm==ission believes that consultation bened on an essessment of the following Ator = "%the impact on the NItC's ability to emancise its regulatory i
regarding individual ar.tions should be criteria:
4 bened on the merits of the particular (1) Whether the fact that the and safety responsildlities, the impact I
case. Further, underthe curmnt Policy, conference was open impacted the on the candor and openness of i
civil penalties are ra normally issued NRC's ability to conduct a maaningful an==unications during enforcement
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to unlicensed individuals or operators, conference and/or implement the NRC's comierences, the impact on NRC resources, and the beneet to the public.
i bee cases wou;td receive Commission enforcement program, the a==ia=4on has dedded to me<lify c
I consultation at me request of the (2) Whether the open conference 8
Executive Diredor for Operations impacted the lir=aaaa's participation in the Enforcement. Policy to provide that inost cafmaces willbe open to public (ED01. The Commission receives the conference:
j advance notidention of all orders, (3) Whether the NRC expended a observation. However, as for any public j
including tSose issued to unlicensed significant amount of moeurces in meeting, the NRC retains the discretion individuaS.
making the conference public: and to close the conference for a specific la addhion, consuhation will no (4)m extent of public interest in case, ne criteria for closin6 confmnces e
longer ira requimd when the NRC staff Opening the enforcement confance, arercurrently addressed in Section V of 4
j exer :iras discretion under Section Under the trial program, the Enforcement Policy. With two approximately 25 percent of all eligible additions, these afteria will continue to i
V5.B.28 and refreins from takJng I
enfo: cement action for certain violations enforcement r==i=ences were open to be used.no changesinvolve opening a l
ider.itified during extended shutdowns.
Public observation. Open enforcement conference ifit is bened on an NRC conferences were conducted in each OtBce ofin one(00 report that h Commission will receive advance regional ofHee and wie mious types of has been pub disclosed and 4
j^
noti $ cation thmugh Enforcement
' timasses.Membem of the public providing HaimHty to open or close a Noti 6 cations (ens) for the first exercise attended 40 of the 113 open conimaces conimace with the appmval of the ofdiscretion for a plant meedng the conducted. In most cases, three or fewer Furwive Director for Operations. The criteria of Section VU.B.2. Notification l
not consultation, will be requimd when members of the public attended, ne Enforament Pohey will continue to Commission received and evaluated emphasise that prededsfonal.
the NRC staff exercises discretion under n===ents from He=aaa-and mornbere enforcement conferences are open for i
'Section VII.A.1 in matters in which the public observation and not participation dril penalty to be proposed deviates of the pubHc..
h most signifir==t=='=rn in
===s-t with the NRC's policy on 2
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i allowing public cheervation at open enestings.He change to the vs.a.somsas
- roucy mtered enforcement conferences was that open Enforcement Policy that opens i Aner um munw of NtntAG-15u. Secnon as secues vuA2.
conferences could inhNt open and
, 2- -"--'l enforcement conferences i
---. ~.- - -.-
i i
.I SSO90 Federal Wagias=r / Vol 61. No. 238 / Tuesday Dar=rnher 10. 1996 / Notices i
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will be applied to conferences for which and =ar*Ian abould be. However, the regulaments contained in this policy the date is announced aAer the effective convwas is not aar===arily true: low risk statement appear in Section VU.C.
date of this mvision.
shouki not neoneserily rueultin no Public p p.ma,.e i
Non Chad Violauses sanction or a sainor violation being deed. nis la because many violations, na NRC may not conduct or sponsor.
1' he Enforcement Policy provides although ha ~ low risk =i==in,.m and a person is not required to respond j
examples of when discretion generally may indiate e problem,oRen to, a collection ofinformation unless it "i-11<===.
displays a
. Q valid OMB control a
should be considered for departing from indicative of a h inuuss to cosep with NRC amnber.
the normal approach under the Policy, j
Section VILB.1. addresses non-cited requirements and, therefore, have a high Sanall Boeiness
- 7 ' ^ ' Enforcaneet violations (NCVs) which are used to regulatory signi8cance.
y g,,,,, Agg recognize the existence of a legal
%e Enforcement Policy currently s
j violation but are not formal violations.
does not address risk li In somrdance with the Small l.
NCVs are used to provide an incentive in Section VE.A.1.e. bcitly, except Business Regulatory Enforament addresses i
to licensees to identify and correct the escaisson of enforcement aanedaa.
Fairnese Act of1938, the NRC has
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violations. Criterion 1.(a). In Section in situations when the esassaive determined ths.t this action is not a l
VE.B.1. is a Senrity Imvel IV violation duration of a problem has resulted in a neefor rule and has veri 8ed this that was "Jdent18ed by the licensee.
hanan*4 1 lacrease in risk. Ahhough determination with the OfBos of including identification through an them is inherent discostian in the Information and ";"-, Affairs of event."
Enfermeent Policy to increase Severity GdB.
- j his discretion is normally used Imvels and'a=="*ia== based on risk,the Aeoordingly,the NRCEnforcement l
when the licensee identifies and r n===i-Aan believes it is approprists to Policyla amended revising Section IE the Hrut in Section IV, l
cornets a non. recurring violation, the Policy to sease the tion of risk aspects more Section V.
Aareiana VB.A.1.(e) and i
However, this provision is not normally ca==i
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used for violations that meet the criteria clearly.
VB.B.1(a) to med as follows:
j for Severity Level III violations. and in analysing risk, the NRC:=ragni=e GENERAL STATEMDrT OF POLICY '
where the dren==*aar== justify the unceremin*4=====ar4=*ari with risk AND N FUE NEC j
characterization at Severity LAvel IV.
assessment. Cenerally, qualitatin rather ENFORCEMENTActEONS Such cases normally are the more than quantitative risk========* are significant Sevwity Level IV violations. made given the number of variables In addition.'he NRC has considered assadated with risk assessment. Risk EE. * - - ~ - ^ ~ -
whether this exercise of discation should be a consideration in proposing The Executive Disomor for O erations should normally be used in cases enforcament actions, but not namesenly P
4 involving violations identified through determinatative. In developing higher (EDO) and the princi enforcement d
oman dthe NRC.
De ury an event. If the root cause of the event dril penalties, the Commission intends Executive Director for N ear Material 1
is obvious or the' licensee had prior to canaider, where appropriate.
opportunity to identify the problem but assassin separate dvil penalties for Safety. Saloguards and Operations failed to take action that would have each vio$ation that is aggregated into asupport (DEDS),and the Deputy Enocutive Director for Nuclear Reactor i
provemted the event, the licensee should Sevwity isvol H problem.
not be rewarded by the NRC's exercising Derefore, to provide sufBdent Regulation. Regional ons,and discretion not to cite the violation. On discretion to be able to appropriately -
Rosensch (DEDR).have delegated i
the other hand, there may be cases conside risk in enforcement decisions, the authority to approve orissue all I
when, notwithstanding a self-disclosing Section IV of the Policy is being escalated enfamment actions? ne j
violation, the licensee demonstrated modified to state that in considering the DEDS is responsible to the EDO for the initiative in identifying the violation's significance of a violation, the NRC NRC enforcement pragmms. The Mce root cause. In such a case, an NCV may considers the technical significana. i.e.,
of Enfacement (OE) exercises oversight be appropriate.
actual and potential consequences, and of and implemonts the NRC l
In general, when the licensee's the regulatory significana; and that in enforcement programs.He Director.
evaluating the achnical significance.
N. acts for the Deputy Executive identification is through an event.
e Directors in enforament matters in discretion should only be exercised risk is an appropriate consideration.
i when the licensee has demonstrated Further. Section VH.A.1.(e) is being their absence or as de ted.
i Initiative. Further, the violation should modified to state that exercise of Subject to the t and direction l
be dted if it caused the event, the cause discretion should be considered in of OE.and with the approval of the is obvious, or a cieer opportunity situations where the violation has appropriate Depu Execudve Director, existed to identify the violation and take resulted in a anh=*=ntial increase in risk, where necessary, agionaldnas revent the event.The including cases in which the duration of normally issue Nothms of Violation and action to fon believes that the Commiss the violadon has contributed to the dril penahles. However.
i l
Enforcement Policy should be clarified substantialinmones
- regional oH1 the of uci at 2
ho
[g "(n F8Periverk Reduction Act Statsseent Reactor Regulation (NRR) and the Office t
t n event in the criterion in Section VH.B.1.(a) to make his policy statement does not of Nuclear Matwiel Safety and I
it clear that use of discretion is not contain a new or amended information Safeguards (NMSS) may also issue 1
automatic if the violation is identified collection requirement subject to the Notices of Violation and proposed civil i
through a self. disclosing event.
Papwwork Redunian Act of 1995 (44 Penalties for certain activities.
U.S.C. 3501 et seq.). Exist 1
Risk.si aincant Violations l
uirernents were ap the N=a ~*l*d ""8""*"' *;"F
la evaluatin6 violations for ce of Manag====e and Bu n""eu N "se"= ii
=
enforcement, the higher the risk from a approval number 3150-0011.
visamuss ser pratiisme er ser erder bened upon a violation, the greater the severity level approved infarmatian colkaa'an viessuse.
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1 Federal Register / "ol St. No. 238 / Tuesday. Deceanber to.1996 / Notices 85091 j
Enforcement orders are normally issued same conclusions as those in the 01 issued. as to the Hansee's views on the by a Deputy Executive Director or the report cw ir.g issues ofintent if the appamat violadons and their root i
Dimetor. OE. However, orders may also Director of 01 concludes that causes and a description of planned or t
be tesued by the !!DO especially those can=iaalan consuhation la warranted; implemented corrective ar+ian isvolving the more signincant matters.
and During the predecisional enforcement The Directors of NRR and NMSS have (6) Any proposed enforcement action conferena,the uma=% vendor, or on which the an=ianlon asks to be other pomans wul be given an also been delegated authority to issue c
j anders, but it is expected that normal consulted.
opportunity to provide information consistent with the purpose of the i
ese of this authority by NRR and NMSS W.Semmyof Melations conference, including an explanation to wiu be conAned to actions not a
f associated with complian= issues. N Regulatoryrequirementa have the NRC of the immediate corrective s
Dhector.Of5cm of the Controller, has varying degrees of safety, safeguards, or actions (if any) that were tah==
i been delegated the authority to issue environmentalsigniScance brefore, foHowing idanHaration of the potential j
erders where licensees violate the relative importance of each violation or naacan% nance and the rmn=i== ion regulations by nonpayment violation, including both the technical long.4 arm comprehensive actions that 3
j of limnam and ins on fees.
eigniacance and b regulatory wese taken or willbe taken to prevent la recognition t the regulation of signi8cance, is evaluated as the Erst tecurrence. Licaneses, vendess, or other enclear activities in many cases does enop in b enforcement process. In persons wiu be told when a asesting is not lend itself to a mechanistic consi theetuninenn m ofa
. ' ""-' enforcement conference.
J tsestment, judgment and disaation violation, staff = naidars b a 'A A""" enfoscounset i
must be exercised in determining the marknamisigninmam 14 actualand conference is a meeting between the esverity levels of the violations and the poesntial - '
- and the NRC and the lima. Conferences are 4
appropriate enforcement sanc2 ions.
regulatory Nb=_,la evaluating normally held in the regional ofRces l
including the decision to issue a Notice the eachnical"=i. aiaeane=, risk is an and are nosmally open to public of Violation, or to propose or impose a appropriate raa'=adaration.
observation. randerences will not normally be open to the public if the dvil penalty and the amount of this penalty, aAer considering the general enforcement action being contemplated:
prindples of this statement of policy V. Predadal===1 Enferessment
. (1)Would be takan against en and the technical signi8cance of the Confereness ladividual, or if the acsissa, though not violations and the surrounding Whenever the NRC has loamed of the taken against an individual, turns on whether en individual has committed 4
dscumstances.
existence of a potential violation for i
Unless Commission consultation or which escalated enforcement acdon wrongdoing:
(2) anvolves signiSant personnel I
notification is required by this policy
- appears to be warranted, or recurring failume when the NRC has requested j
the NRC staff may depart, whee naneanformance on the part of a that the individual (s)lavolved be warranted in the public's interest, from vendor,the NRC rnay rovide an j
this policy as provided in Section VII-op reunity for a p onal Passent at the conference:
(3)is based on the Sadings of an NRC "Exerose of Enforcement Discation."
en reement conference with the OdBce ofInvestigations report that has j
h Commission will be provided licum, vendor,or ohr puson before not been publicly diarla==d: or written notification of all enforcement taking enforcesnent action. The purpose (4) lavolves saloguards information.
i actions involving civil penalties or of the conference is to obtain Prkacy As ladonnaden,winiwmadon orders.The Commission will also be information that will assist the NRC in which couldje censidemdgprietary provided notice the first time that determining the appropriate In addidon,cmimnas nm 4
i discretion is exercised for a plant enforcement action, such as:(1) a y[d",cN,Pfv j
[N8 *d', g",*$'m
~~
o edical
' ' '" N w E -" "io - 2*" O'On'~M=a retanding of s, root t3 n
iaf"J"Elu'n','s"r"r"**c i
" ~"h *-
8 wi aing * ** Posed o the ituation dictatesimmedia
,cd ak o 1an ed.and
)t l
m (3) a c mm n understanding of the (6) The conference will be conducted 3
(1) A'n action affecting a licensee's signi8cance ofissues and the nped for by telephone or the conference will be 3
conduced a relatively small
'$ s mbn' l**hyg'*
i{Qi[*Cli "-
p an s yr bg meeting an defense and secunty implications of not sufBcient information to make an criteria, a conference rnay stillbof the Notwi opersun with the potential radiological informed enforcement decision, a o n j
or other azards associated with conference will not normally be held if b conference involves issues re ted un t e Heensee mquests R. Mcnnm. to an ongoing ediudicatory paceeding posNs tofm a civil penalty an PPortunity for a conference will with one or more intervenore or where l
2I 8888ter than 3 times Severity 4 vel normally be provided before i-ing an the eviden basis for the conference 1
I values shown i Table 1A for a single order based on a violation of the rule on is a matter of ublic record such as an Deliberate Misconduct or acivil ity adfudicatory sion by the y profosed nforcement action i
3 c.,._.rt pf labor. In addiuon, to an unlimnsed person. lf a con om I
that involves a Seventy levelI is not held.b licenses will normally notwithstanding the above normal j
gg,,
be requested to provide a written criteria for opening or closing I
(4) Any action the EDO believes M* Pense to an inspection report,if couderences, with the approval of the l
warrants Commission involvement:
Kn=rntive Director for Operetions.
1 (5) Any proposed enforcement case
- "" ~"'"W"""" ** "d 'W8 P"*7 cand=rences may either be oyneing the or I
involving an Office of Investigations cloemd to the public aAer ha I
(00 report where the NRC staff (other E
,[wn.ummen "O
ma beneat of the public observation against than the O! staff) does not arrive at the sp a m or order.
a j
4
-c--.
_ _ _ _ _ - ~._
=
i s
86092 Federal Register / Vol. 61, No. 238 / Tuesday, Da=ahar 10, 1996 / Notices i
. the potential impact on the agency's When needed to protect the public Street. NW., Washington. DC 20268-decision. making process in a particular health and salsty or rammaa defense 0001, Telephone (202) 789-6840.
j mae.
and security, escalated enforcement Mar 9eres F.Quembew.
The NRC will notify b licenses that action, such as the issuence of an seer,mry.
the confance will be open to public immediately effective onier, will be observation. Consistent with the taken before the confersna.In these lym Doc so-3nos Fued 12-6-06: 10$0 as i 4,
agency's policy on open meetingp. " Staff cases, a conference may be held aAer the s u mme come frw sw.e Meetings Open to Public " published escalated enforcement action is taken.
1 September NRC latono,20.1994 (59 FR 48340), theVB.Esarmee ofDiscredes POSTAL.SSWICE s to announce open
(
,conferoces normally at least to
- ^
j working days in advance of conferences SunshineActgene ing; Soord of through (1) notices posted in the Public A. Escalation ofEnforcement Sanctions Governere Document Room.(2) a toll. free Notice of Vote to C has Meeting telephone recording at 800-952-9674.
1.*
At its meeting as n.,waher 2.1996, j
(3) a toll. free electronic bulletin board at (e) Situations when the violation the Board of Goses urs of the United
}
800-952-9676, and on the World Wide results in a substantial increase in risk.
States Postal Serv 6 e voted unanimous 1
Web at the NRCOfRos of Enformment including mese in which the duration of to close to publicc beervation its j
homepage (www. arc. gov /OE). In the violation has cxmtrauted to the
==
for January 6,1997 addition, the NRC normally will also substantialincrease.
In W ngton.D.I L De members wil lesue a press release and notify appropriate State llelson ofEcers that a be briefed on:(1) r ' w Publicatic i
predecisional enforcement conference B. Mitigorion ofEnforcement Sanctions Prices:(2) a propos ed Allng with the PostalRate Commi asion forParmls ar i
has been scheduled and that it is open to public observation.
(3) will ran=idar h ading approval for The public attending open
- 1. Licensee-MendBed Severity level lasernational Servi as Centers, conferences may observe but not IV Violations. The NRC. with the De meeting is e geseted to be i
participate in the confomace. it is noted approval of the Regional Ad=Inistretor assendad by the del owing persons:
that the purpose of conducting open or his or her designee, may refrain from Governors Alvarad s. Daniels, del Juno issuing a Notice of Violation for a Dyhrkopp. Finesna n. Meckle, l
conferences is not to maximize public Severity levelIV violation that is McWharter, Rider-ad Winters:
I attendance, but rather to provide the documented in an inspecdon report (or Postmasser Genere Runyon. Deputy 4
public with opportunities to be I
informed of NRC activities consistent omcialI eld notes for some material Paar===*=r Genera Coughhn Secretar, l cases) and described therein as a Nori.
to the Board Koset ir,and General I
with the NRC's ability to exercise its Cited Violation (NCV) provided that the Counsel Elcano.
regulatory and safety responsibilities.
inspection report includes a brief As to the first an I second item, the herefore, members of the public will description of the corrective action and Board determined hat pursuant to be allowed ea:ess to the NRC regional that the violation meets all of the section 552b(c)(3). 'ltitle 5. United offices to attend open enforcement following criteria:
Statas Code, and ad etion 7.3(c) of title j
conferences in accordance with the
" Standard Operating Promdures for Ia) It was identified by the licensee:
39 Code of Federe Regulations, this portion of the mes lag is exempt from i
Providing Security Support for NRC the open meeti roment of the Government ing* p-Mne Act 15 Hearings and Meetings " putilished Dated at Wim, M day of j
No / ember 1,1991 (56 FR 56251). These December, t90s procedures provide that visitors may be For the Nuclear Regulatory Commission.
. 5MM suae h h My to,
i i
subject to personnel screening. that C M' disclose informatia a in connection witl l
signs bonners, posters. etc., not larger 8***'8'78/8^'C8"""88*8-prarmadi"Be under Chapter 36 of title 39, United States C ade (having to du l
than 18"be permitted, and that (PR Doc. 96 -31319 Filed 12-9-96: 8:45 ami with postal retoma dag, mall disruptive persons may be removed, same caos res**-*
classification and i banges in postal i
ne open conference will be terminated
]
If disruption interferes with a successful
- eaampted imm dis :sosure by section services), which is specifically j
conference.NRC's Predecisional 410(c) of title 39, t mited States Code.
Enforcement Conferences (whether open POSTAL MATE Or ^^ TN The Board has d termined further ths l
or closed) normally will be held at the t to sectics 552b(c)(10)of title 5 i
NRC's regional offices or in NRC 88"*M"' A*I 8888 M 1
States Cada, and section 7.30) of Headquarters Offices and not in the asands OF AcescT:P etal Rate title 39, Code ofFa leral Regulations, thi j
vicinity of the licensee's facility.
Commission.
discussion is ease at bemuse it is likely i
Members of the public attending o n
conferences will be reminded that (1 Tuss Asso CATS: 2:3t p.m. on December to specf 8cally con ern participation of the apparent violations discussed at 9,1996, the Postal Service. n a civil action or praranding involvi mg a determination predecisional enforcement conferences Pt.Acs: Conference bom,1333 H Street. on the record aAer apportunity for a are subject to further eview and may be NW., Suite 300, We shington, DC 20268. bearing.
1 subject to change prior to any resulting As to the third ta rm, the Board i
grayug:cro a I
enforcement action and (2) the determined that pi rouant to section statements of views or expressions of esATTans to as E
. _. Issues in I
opinion made by NRC employees at Docket No. C96 -1.
552b(c)(3) and (10 of title 5. United 1
States Code:and a ction 410(c)(2) and prodocisional enformment conferences, CIOptrACT PEROCDI Pt R ts0RE BsPoesATIQsc (3)of title 39. Unit d States Code: and l
or the lack thereof, are not intended to Margaret P. Cronah iw, Secretary, Postal
-oh= 7.3 (c) and i ) of title 39, Code of l
represent final determinations or beliefs. Rate Fnmmission, ; Luite 300,1333 H Federal Regulation 6the modng is i
i E
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