ML20141J539
| ML20141J539 | |
| Person / Time | |
|---|---|
| Issue date: | 07/25/1997 |
| From: | Rathbun D NRC OFFICE OF CONGRESSIONAL AFFAIRS (OCA) |
| To: | Gingrich N, Gore A, Murphy R GENERAL ACCOUNTING OFFICE, HOUSE OF REP., SPEAKER OF THE HOUSE, SENATE, PRESIDENT OF THE SENATE |
| References | |
| CCS, EGM-97-015, EGM-97-15, NUDOCS 9708200092 | |
| Download: ML20141J539 (4) | |
Text
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\ UNITED STATES
.s# j NUCLEAR REEULATERY C MM18810N WASHINGTON. D.C. 20e464001
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, July 25,1997 The Honorable Newt Gingrich Speaker of the United States House of Representatives Washington, DC 20515
Dear Mr. Speaker:
Pursuant to Subtitle E of the Small Business Regulatory Enforcement fairness Act of 1996, 5 U.S.C. 801 (Act), the Nuclear Regulatory Commission (NRC) is submitting an Enforcement Guidance Memorandum (EGM). This EGM provides background and guidance to agency personnel concerning the Act and its implementation in the NRC's enforcement program. This EGM is necessary to provide greater information to the agency in developing enforcement actions subject to the Act.
We have determined that this action (interpreted as a " rule" under the Act) is not a " major rule" as defined in 5 U.S.C. 804(2). We have confirmed this determination with the Office of Management and Budget.
Enclosed is a copy of the EGM. This guidance is effective immediately and will be incorporated in the next change to the NRC's Enforcement Manual.
Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
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't, ,e July 25, 1997 Mr. Robert P. Murphy General Counsel General Accounting Office Room 7175 441 G St., NW.
l Washington, DC 20548
Dear Mr. Murphy:
Pursuant to Subtitle E of the Small Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 801 (Act), the Nuclear Regulatory Co:aission (NRC) is submitting an Enforcement Guidance Memorandum (EGM This EGM provides background and guidance to agency personnel concern). ing the Act and its
-implementation in the NRC's en,'orcement program. This EGM is necessary to provide greater information to the agency in develcping enforcement actions subject to the Act.
We have determined that this action (interpreted as a " rule" under the Act) is not a " major rule" as defined in 5 U.S.C. 804(2). We have confirmed this determination with the Office of Management and Budget.
Enclosed is a copy of the EGM. This guidance is effective immediately and will be incorporated in the next change to the NRC's Enforcement Manual.
Sincerely, t / A Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
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- July 25, 1997 The Honorable Al Gore President of the United States Senate Washington, DC 20510
Dear Mr. President:
Pursuant to Subtitle E of the small Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C.-801 (Act), the Nuclear Regulatory Commission (NRC) is submitting an Enforcement Guidance Memorandum (EGM). This EGM provides background and guidance to agency personnel concerning the Act and its implementation in the NRC's enforcement program. This EGM is necessary to provide greater information to the agency in developing enforcement actions subject to the Act.
We have determined that tN s action (interpreted as a " rule" under the Act) is not a " major rule" as (.,rined in 5 U.S.C. 804(2 . We have confirned this determination with the Office of Management and) Budget.
Enclosed is a copy of the EGM. This guidance is effective immediately and will be incorporated in the next change to the NRC's Enforcement Manual.
Sinc'erely, h f n Dennis K. Rathbun, Director Office of Congressional- Affairs
Enclosure:
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- ,o July 17, 1997 EGM 97-015 MEMORANDUM TO: Hubert J. Miller, Regional Administrator Region I Luis A. Reyes, Regional Administrator Region 11 A. Bill Beach, Regional Administrator Region til Ellis W. Herschoff, Regional Administrator Region IV l Roy Zimmerman, Associate Director for i Projects,NRR i
Thomas T. Martin, Acting Associate Director for Inspection and Technical Assessment, NRR Elizabeth 0. Ten Eyck, Director, Division of Fuel Cycle Safety and Safeguards, NMSS Donald A. Cool, Director, Division of Industrial and Medical Nuclear Safety, NMSS John T. Greeves, Director, Division of Waste Management, NMSS FROM: James Lieberman, Director Office of Enforcement - [ M
SUBJECT:
ENFORCEMENT GUIDANCE MEMORANDUM - COMPLIANCE WITH SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT (SBREFA)
In March 1996, the Small Business Regulatory Enforcement Fairness Act (Act) took effect. The primary requirements of the Act are: (1) the NRC must consider the Act in civil penalty actions against small entities, (2) the NRC must submit final rules to the Congress prior to their taking effect and also maintain records reflecting compliance with the Act, and (3) the NRC must establishamethodforsmallentitiestocontacttheNR[forassistancein interpreting or complying with regulatory requirements. The definition of final rule is sweeping and covers several enforcement-related matters, including changes to the Enforcement Policy, the Enforcement Manual, and some Enforcement Guidance Memoranda (EGMs). OE has developed procedures to implement the Act. The procedures for submitting enforcement documents that qualify as final rules to the Congress applicable to OE are not being disseminated with this EGM.
As to considering the Act in civil penalty actions against small entities, the Enforcement Policy has been analyzed and is believed to be in compliance with this requirement as it provides that:
' See Announcement No. 56, June 9,1997, as to establishment of the toll-free number for inquiries from small entities.
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(1) under the current system, smaller licensees generally pay smaller civil penalties, because the. agency's graduated civil penalty structure takes into account differences in the size of the licensee, the licensee's ability to pay, and the safety risk of the violation involved; (2) civil penalties are normally proposed only for significant violations;
_(3) civil penalties are normally waived for licensees who identify their own violations and take prompt and comprehensive corrective action; and I
(4) civil penalties are normally assessed for willful vio1'ations, particularly poor performance, overexposures, loss of radioactive material, and very significant violations.
l further, the Policy makes clear that in determining the amount of the civil penalty, financial hardship can be considered, it is not the NRC's intent that the economic impact of a civil penalty be so severe that it puts'a
- licensee out of business or adversely affects the licensee's ability to conduct licensed activities safely. In such cases, penalties may be reduced or the licensee may be permitted to pay the penalty over time.
Nonetheless, in reaching decisions concerning enforcement actions, the staff should keep the intent of the Act in mind. There may be cases in which, after considering the normal adjustment factors and the size of a qualified small entity to whom a civil penalty may be issued, the staff believes that the penalty should be reduced or eliminated. In those cases, it is appropriate to propose such a modification based on the intent of the Act. This would be applied as an exercise of discretion.
Procedurally, prior to the enforcement panel for a materials case, the Regional enforcement staff or assigned OE Enforcement Specialist, as appropriate, is to check the Controller's list of licensees that qualify as small entities under NRC regulations. Copies of that list have been distributed to Regional Enforcement Coordinators, if the licensee in the case has qualified as a small entity, that fact may be considered in the panel discussion. The appropriate box will be noted on the EA Request and Enforcement Strategy Form. In addition, appropriate keywords are to be entered in EATS when (1) the licensee is a small entity, and (2) when discretion is exercised to apply the Act by reducing a particular enforcement action.
For delegated cases, it is important that the Region issuing the action follow these procedures. If the Region considers the use of discretion based on the Act appropriate, OE is to concur. =
No other action in required of the regions or program offices to comply with this aspect of the Act, cc: E. Jordan, DEDE J. Goldberg, OGC F. Gillespie, NRR
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CONGRESSIONAL CORRESPONDENCE SYSTEM DOCUMENT PREPARATION CHECRL.IST This check list is to be submitted with each document (or group of Qs/As) sentfor processing into the CCS.
- 1. BRIEF DESCRIPTION OF DOCUMENT (S) ll Ei f), U;fUU*
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Congressional Committee Subcommittee S. SUBIECT CODES (A)
(B)
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COMMENTS:
RELEASE TO PDR f
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