ML20154M200
| ML20154M200 | |
| Person / Time | |
|---|---|
| Issue date: | 10/09/1998 |
| From: | Paperiello C NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | Liberman J NRC OFFICE OF ENFORCEMENT (OE), NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| References | |
| NUDOCS 9810200198 | |
| Download: ML20154M200 (21) | |
Text
t
.y October 9, 1998 o
MEMORANDUM TO:
Division Directors, Deputy Directors, and Branch Chiefs, NMSS James Lieberman, Director -
Office of Enforcement FROM:
CarlJ. Paperiello, Director (orig, signed by MKnapp, for)
Office of Nuclear Material Safety and Safeguards
SUBJECT:
NMSS POLICY AND PROCEDURES LETTER 1-55, REV.1, PROCEDURES FOR COORDINATION OF REGIONAL EVENTS AND ENFORCEMENT ACTIVITIES The attached Policy and Procedures Letter (P&PL) provides the procedures for coordination of regional events between the Regions and the Office of Nuclear Material Safety and Safeguards' (NMSS) Divisions, as well as the procedures for NMSS staff participation in regional and NMSS-based enforcement activities. The P&PL was revised to: (1) reflect the evolving position and duties of the two Regional Coordinators; (2) reflect organizational changes within the Division of Industrial and Medical Nuclear Safety; and (3) delineate the process for handling NMSS-based enforcement actions (i.e., cases involving violations or findings identified by Headquarters staff). The roles and responsibilities of the Regions with respect to coordination of regional events between the Regions and NMSS Divisions, and the roles and responsibilities for NMSS staff participation in regional enforcement activities are contained in Policy and Guidance Directive 1-25, Rev.1,
- Procedures for Coordination of Regional Events and Enforcement Activities."
All addressees should review the attachment to familiarize themselves with the procedures and disseminate the information to the staff as appropriate. The procedures are to be implemented immediately, and will remain in effect until further notice.
Please note that text changes in the P&P are indicated by side bars.
Attachment:
P&PL 1-55, Rev.1 CONTACT:
Brian W. Smith, NMSS/IMNS (301) 415-5723
,,n-M Distribution:
~
l ABlough, RI DCollins, Ril CPederson, Rlli RScarano, RIV l
[MD GPangburn, RI TDecker, Ril ABoland, Ril BClayton, Rlli RCaniano, Rlli DHollody, RI BSpitzburg, RIV GSandbom, RIV
'4]
g MShaffer, RIV CHosey, Ril LHowell, RIV DBroaddus 0
- h n. SGreene SMoore NRC Central File IMNS r/f Q
J NMSS r/f NMSS Dir Off r/f PDR
.gg
.g 3 7.: "> ij Coordinated with: JLieberman, OE
. 0-G:\\P&PL1-55.mem & G:\\P&PL1-55.new
_ _ _ a.G W "
9/30/98ce *SEE PREVIOUS CONCURRENCE OP/ PROOFED OOWER MEMO ONLY/SEPTEMSER 30,1999 NM M.
o OFC OB*
C OB*
E IMNS*
PMDA*
-g ha, NAME BSmith//BS SMoore//SM FCombs/FC SComell//SC CPaperiello DATE 9/30/98 9//98 9/30/98 8/5/98 10/ 7/98 OFFICIAL RECORD COPY Q q h cj q g g fv i%
-,s 0
f Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
SECTION I REGIONAL EVENT COORDINATION
]
Purnose These procedures have been developed to define the c!es and responsibilities of the Office of Nuclear Material Safety and Safeguards (NMSS) Headquarters Divisions in regional l ' coordination to ensure that NMSS lead technical Divisions are aware of lice l
holder events involving their programmatic areas of responsibilities and to track events for both
-l regional and Headquarters material licensees and certificate holders to ensure that there are no outstanding issues awaiting resolution.
Resoonsibilities l The' 3 rations Branch (IMNS/OB), Division of Industrial and Medical Nuclear Safety (IMNS),
has nary responsibility for coordinating, with the Regions, event response tracking of l
onre ig IMNS-related activities, and consequent follow-up for long-term licensee and certificate
']
hotot actions. The expectation is that such actions will be tracked to completion to ensure that
' l. there are no outstanding issues awaiting resolution, Within IMNS/OB there are two Regional l Coordinators (RCs) who share the primary responsibility of event response tracking through l
daily contact with the Regions.
l 1.
General Activities l
The RCs provide a two-way communication link between NMSS and the Regions. For actions involving participation of multiple NMSS Divisions, the RCs should function as j
l an immediate point of contact for NMSS, coordinating and distributing initial incoming information from the Regions, and, if IMNS is involved, negotiating and transmitting coordinated NMSS responses and direction regarding issues involving multiple NMSS Divisions. For issues involving primary participation of an NMSS Division other than i
IMNS, the RC should provide the initial information and regional point of contact to the lead NMSS Division contacts and stay apprised of the status of the issue.
4 i
l This role does not substitute for program guidance from NMSS Divisions nor for emergency response activities. Issues such as these should be directed to the appropriate Branch / Division by the Regions, with only a brief discussion of the information and the NMSS contacts with the RC during the moming regional calls. Tne l
RCs should relay this information to other NMSS Branches or Divisions, as deemed appropriate.
4 1
10/09/98 d
4
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
In accordance with Policy and Guidance Directive 8-11, staff from IMNS/OB and the l
Low-Level Waste and Decommissioning Projects Branch (LLDP), Division of Waste j
l j
Management (DWVj, should be incli:Jed on all Bankruptcy Response Teams (BRTs).
l The Regions should contact each r'.espective Branch Chief to identify the BRT j
l representative. IMNS/OB staff should represent IMNS on all BRTs and should confirm l
that bankruptcy reports have been forwarded to LLDP.
l For those events involving byproduct materials where th' re appears to be criminalintent e
involved (i.e., chain cut to steal gauge, intentional spread of contamination, improper l
use of a license to obtain radioactive materials, etc.), the Federal Bureau of l
investigation (FBI) has requested to be notified. [ NOTE: In the FBI's definition of l
byproduct material, it also includes accelerator-produced materials.) Each Region l
should contact its member of the NRC Information Assessment Team (IAT) l him/her of the event. The regional IAT member should then contact the appropriate FBI l
field office. The RCs should contact the Headquarters IAT members and inform them of l
the event. The Headquarters IAT members will then contact FBI Headquarters. For l
such events in Agreement States, the Agreement State should contact the appropriate l
FBI field office.
2.
Daily Activities l
The RC obtains copies of NMSS-related Event Notifications, Preliminary Notifications l
(PNs), and Moming Reports (MRs) for the previous day (s).
The RC contacts each Region (for times and contact person, see Attachment 1) for Information on new incidents and events; PNs or MRs to be issued by the Region; Updated information on ongoing events; 3
Follow-up information for long-term actions; Questions on additional regional concems; l
Potential generic issues identified by the Regions; Requests from Regions for Headquarters guidance, etc.;
l Transmittal of coordinated responses to regional requests for information on IMNS-related activities; and Transmittal of generalinformation from NMSS to Regions.
The RC obtains information requests from the Region; identifies the appropriate NMSS individual or organization responsible for response; and provides information or point-of-l contact back to the Region during a subsequent call or e-mail.
l The RC briefs the Director, IMNS, on events, activities, enforcement cases, and l
other issues.
2 10/09/98 w
~
~-r-w
ie l
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 The RC notifies the cognizant technical Branch / Division of events or follow-up actions, as necessary (for specific individuals, see Attachment 2). Notification of issues that are l
emergent, or of significant safety and/or programmatic interest, should be made promptly on receipt of the information. Notification ofissues of lesser significance l
should be made following the RC briefing of the Director, IMNS, but typically that same l
l day, Once the notification is completed, the lead technical Division has the responsibility for tracking the follow-up action. (See Attachment 3.)
3.
Weekly Activities I
r l
The Generic Assessment Panel (GAP) meets weekly to discuss events and operational l
l data. The RC should provide any new or additional information to the GAP coordinator.
l Procedures for the GAP are detailed in Policy and Procedures Letter 1-57.
l A summary of significant events and those for which there is significant new information l
should be prepared weekly for the Director, NMSS. The RC should prepare the weekly summary'of IMNS-related events that are t>eing tracked by IMNS. This summary should be reviewed and approved by IMNS management, then provided to the Director, NMSS, before the Friday Executive Director for Operations (EDO) staff meeting. For those l
events being tracked by other Divisions, the lead Division should prepare the summary.
l l
The RC should prepare EDO ltems and Commission items of Interest regarding l
IMNS-related events that are deemed of sufficient interest to be passed to the EDO or i
l Commission if not already prepared by other IMNS staff members tracking the events.
l The Commission items of interest should be reviewed and approved by IMNS management, then transmitted via the IMNS Division secretary by 11:00 a.m.
l Wednesday. EDO ltems should be reviewed and approved by IMNS management, then transmitted via the IMNS Division secretary by 11:00 a.m. Thursday. Copies of the l
Items of Interest should be included with the weekly summaries.
l The RCs are normally expected to participate in the weekly Office of Enforcement l
counterparts conference call.
4.
Bi-Weekiv Activities i
A Division of Nuclear Materials Safety management conference callis conductad bi-weekly, during which the NMSS and regional Division Directors discuss emerging
)
l policy issues and inter-regionalissues and events. Office of Enforcement staffis l
normal!y invited to participate in these conference calls.
l 5.
Monthly Activities l
3 10/09/98
~
1 l
a Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
IMNS/OB coordinates a monthly Operational Events Briefing for the Director, NMSS, l
(normally the second Monday of the month). IMNS/OB contacts each NMSS Division and Office of State Programs (OSP) to identify significant operational events for the briefing. An agenda is prepared and distributed to Headquarters and regional staff before each briefing and a listing of follow-up items is prepared and distributed after i
each briefing. IMNS/OB staff typically attend all NMSS Operational Events Briefings to maintain an awareness of all significant NMSS follow-up activities. Typically, for fuel l
cycle, waste, spent fuel, transportation, and Agreement State issues, the NMSS l
Divisions or OSP, as appropriate, provide the status of actions associated with new and tracked events for the NMSS Operational Events Briefings.
i l
IMNS/OB reviews the monthly reports, provided by the Regions and IMNS, of licensees l
operating in known non-compliance or requiring NRC monitoring for: (1) the action l
plans for pending renewals for non-compliance or other significant issues; (2) action l
plans for licensees continually operating in known non-compliance; and (3) the status of l
licensees required to take actions as a result of existing or new Confirmatory Orders, l
Confirmatory Action Letters (CALs), Demands for Information, or other l
long-term actions.
6.
Follow-Uo Actions l
For those actions to be tracked by IMNS/OB, an IMNS staff person should be assigned the primary tracking responsibility. This individual is responsible for informing the Region and other involved Branches, Divisions, and/or Offices that they will be tracking the action and should receive copies of, or participate in, any interactions and communications on the issue. The staff member keeps the RC apprised of any major issues and developmertts before the daily regional briefing with the Director, IMNS.
l Each IMNS staff individual monitoring ongoing actions should maintain an active file until l
the action has reached closure. The active file should be maintained in a central location in the event that information is needed when the responsible IMNS staff member is not available.
A listing of licensees and events currently being tracked is maintained, by Region, by the l
Branch Chief, IMNS/OB.
l Key dates and milestones for long-term licensee actions (e.g., CALs, Orders, etc.) or
]
regional follow-up should be tracked by the RCs. The RC and/or the primary staff l
person for each action should be responsible for updating the information and informing management of any changes to dates.
4 10/09/98
,w e
Procedures for Coordination of Regional Events and Enforcement Activities i
P&PL 1-55, Rev.1 SECTION 11 i
ENFORCEMENT ACTIVITIES Puroose To provide more consistent NMSS involvement in both Headquarters and regional enforcement l
cases involving NRC materiallicensees and certificate holders, the following procedures should be followed These procedures have been developed to define the role and responsibilities of j
l the NMSS Headquarters Divisions in enforcement cases; to ensure that NMSS lead Divisions l are aware of enforcement boards / panels involving their programmatic areas of responsibility; to ensure that there is NMSS participation in regional enforcement boards / panels and conferences, as needed; to ensure that NMSS positions on Enforcement Actions are provided l. to the Regions and the Office of Enforcement (OE) in a timely manner; to provide assistance to l
NMSS Divisions with the preparation of enforcement packages for Headquarters' cases; and to l
track enforcement actions for both regional and Headquarters materiallicensees and certificate i
l holders, to ensure that there are no outstanding issues awaiting resolution. These procedures
)
are consistent with the authorities, delegations, and procedures outlined in more detail in the NRC Enforcement Manual (NUREG/BR-0195, Rev.1).
Responsibilities l IMNS/OB has the responsibility for coordination of all enforcement actions involving regional l and Headquarters materiallicensees and certificate holders. Within IMNS/OB there are two l RCs (who serve as enforcement coordinators), each with primary responsibility for EAs in two l - Regions and shared responsibility for NMSS enforcement actions. The RCs are expected to provide clarification of the regulations in support of enforcement actions; relay requests for clarification of NMSS policy to IMNS management; and track the timeliness and resolution of l enforcement actions. In addition, the RCs are available, upon request, to assist other NMSS l Divisions with the preparation and resolution of enforcement actions involving violations l identified by NMSS staff. IMNS/OB is responsible for reviewing all escalated enforcement l actions involving Headquarters material licensees and certificate holders before issuance.
l 1.
Involvement in Reaional-Based Enforcement Actiong l
The RCs are expected to routinely participate in the weekly regional enforcement boards / panels and review enforcement packages for all non-delegated material cases (including those involving willful violations, unique or complex issues) and all delegated i
cases that involve a seccnd Severity Level lil violation within a 2-year or two inspection-l
. cycle period. The RCs may participate in specific enforcement conferences where i
l 5
10/09/98 i
l, I
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
significant information on policy or programmatic issues may be discussed, or as l
requested by OE or the Regions. In addition, the RCs will participate in panels and conferences on delegated cases when a Region requests an NMSS position on a specific issue.
l lMNS/OB is expected to participate in all aspects of enforcement resulting from l
violations or findings identified during inspections of licensees conducted pursuant to
-l Manual Chapters 2600 and 2800. For other materiallicensees, IMNS/OB should coordinate with the appropriate NMSS Divisions that have the technical lead, so that the responsible Divisions can, if desired: participate in scheduled enforcement boards, l
panels, and pre-decisional enforcement conferences; provide input on enforcement issues; and provide an NMSS position on the proposed enforcement action. If the lead technical Branch / Division wishes to participate, its personnel should coordinate with the l
RC or the Branch Chief, IMNS/OB.
The current schedule for regional enforcement panel conference calls is:
RI:
Tuesday @ 1 p.m.
l Ril:
Wednesday @ 1 p.m.
Rlli:
Thursday @ 10 a.m.
RIV:
Thursday @ 1:30 p.m.
l So Headquarters staff can review and participate in the regional discussions, the l
regional enforcement personnel are expected to forward a copy of the agenda and l
background material electronically to IMNS/OB, at least 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> before the panel / conference.
However, it should be recognized that the Regions may schedule additional cases up to the day of the panel and the 2-day goal may not always be possible.
l Enforcement issues requiring coordination with the U.S. Department of Transportation j
should be referred to the Spent Fuel Project Office, NMSS.
l If the case involves other NMSS Divisions or other Branches within IMNS, the RCs l
should forward an electronic copy of the information provided by the Region to the responsible Branch Chief or Division Director 2 days before the panel or conference.
Any input from the Division or Branch with technical and programmatic responsibility l
should be provided to the RCs at least 1 day before the conference call, when possible, l
to allow the RCs to resolve any issues or questions with the technical staff.
l The RCs should provide information to the GAP on issues that are raised during l
enforcement boards / panels as being potentially generic.
6 10/09/98
d e
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 Review and Concurrence of Reaional-Based Enforcement Packaoes l
NMSS is expected to review and concur on the final regional enforcement packages l
when they are received from OE. The RCs are not expected to review draft packages submitted by the Regions to OE, except in circumstances where complex actions l
require early and/or continuing interaction. The RCs should coordinate comments and concurrence on the final enforcement packages, as required, with the appropriate l
NMSS technical Branch or Division. The RCs are expected to send the enforcement packages electronically to the cognizant NMSS Branch Chief or Division Director for
{
review / concurrence.
l Timeliness Goals for Review and Concurrence of Reaional-Based Enforcement Packaaeg l
NMSS concurrence on revised regional enforcement packages is usually requested within 3 days of receipt. Therefore, any comments from other NMSS Branches or l
Divisions should be provided to the RCs within 2 days, to incorporate the comments and meet the timeliness goals.
l 2.
Involvement in NMSS-Based Enforcement Actiorf.
l IMNS/OB is expected to routinely participate in the enforcement panels / boards and pre-decisional enforcement conferences on all NMSS Headquarters material license l
cases. The RCs are expected to participate in all NMSS enforcement cases to 4
l coordinate, provide guidance, and assist the NMSS Divisions in the preparation and l
tracking of enforcement packages. The NMSS Divisions and IMNS/OB should strive to l
achieve the timeliness goals associated with enforcement cases in accordance with the l
NRC Enforcement Manual. Individuals from the lead Division are expected to represent l
NMSS in these cases; however, the RCs should participate in all such cases for the purpose of tracking the resolution of the enforcement issues and ensuring completeness l
of the enforcement packages. IMNS/OB is responsible for reviewing all escalated l
enforcement actions involving Headquarters material licensees and certificate holders l
before issuance.
l NMSS personnel should be sensitive to the need to consult with IMNS/OB on an ad hoc l
basis, if there are questions about the processing of enforcement actions or l
enforcement issues. In addition, the RCs should be consulted with on: all actions l
related to Office of Investigations (OI) investigations or investigation reports; all willful l
noncompliances whether or not investigated by Ol; and all non-escalated actions that l
require consultation with OE, such as violations related to Notice of Enforcement l
Discretion requests.
7 10/09/98
m.-
\\
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
Resoonsibilities for Non-Escalated Enforcement Actions I
l Fuel Cycle Safety and Safeguards (FCSS), Spent Fuel Program Office (SFPO), IMNS, l
and DWM have the lead responsibility for all non-escalated enforcement actions based l
on inspection findings, including the issuance of Severity Level IV Notices of Violation l
(NOVs), dispositioning violations as non-cited violations (NCVs), determining what will l
be treated as minor violations, and follow-up actions based on licensee replies to non-l escalated enforcement actions. The RCs are responsible for conducting training, as l
appropriate, and providing policy guidance to NMSS on request. In addition, the RCs l
are available, on request, to provide assistance to the other Divisions when drafting l
these non-escalated enforcement actions. The RCs can review these actions to ensure l
that they are consistent with the enforcement policy, other guidance, and precedents.
I l
If a licensee disputes an NOV, the responsible Division should prepare a response and l
coordinate with the RCs. OE is to be notified of all disputed NOVs within 1 week of the l
licensee's response, including disputed non escalated enforcement actions, and l
provided copies of the NOVs and the licensess' responses. OE will inform the RCs l
whether OE desires to concur on the response. Guidance in Section 5.6.6.b of the NRC l
Er.forcement Manual should be followed when responding to a disputed escalated l
enforcement action. If the Division does not change its position, and a licensee I
continues to challenge the violation, resolution of the issue should be coordinated with j
the Director, NMSS, and the Director, OE.
l l
Resoonsibilities for Escalated Enforcement Actions l
l Chapter 5 of the Enforcement Manual contains detailed guidance on escalated l
enforcement actions. The responsibility for implementing the escalated enforcement l
process is shared by the Divisions and IMNS/OB.
l l
FCSS, SFPO, IMNS, and DWM have the lead responsibility for most escalated l
enforcement actions based on inspection and investigation findings. However, j
IMNS/OB is responsible for reviewing all escalated enforcement actions involving l
Headquarters materiallicensees and certificate holders, before issuance.
l l illustrates each step in the process and the general time line for l
processing a normal, inspection-based escalated enforcement case and may be used l
as a checklist to assure that the essential steps in the process are followed.
l l
Lead responsibility by FCSS, SFPO, IMNS, and DWM involves:
l l
Reviewing inspection and investigation findings before report issuance, to identify l
apparent violations that may warrant escalated enforcement action; I
8 10/09/98 2
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
Ensuring that established timeliness goals are met for assigned cases, including l
the scheduling of conferences and the issuance of inspection reports to l
support conferences; I
l Developing a draft NOV, draft enforcement action worksheet, and other l
background information to support enforcement panel discussions; I
l Scheduling an NMSS enforcement panel, if necessary; I
l Providing information necessary to determine the safety and regulatory significance l
of the apparent violations, including the risk significance, assessment of the l
identification and corrective action factors, and a subjective assessment of overall l
licensee performance with respect to the violations at issue; I
l Scheduling conferences in a timely manner after the final inspection exit; l
l Arranging and conducting conference preparation meetings no later than 2 days l
before a pre-decisional enforcement conference; I
l Arranging and conducting pre-decisional enforcement conferences and caucuses, l
including issuing meeting notices, making conference room arrangements and l
developing agendas, opening remarks, handouts describing the apparent l
violations, and attendance forms; I
l Issuing inspection reports or letters to licensees and individuals identifying apparent l
violations in advance of enforcement actions being taken;-
1 l
Issuing post-conference summaries and/or sending licensee-provided information l
to the Public Document Room; I
l Providing comments and concurrence to IMNS/OB on enforcement packages l
revised after submittal to OE; and I
l Reviewing replies to escalated enforcement actions for completeness; issuing l
acknowledgment letters for replies to NOVs with no civil penalty; and providing l
input to IMNS/OB for drafting civil penalty acknowledgment letters, l
l The RCs are responsible for:
l l
Providing assistance to the lead Division, on request, in reviewing inspection and l
investigation findings to identify apparent violations that may warrant escalated l
enforcement action; I
9 10/09/98
l.
i Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-56, Rev.1 l
Providing enforcement policy guidance, including information on enforcement l
actions in similar cases; l
l Providing assistance to the lead Division, on request, in developing enforcement l
l action worksheets and otherinformation before panel discussions; l
I r
-l Scheduling enforcement boards / panels with OE, the Office of the General Counsel
+
l Determining whether the licensee has been the subject of previous escalated l
enforcement action as discussed in Section 5.5.2.1 of the Enforcement Manual; I
l Finalizing the enforcement action worksheet, developing the agenda for l
enforcement panels with OE, and issuing background information to all participants l-
_ including those in the Regions) at least 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> in advance;
(
i l
Participating in enforcement panels as a representative of NMSS or, in the case
+
l where the lead Division represents NMSS, for the purpose of tracking the l
resolution of the enforcement issues and ensuring completeness of the l
enforcement packages;
'l l
Providing assistance so the lead Division, on request, in arranging and conducting l
predecisional enforcement conferences, including developing opening remarks on l
the enforcement policy and process; i
l l
Attending all pre-decisional enforcement conferences and caucuses:
I I
l.
Providing assistance to the lead Division, on request, in drafting escalated l
enforcement actions, including cover letters, orders, demands for information, l
proposed civil penalties, orders imposing civil penalties, and Commission papers to j
l ensure technical adequacy and conformance to established policy guidance and l
precedents; I
l Coordinating NMSS review and concurrence on actions that are subn 'tted to OGC
+
l (when necessary) and OE for review; l
l Serve as point of contact for NMSS reviews, comments, and concJrrence for l
subsequent changes or revisions made to the escalated enforcement actions l
submitted to OE and OGC for review and approval. The review and concurrence l
should be completed within 3 days; i.
l Preparing draft Commission papers for escalated enforcement actions requiring l
Commission consultation, or reviewing those prepared by the lead Division i
10 i
10/09/98
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55. Rev.1 l
staff; and l
l Tracking the progress of all escalated enforcement actions while in preparation in
+
l NMSS and striving to achieve timely actions.
l
.l Preoaration of Orders Modifvino. Susoendino. or Revokino License or Certifica l
l Ordens are addressed in Section VI.C of the Enforcement Policy, and 10 CFR 2.202 l
sets forth the procedures for issuing orders. An order is a written NRC directive to l
modify, suspend, or revoke a license; to cease and desist from a given pract;ce or l
activity; or to take such action as may be proper. Orders may also be issued in lieu of, l
or in addition to, civil penalties, as appropriate for Severity Level I,11, or til violations.
l Requirements contained in orders are legally binding (i.e., enforceable).
l l
Once the decision is made that an order is necessary, the lead Division is responsible l
for drafting the order. The RCs are responsible for reviewing the draft order and serv l
as point of contact for NMSS reviews, comments, and concurrence for subsequent l
changes or revisions made to the order after submission to OE and OGC for review l
and approval.
I l
Preoaration of Confirmatory Action Letters l
l Confirmatory Action Letters (CALs) are addressed in Chapter 4 of the NRC Enforcement l
Manual. CALs are letters issued to licensees, vendors, or certificate ho'ders to l
emphasize and confirm their agreement to take certain actions in response to l
specific issues.
I l
NRC expects licensees, vendors, and certificate holders to adhere to any obligstions l
and ccmmitments addressed in a CAL. However, unlike orders, the provisions of a CAL l
are not legally binding requirements. CALs are normally used for emergent situations i
i j
where the staff believes that it is neither necessary nor appropriate to develop a legally i
_l binding requirement, in light of the agreed-on commitment. Attachment 4 provides a l
checklist for development and closure of CALs.
I l
The lead Division is responsible for drafting the CAL. Copies of a!! CALs should be l
forwarded to the RCs before issuance. The RCs will review these actions to assure l
they are consistent with the enforcement policy and precedents. In addition, the RCs l
are available to provide guidance on development and drafting of the CAL.
l l
3.
Documentation of Enforcement Actions l
l The RCs are expected to keep records of all cases in which they participated in the l
enforcement board / panel. After the enforcement board / panel, the RCs should create a 11 10/09/98
i Procedures for Coordination of Regional Events and Enforcement Activities P&PL 155, Rev.1 l
folder for the Enforcement Action (EA) and maintain all records associated with the EA, i
l including the draft inspection report, draft NOV, pre-decisional enforcement conference l
transcript, etc. However, once the action is issued, the RCs should remove from the l
folder all associated documents, except for the EA issued.
I j
All EAs issued to individuals (i.e.,' Individual Actions (IAs)] are assigned EA and lA l
numbers. However, tv-tse of privacy law prohibitions, actions against individuals, l
such as orders, must
.o kept in EA files. Rather, IA folders must be created that do l
not associate the indnndual action with the assigned EA number.
l 4.
Follow-uo on Enforcement Actions l
The RCs should obtain a print-out of all escalated enforcement actions from the l
Enforcement Action Tracking System, on a monthly basis, to maintain an awareness of l
the status of all NMSS-related material cases and to identify potential generic issues that may be associated with frequently cited violations.
t 12 10/09/98
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 REGIONAL CONTACTS l Igne Region Primarv/ Alternate Contact I~
l t
l 8:30 11 Charles Hosey (CMH) 404-562-4701 l
Doug Collins (DMC) 404-562-4700 I
l 8:45 Ill Cynthia Pederson (CDP 1) 630-829-9800 l
Roy Caniano (RJC1) 630-829-9801 l
l Note: Region ill calls the RC l
1 l 9:15 i
George Pangbum (GCP) 610-337-5152 l
Randy Blough (ARB) 610-337-5281 I
l 9:45 IV Mark Schaffer (MRS) 817-860-8287 l
Blair Spitzburg (DBS) 817-860-8191 1
l i
A1 - 1
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 NOTIFICATION The following individuals should be notified electronically about events pertaining to their area of responsibility.
FCSS.
Director, FCSS Elizabeth TenEyck EQT Deputy Director, FCSS E. William Brach EWB Chief, FCOB/FCSS Philip Ting PXT
-l Chief, SPB/FCSS Robert Pierson RCP l Section Leader Walt Schwink WSS l Inspection Assistant Trish Harich PAH DWM Director, DWM John Greeves JTG1 l. Deputy Director Michael Weber MFW Chief, PAHL/DWM John Austin JHA j
Chief, URB /DWM Joseph Holonich JJH1 Chief, LLDP/DWM John Hickey JWH1 SFPO l Director William F. Kane WFK l Deputy Director Charles J. Haughney CJH l Section Leader Earl Easton*
EXE Staff John Cook
- JRC1 IMNS/MSB Chief, MSB Larry Camper LWC i
Deputy Branch Chief Steven Baggett SLB 4
l 6DM l
I i Deputy Director, DFS Richa-d Dopp^
RAD 1 l Chief, DFS/INFOSEC Lynn Silvious^
ALS I
I I
l A2-1
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 1 R!E I
l Director, OlP/NEMR Ronald Hauber RDH l
L.'
l Information Assessment Team (HQ) l l Member John Davidson*^
JJD l Member Aaron Danis AAD l Member Amy Salus -
AXS2 I
I l
- Notify for transportation events.
l ^ Notify for security events.
I i
I l
l-A2-2
.s
'?
Procedures for Coordination of Regional Events End Enforcement Activities -
i P&PL 1-55. Rev.1 l.
General Time Line for Processing Escalated Enforcement Actions l
The time line below is based on calendar days and assumes: 1) escalated enforcement action is being considered on the bas t
l inspection findings with no Office of Investigations involvement; 2) the inspection is closed before an enforcement pan l conducted; 3) an open pre-decisional conference is conducted; 4) a full Office of Enforcement review o' the action i{
l the final enforcement action is issued; cad 5) the action involves a proposed civil penalty that is not contested by the li!
l certificate holder. [DIV = Lead NMSS Division, OPA = Of' ice of Public Affairs]
l l
l DAY RESPONSIBILITY 4
ACTION l
l 0
DIV Conduct exit; describe potential violations e
l 3
DIV Schedule NMSS enforcement panel (if necessary) and OE enforcement panels e
l 5
DIV/RC Develop background material for NMSS panel; provide to participants l
l 7
DIV/RC Conduct NMSS panel
]
7 RC Schedule OE enforcement panel l
10 DIV
)
Provide RC draft enforcement action worksheet and background material i
i l
12 RC Issue agenda for OE panel, send background material l
14 DIV/RC Conduct OE panel
.t V
l
l 15 DIV Notify licensee or certificate holder that:
r
}
- 1) escalated action is being considered;
-[
l
- 2) conference needs to be scheduled and will be open; and i
l
- 3) handouts will be placed in PDR l
20 DIV/RC Finalize conference schedule; notify participants; add to NMSS calendar; reserve room f
A3-1 i
r
Procedures for Coordination cf Regional Ev;nts cnd Enforcement Activities P&PL 1-55, Rev.1
]
DAY.
RESPONSIBILITY ACTION l
21 DIV Provide licensee or certificate holder inspection report l
21 DIV issue meeting notice; send to Public Meeting Coordinator l
33 DIV/RC Develop conference agenda, prepared remarks, apparent violation handout j
33 DIV/RC Corduct conference preparation meeting l p 33 DIV Arrange phone bridge for regional participation 1
35 DIV Check room setup and handouts for observers l
35 DIV/RC Conduct pre-decisional enforcement conference with licensee or certificate holder 1
35 DIV/RC Conduct post-conference panel w/all conference participants l
37 DIV Provide RC with final draft enforcement package (NOV, cover letter, and background material) l 42 DIV issue conference summary and attendance list l
42 RC Review and finalize draft enforcement package; coordinate concurrence j
42 RC Submit HMSS enforcement package to OE l
56 OE Seek NMSS' concurrence in revised enforcement action j
l 59 RC Coordinate NMSS review & concurrence in revised package l
60 OE Issue Enforcement Notification (EN) l 62 OPA
. Finalize news announcement following review by DIV/RC l
63 DIV Notify licensee or certificate holder by telephone; offer to fax copy; inform licensee or certificate holder of l
plans for news announcement l
63 DIV Assure that action is mailed ovemight or certified A3-2
.9
~
Procedures for Coordination of Regional Events and Enforcement Activities
' P&PL 1-55,' Rev.1 l
t
-l DAY RESPONSIBILITY
' ACTICM i
.l 63 OSP Notify state officials after licensee has been notified l
63 OPA Provide licensee or certificate holder copy of final news announcement l
' 64 OPA issue news announcement e
_l 93 N/A Licensee or certdicate holder reply to NOV/ proposed civil penalty is due l
l 114 DIV Complete review of reply l
114 RC Notify OE that review of reply is completed l
121 OE issue acknowledgment letter.
l l
121 RC
)
Close case file; remove draft action and associated documents; provide' copy of acknowledgment l
to DIV.
I t
t i
i l
I A3-3 1
l
o e
Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 I
l
. Checklist for Development and Closure of Confirmatory Action Letters I-l l Generalinstructions I
l e All phone calls to licensee, vendor, or certificate holder should be made by a l
supervisor / manager and another person.
l e Material drafted for Confirmatory Action Letter (CAL) should have author, date and time, l
and file name.
l
- Untilissued, treat as pre-decisional.
l' l Development I
l
- 1. Discuss concept, rationale, and basic content of CAL with Division management; j
- 2. Coordinate with a Regional Coordinator (RC), if necessary; l
Information Act and Correspondence Analyst; l
- 4. Develop draft list of actions to be confirmed, with schedule for each action; l
- 5. Discuss with licensee, vendor, or certificate holder management:
l
- 6. First draft of CAL developed for review by section leader (s) and inspection team leader; l
- 7. Incorporate comments from number 5,'second draft;
-l
- 8. Send second draft for review to the RC, the Office of the General Counsel, and Division l
management; i
l
- 9. Incorporate comments from 8; l
_10. Develop final package for concurrence; l
_11. Coordinate with the following, as appropriate:
l Office of Congressional Affairs l
Region (s) l State Programs l
Office of Public Affairs (OPA) l Office of Nuclear Reactor Regulation l
NMSS Divisions (as appropriate)
.l U.S. Department of Transportation l
Agreement State l
Intemational Programs l
notify Executive Director for Operations staff assistant l
other specific to CAL; l
_12. Read final letter to licensee, vendor, or certificate holder for agreement after Division l
Director's concurrence, but before Office Director's; j ' _13. After Office Director signs, have copy faxed to licensee, vendor, or certificate l.
holder management; l
_14. Give to Division secretary for dispatch, including fax, or hand-carry to OPA: and A4-1
\\
t-Procedures for Coordination of Regional Events and Enforcement Activities P&PL 1-55, Rev.1 l
_15. Consider issuing Preliminary Notification (see Inspection Manual Chapter 1120, l
" Preliminary Notifications").
l l Closure l
l
- 1. Maintain cognizance oflicensee, vendor, or certificate holder's status of completion of l
. CAL commitments and due dates;
} __2.
Where NRC actions are required, provide timely responses to licensee, vendor, or l
certificate holder; l
- 3.. inspect to determire compliance with CAL commitments, as appropriate *; and l
- 4. When all CAL commitments have been satisfactorily met, transmit letter to licensee, j
vendor, or certificate holder closing out the CAL. Provide RC a copy of the letter.
I l
- To be determined on a case-by-case basis.
A4-2
-