ML20196L109
| ML20196L109 | |
| Person / Time | |
|---|---|
| Issue date: | 06/17/1999 |
| From: | Mcgaffigan E NRC COMMISSION (OCM) |
| To: | NRC OFFICE OF THE SECRETARY (SECY) |
| Shared Package | |
| ML20196L093 | List: |
| References | |
| SECY-99-146-C, NUDOCS 9907120299 | |
| Download: ML20196L109 (5) | |
Text
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NOTATION VOTE RESPONSE SHEET TO:
Annette Vietti-Cook, Secretary FROM:
COMMISSIONER MCGAFFIGAN
)
SUBJECT:
SECY-99-146-INTERIM ENFORCEMENT POLICY FOR USE DURING THE NRC POWER REACTOR OVERSIGHT PROCESS PILOT PLANT STUDY Approved v Disapproved (
Abstsin Not Participating COMMENTS:
See attached comments.
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SIGNATURE
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Entered on "AS" Yes >(
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CORRESPONDENCE PDR 99o 7/2 o7 77 j
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. Commissioner McGaffigan's Comments on SECY-99-146 It is important to note that the staff drafted and submitted SECY-99-146, which is intended to implement the enforcement aspect of the new reactor oversight strategy presented in SECY-99-007A, even before the Commission issued the SRM regarding that strategy. I commend the j
staff for that initiative which should be of great assistance in achieving timely and effective j
implementation of the oversight pilot plant study.
l find the policy, as proposed in SECY-99-146, confusing in that it places too much emphasis on categorizing violations into several different groups. Within the SDP envelope, violations will j
either be cited or not. In the former, responses will be required and, in rare cases, civil penalties may be possible. In the latter, the violations will be placed by licensees in a corrective action program. Violations that are outside the scope of the SDP or have actual consequences will be treated per the current enforcement policy. I do not support creating what may be perceived as a new violation category, entitled "particularly significant violations."
The proposed policy should be revised as follows:
- 1) Delete Section I.C ("Particularly Significant Violations").
- 2) Add to Section 1.B,"The Commission reserves the use of discretion for particularly significant violations (e.g., accidental criticality) in accordance with Section 234 of the Atomic Energy Act of 1954, as amended."
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- 3) Delete the first two sentences after Section 11,C.
- 4) Modify confo; ming changes to Appendix F.
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p regulatory conferences and other actions will be taken if merited by the specific violations or overalllicensee performance.
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__ Qicularly Significant Violations f
espite the proce described above for enforcement decisions for violations addressed i
bythe Agency n Matrih Commission reserves the use of discretion for particularly l
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violations to assess civil penalties in accordance with Section 234 of the Atomic g
En gy Act of 1954, as amended.
ed on the current performance of licensees, this]
(t/scretion is expected to be exercised rarely./rc. ;;;ccW. wii....woh aui Lun.ney 'we f
=Warad med b jui 0;.;;;;j '.;..; i vienons unuwi me emung Eniuivainoni Pu;;uy e.g.,
'an accidental criticality \\ :e uutuu in appanum 6, suppiemont i, F.;;;ter Op;;;;;;.;.
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- 11. Violations Not Evaluated by the SDP and those Having Actual Consequences 4
The current Enforcement Policy will be applied for the second group of violations. This includes the use of severity levels to characterize the significance of violations and the use of civil penalties or other appropriate enforcement action. Three categories of violations are within j
this group:
. (A) Violations that involve willfulness including discrimination; i
i (B) Violations that may impact the NRC's ability for oversight of licensee activities, such as those associatea with reporting requirements, failure to obtain NRC approvais, such as required i
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by 10 CFR 50.59,10'CFR 50.54(a),10 CFR 50.54 (p), and failure to provide the NRC with complete and accurate information or to maintain complete and accurate records ; and
- (C) Violations that involve actual consequences. These violations include an overexposure to the public or plant personnel, the failure to make the required notifications that impact the ability of federal, state and local agencies to respond to an actual emergency preparedness or I
transportation event, or a substantial release of radioactive material.
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's The Commission recognizes that violations in subgroups (A) and (C), above, may have l
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also been evaluated by the SDP and the Agency Action Matrix. However, the Commission considers that the use of the current Enforcement Policy is appropriate, including severity levels j and civil penalties, to provide additional deterrence for violations in this category.fThe gui s.
in Appendix C: Interim Enforcement Policy for Severity Level IV Violations involving Activities of Power Reactor Licensees, will be applicable to Severity Level IV violations in this group.
Paperwork Reduction Act l
This final policy statement does not amend information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These requirements were approved by the Office of Management and Budget, approval number 3150-0136.
4 Public Protection Notifcation
The three exceptions are consistent with items (1), (2), and (4) of Appendix C: Interim I
Enforcement Policy for Severity Level IV Violations involving Activities of Power Reactor Licensees,26 Federal Register 6388 (February 9,1999).
B. Significant Violations Violations that the SDP evaluates as risk significant (i.e., white, yellow, or red) will be assigned a color band related to their significance for use by the assessment process. Because of being risk significant a NOV will be issued requiring a formal written response unless sufficient information is already on the doc t. f\\
C. Particularly Significant Viol ions J
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' scribed above for enforcement decisions for violations ad Despite the process c e by the Agency Action Matriv Commiccion reserves the use of discretion for particularly significant violation ssess civil penalties in accor a with Section 234 of the Atomic Energy Act of 1954, as amended. _.
v.. vo...u y.m.........\\.!ccr. ;., mis discretion is expadad te tc emo,vi d... iy. ?c, ;ooinpie wnere such discretion may vui.e:dcred =!d be !ct Sever:ti uvui i viviauuns unoer me exisung tniviven.wia. e;;c,, (e.g., an accidental L
criticality.;;etege...ed lr. App.,d.. O, Coppl..uiu i, Reautui Gym.m.e..s.)
- 11. Violations Not Evaluated by the SDP and Those Having Actual Consequences i
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