ML20198K061
| ML20198K061 | |
| Person / Time | |
|---|---|
| Issue date: | 12/17/1997 |
| From: | Lieberman J NRC OFFICE OF ENFORCEMENT (OE) |
| To: | Beach A, Miller H, Reyes L NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II), NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III) |
| References | |
| EGM-97-18, NUDOCS 9801140309 | |
| Download: ML20198K061 (8) | |
Text
{{#Wiki_filter:_ _ _ _ _ _ _ _ - _ - - - _ - p \\ UNITED STATES hk l s NUCLEAR REGULATORY COMMIS810N WASHINGTON, D.C. 30eeMoM Decenber 17, 1997 EGM 97-020 MEMORANDUM TO: Hubert J. Miller, Regional Administrator Region i Luis A. Reyes, Regional Administrator Region ll A. Bill Beach, Reglunal Administrator - E egion ill EIL W. Merschoff, Regional Administrator Region IV Roy Zimmennan, Associate Director for Projects, NRR Brian W. Sheron, Acting Associate Director for Technical Raview, NRR Elizabeth O. 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 Ih Office of Enforcement
SUBJECT:
ENFORCEMENT GUIDANCE MEMORANDUM - MODIFICATION TO STANDARD FORMS FOR NOTICE OF VIOLATION AND MODIFICATION OF EGM 97-018 in the interest of consistency and ensuring that proper attention is given to particularly significant or generic issues, OE is increasing its oversight of contested cases. In order to facilitate OE's addressing contested violations, the standard forms for Notices of Violation are being modified slightly to (1) make clear that a challenge to the assigned Severiti Level should be treated as a contested violation, and (2) have a copy of the licensee's response sent directly to OE. Attached are revised Forms 4-1,4-11, and 4-Ill. They replace pages B-15 through B-20 of Appendix B of the Entorcement Manual. This EGM modifies EGM 97-018 as to the Regions automatically hubmitting a copy of the licensee's response to OE. As a result of changing the NOV form, OE should receive directly those license' responses that contest violations and OE will advise the regional Enforcement Coordinator whether OE desirec to concur on the response. However, the Regions should check the response to ensure that OE is listed as receiving a copy. If so, the Region should ensure that they know whether OE k wishes to be involved in resolution of the issue. If a copy was not sent to OE, the Region should send it and also obtain resolution of the question of OE interest. - Attachments: As stated I \\ cc:' A. Thadani, DEDE J. Goldberg; OGC F. Gillespie, NRR g g ll'lillel]lol l.l l-l 1 B. Boger, NRR E. Adensam, NRR 140054 9eoi140309 971217 PDR ORO NE SEN _ ___- _ ___ _ _----{DR _ -_-_ =_ -
4 - FORM 4 l: NOV (for all violations without a civil penalty) (Reactor Licensees) = NOTICE OF VIOLATION (Name of Licenseel Docket No.(s) (Facility Name) License No.(s) EA(s) (if applicable) During an NRC inspection (investigation) conducted on (date(s)) a violation (s) of NRC requirements was (wore) identified. I:. accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions, NUREG 1600, the violation (s) is (are) listed below: (State reauirement that was violated.) Contrary to the above, (date and descriotion of nreciselv how the eauirement was violated: and for multi unit sites. the unft or units aoolicable.) (IFS Code for escalated action) This is a Severity Level violation' (SupplementJ. 8 Pursuant to the provisions of 10 CFR 2.201, (name of licensee) is hereby required to submit a written statement or explanation to tha U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D C. 20555 with a copy to the Regional Administrator, Region . and a copy to the NRC Resident inspector at the facility that is the subject of this Notice, within 30 days of the date of the letter transmitting this Notice of Violation (Notice). This ' Msn several violations have been considered in the aggregate as a Severity Level 111 problem, refer to It as a problem versus c violation, and include the following conclusion: These violations represent a Severity Levellli problem. ' Supplement ). ' For vblahons where the region has determined that no response is required, the following paragreph may be substituted: The MRC has concluded that information regarding the reason for the violation, [if more than one violation, specify which violation or violations) the cc recti"e actions taken and planned to correct the violation and prevent recurrence and the date 'vhen full compliance will be (was) achieved is already adeqJately addressed on the docket in [ indicate correspondence, e.g., inspecten Report No. XX-XXXNY NN, i.ER YY-NNN, or letter from Licensee] dated However, you are required to submit a written sta:ement or explanation pursuant to 10 CFR 2.201 if the description therein does not accurately reflect your corrective actions or your position. In that case, or if you choose to respond, clearly mark your response as a " Reply to a Notice of Violation " and send it to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D.C. 20555 with a copy to the Regional Administrator, Region and a copy to the NRC Resident inspector at the facility that is the subject of this Notice, within 30 days of the date of the letter transmitting this Notice of Violation (Notice).
L. ~ reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each . violation: (1) the reason for the violation, or, if contested, the basis for dispt, ting the violation or severity level, (2) the corrective steps that have been taken and the results achieved, (S) the corrective steps that will be taken to avoid further violations, and (4) the date when full compliance will be achieved. Your response may reference or include previous docketed conespondence,if the correspondence sdequately addresses the required response. If an adequate reply is not received within the time specified in this Notice, an order or a Demand for information may bs issued as to why the license should not be modified, suspended, or revoked, or why such other action as may be proper should rot be taken. Where good cause is shown, consideration will be given to extending the response time, if you contest this enforcement action, you should also provide a copy of your response to the Director, Office of Enforcement, United States Nuclear Regulatory Commission, Washington, DC 20555-0001. Under the authority of Section 182 of the Act,42 U.S.C. 2232, this response shall be submitted under oath or affirmation.8 Because your response will be placed in the NRC Public Document Room (PDR), to the extent possible, it should not include any personal privacy, proprietary, or safeguards information so + that it can be placed in the PDR without redactior if personal privacy or proprietary information is necessary to provide an acceptable response, then pieuso provide a bracketed copy of your response that identifies the information that should be protected and a redacted copy of your response that deletes such information. If you request withholding of such material, you must specifically identify the portions of your response that you seek to have withhelo and provide in detail the bases for your claim of withholding (e.g., explain why the disclosure of information will create an unwananted invasion of personal privacy or provide the information required by 10 CFR 2.790(b) to support a request for withholding confidential commercial or financial information). If safeguards information is necessary to provide an acceptable response, please provide the level of protection described in 10 CFR 73.21. Dated at (Citv. State) this day of (Month) 19(M)
- Severity Level IV violatiens do not need to include this sentence.
1 d FORM 4-11: NOV (for all violations without a civil penalty) (Materials Licensees) NOTICE OF VIOLATION (Name of Licensee) Docket No.(s) (Citv. Stala) License No.(s) EA(s) .(if applicable) 7 During an NRC inspection (investigktion) conducted on (date(s)) a violation (s) of NRC l requirements was (were) identified. In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," NUREG-1600, the violation (s) is (are) listed below; i (State reouirem:ent that was violated.) Contrary to the abnve, (date and descriotion of oreciselv how the reautrement was violated: and for licansees with more than one license. the soecific license or licenses to which the violation soolies.) (IFS Code for esc @ed action) Thlb is a Severity Level violation' (Supplement _). 8 Pursuant to the provisions of 10 CFR 2.201, (name of licens'ei is hereby required to submit a written statement or explanation to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D.C. 20555, with a copy to the Pogional Administrator, Region _., within 30 days of the date of tho letter transmitting this Notice of Violation (Notice). This reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each violation: (1) the reason for the violation, or, l' contested, the basis for disputing the ' When several violations have been considered in the aggregate as a Severity Level lil problem, refer to it as a problem versus a violation, and include the following conclusion: t These violations represent a Severity Level lli problem. (Supplement _). 8 For violations where the region has determined thai no response is required, the following paragraph Hesy be substituted: The NRC has concluded that information regarding the reason for the violation, [if more than one violation, specify which violation or violations) tha corrective actions taken and planned to correct the violation and prevent recerrence and the date when full compliance will be (was) achieved is already adequately addressed on the docket in Fodicate correspondenca, e.g., inspection Report No. XX-XXX/YY-NN, LER YY-NNN, or letter frorn Licensee) dated __ However, you are required to submit a written statement or explanation pursuant to 10 C.('R 2.201 if the deceription therein does not accurately reflect your corrective actions or your position. In that case, or if you choose to respond, clearly rnark y% u..ponse as a
- Reply to a Notice of Violation," and send it to the U.S. Nuclear ".egulatory Commission, ATTN: Document Control Desk, Washington, D.C.
20555 with a copy to the Regional Administrator, Region, and a copy to the NRC Resident inspector at the facility that is the subject of this Notice, within 30 days of the date of the letter transmitting this Notice of Violation (Notice).
~ l violation or severity level, (2) the correct!ve steps that have been taken and the results achieved, (3) the corrective steps that will be taken to avoid further violations, and (4) the date when full compliance will be achieved. Your response may reference or include previous docketed correspondence, if the coriespondence adequately addresses the required response. if an adequate reply is not received within the time speci6ed in this Notice, un order or a Demand for Information may be issued as to why the iicense should not be modifed, suspended, or revoked, or why such other action as may be proper should not be taken. Where good cause is shown, consideration will be given to extending the response time. if you contest this enforce.nent action, you should also provide a copy of your response to the Director, Office of Enforcement, United States Nuclear Regulatory Commission, W&shington, DC 20555-0001. Under the authority of Sect!on 182 of the Act,42 U.S C. 2232, this response shall be submitted under oath or affirmation.8 Because your response will be placed in the NRC Public Document Room (PDR), to the extent possible, it should not include any personal privacy, proprietary, or safeguards information so that it can be placed in the PDR without r6daction, if personal privacy or proprietary information is necessary to provide an acceptable response, then please provide a bracketed copy of your response that identifies the information th t should be protected and a redacted copy of your response that deletes such 'nformation. If you request withholding of such material, you muAl specifically identify the portions of your response that you seek to have withheld and provide in detail the bases for your claim of withholding (e.g., explain why the disclosure of informction will create on unwarranted invasion of personal privacy or provide the information required by 10 CFR 2.790(b) to support a request for withholding confidential commercial or financial information). If safeguards information i ~ "scessary to provide an acceptable response, please provide the level of protection describeo a 10 CFR 72.21. Dated at - (City. Stater this day of -. (Monthi,19(XX)
- Severity Level IV violations do not need to include this sentence.
l FORM 4-111: NOV 'or all violations without a civil penalty) (NRR undor & NMSS Approved Quality Assurance Program, MC&A, and Decommissioning Cases) NOTICE OF VIOLATION (Name of Comoanvi Docket No. (Citv. state) License No. .(if applicable) EA (if applicable) During an NRC inspection (investigation) conducted at (location) on (date(s)). a violation (s) of NRC requirements was (were) identifisd. In accordance with the
- General Statement of Policy and Procedure for NRC Enforcement Actions," NUREG-1600, the violathn(s) is (are) listed below:
(State reouirement that was violated.) Contrary to the above, (date and descriotion of orgtciselv how the reauirement was violated.) (IFS Code for escalated action) This is a Severity Level _ violation * (Supplement._). ' Pursuant to the proWen of 10 CFR 2.201, (name of comoaay). is hereby required to submit a written statement or apamtion to the U.S. Nuclear Regulatory Commission. A*TN: Document Control Da.sx Washington, D.C. 20555 with a copy to the Chief, Special Inspection
- When several violations have been considered in the aggregate as a Severity Level lil problem, refer to it as a problem versus a violation, and include the following conclusion:
These violations represent a Severity Level til problem. (Supplement ).
- For violations where the region has determined that no response is required, the following paragraph may be substituted:
The NRC has concluded that information regarding the reason for the violation, [if more than one violation, cpecify which violation or violations) the corrective actions taken and planned to correct the violation and prevent recurrence and the date when full compliance will be (was) achieved is already adequately addressed on the docket in [ indicate correspondence, e.g., inspection Report No. XX XXX/YY-NN, LER YY NNN, or letter from Licensee) dated However, you are required to submit a written statement or explanation pursuant to 10 CFR 2.201 !f the description therein does not accurately reflect your corrective actions or your position. In thtt case, or if you choose to respond, clearly mark your response as a ' Reply to a Notice of Violation," and send it to the U.S. Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D.C. 20555 with a copy to the Chief, Specialinspection Branen, Division of Technical Support, Office of Nuclear Reactor Regulation, [ substitute Chief, Source Containment and Devices Branch, Division of Industrial and Medical Nuclear Safety, Office of Nuclear Materia' Se4ty and Safeguards, NMSS for transportation cases and Chief, Operations Branch, Division of Fuel Cycle Safety and Safeguards, NMSS for MC&A cases and Chief, Low-Level Waste and Decommissioning Projects Branch, NMSS for decommissioning cases) within 30 days of the date of the lettet transmitting this Notice of Violat;on (Notice).
- . - _. ~_ _. - - -
s Branch, Division of Technical Support, Office of Nuclear Reactor Regulation;[ substitute Chief,- o Source Containment and Devices Branch,- Division of Industrial and Medical Nuclear Safety, i Office of Nuclear Material Safety and Safeguards, NMSS for transportation cases and Chief,' Operations Branch, Division C Fuel Cycle Safety and Safeguards, NMSS for MC&A cases and Chief, Low Level Waste and Decommissioning Projects Branch, NMSS for decommissioning cases) within 30 days of the date of the letter transmitting this Notice of Violation (Notice). This - reply should be clearly marked as a " Reply to a Notice of Volation" and shculd include for each violation:-(1) the reason for the violation, or, if contested, the basis for disputing the violation or severity level, (2) the corrective steps that have been taken and the results achieved, (3) the corrective steps that will be taken to avoid further violations, and (4) the date v hon full compliance will be achieved. Your response may reference or include previous docketed correspondence, if the correspondence adequatoly addresses the required response. Where good cause is shown, consideration will be given to extending the response time.- if you contest this enforcement action, you should also provide a copy of your response to ths Director, Office of Enforcement, United States Nuclear Regulatory Commission, Washington, DC 20555-0001. Under the authodty of Section 182 of the Act,42 U.S.C. 2232, this response shall be submitted under oath or affirmation.' Because your response will be placed in the NRC Public Document Room (PDR), to the extent possible, it should not include any personal privr:cy, proprietary, o,' safeguards information so that it can be placed in the PDR without redaction. If personal privacy or proprietary information is necessary to provide.an acceptable response, then please provide a bracketed copy of your response that identifles the information that should be protected and a redacted copy of your response that deletes such information. If you request withholding of such material, you mutt specifically identify the portions of your response that you seek to have withheld and provide in detail the bases for your claim of withholding (e.g., explain why the disclosure of information will create an unwarranted invasion of personal privacy or provide the information required by 10 CFR 2.790(b) to support a request for withholding confidential commercial or financial information). If safeguards information is necessary to orovide an acceptable respnnse, pleata ? provide the level of protection described in 10 CFR 73.21. Dated at - (Citv. State) -this' day of (Month) 1g(XX} i ]. - Severity Level IV violations do not need to include this sentence.
Deceilxr 17, 1997 Multiple Addressees .m QJSTRIBUTION: -JLieberman, OE OE Staff Enforcement Coordinators Rl, Ril, Rlli, RIV EGM File Day File Public (2 weeks muerissuance) - WEB (2 weeks after issuance) \\ NUDOCS OE b D:Oh _kES) GCant Jhman Nb' 12//G/97 '12/h7 Doc Name: G:\\ FORM 4GC _ -.}}