ML20199F477
| ML20199F477 | |
| Person / Time | |
|---|---|
| Issue date: | 11/17/1997 |
| From: | Cool D, Paul Goldberg, Piccone J NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| To: | |
| Shared Package | |
| ML20199F449 | List: |
| References | |
| PROC-971117, NUDOCS 9711240225 | |
| Download: ML20199F477 (16) | |
Text
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United States f,... ...n'\ Nuclear Regulatory Commission
- g Policy and Guidance Directive PG 0-12 POLICY AND GUIDANCE DIRECTIVE 0-12:
FOLLOWUP ACTIONS FOR ORDERS SUSPENDING AND REVOKING LICENSES FOR NON-PAYMENT OF FEES Olvision of Industrial and Medical Nuclear Safety Office of Nuclear Material Safety and Safeguards I PREPARED BY: REVIEWED BY: R VIEWED BY:
'T,._! & .,.. ff t. ~ > G .T.Sy .'s' f b' i'# \ %Qjif\W s Pdul F. Goldberg 'l / s -(' Larry W. d;'amper, Chief Diane Dandois, Chief Project Manager, IMOB/IMNS !MAB/lMNS LFARB/DAF/OCFO FJ VIEW D BY: REVIEWED BY: s 7 L '$)l,(g
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w- L APPROVlE
/ V J kPiccone, Chief bQ,nnis e Dambly ( Dors,ald/ . 1 /ff;/,7 7 OB/IMNS ///f/'f7 OGC
Director, IMNS/NMSS POLICY AND GUIDANCE DIRECTIVE: 0-12 FOLLOWUP ACTIONS FOR ORDERS SUSPENDING AND REVOKING LICENSES FOR NONPAYMENT OF FEES ET4*"te!'Tal27 PDR
, t o TABLE OF CONTENTS EA90
- 1. Purpose . . . . . . . . . . . . . . . . . . . ........ .. .. . ... ..... .... 1
- 2. G uH a nce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....... .......... 1
Attachment:
Order Revoking License Following Immediately Effective 30 Day Suspension
POLICY AND GUIDANCE DIRECTIVE 012: FOLLOWUP ACTIONS FOR ORDERS SUSPENDING AND REVOKING LICENSESS FOR NONPAYMENT OF FEES PURPOSE The purpose of this directive is to provide guidance to the Regions and Headquarters concerning procedures for coordinating with the Office of the Chief Financial Officer (OCFO) on Orders suspending and revoking licenses for nonpayment of fees and subsequent actions when licenses are suspended for nonpayment of fees. A copy of the Order, now entitled " ORDER REVOKING LICENSE FOLLOWING IMMEDIATELY EFFECTIVE 30-DAY SUSPENSION"is attached. This Order is an example; the precise wording may vary depending on the circumstances of individual cat es. These procedures apply to quality assurance approvals and sealed source and devi e registrations but actions for these authorizations may deviate from these procedures . Sr parate Orders are available for quality assurance approvals, sealed scurce and device registrations, and exempt distribution licenses.
GUIDANCE
- 1) Once a licensee has failed to respond to notices of payment due, the OCFO will prepare the Order and send it electronically to the Jffice of General Counsel (OGC) and to the responsible Division Director for concurrence. The Region will attempt to locate the licensee by telephone or other means to determine if it has received the notices of payment. For licenses issued by Headquarters (HQ),
these and other communications will go to the Director of the Division of Industrial and Medical Nuclear Safety, the Division of Waste Management, the Spent Fuel Project Office, or the Division of Fuel Cycle Safety and Safeguards, as appropriate. The Division Director for HQ or the Region will respond within two weeks with any comments and/or concurrence. OCFO willissue the Order, sending it to the licensee by certified mail, and signed copies of the Order will be sent to the Director of the Divit ion of Nuclear Materials Safety (for the Region) or the Chief of either the Medical, Academic, and Commercial Use Safety Branch, the Low Level Waste and Decommissioning Projects Branch, the Fuel Cycle Licensing Branch, or the Transportation and Storage Inspection Section. Copies of draft and final Orders will be sent by OCFO to the responsible Branch Chief and Licensing Assistant in the Region or HQ by electronic mail. OCFO will provide copies of any additional material upon request.
- 2) Upon issuance of the Order, the OCFO will enter the " refusal to pay" flag in the License Tracking System (LTS) for materials licensees to preclude any licensing actions being taken without concultation with the OCFO and entnr a
- Status 6" indicating that the license is suspended .
- 3) Thirty days after issuance of the Order, the OCFO will send a " Final Action" memorandum stating whether the license was revoked for nonpayment of fees or whether the licensee paid the invoice in full within the 30-day period, and therefore the Order is rescinded; the licensee submitted " good cause" for an extension of time or for relaxation or rescission; the licensee requested a hearing; or other bcsis that would stay the effectiveness of the Order, such as the Order was not delivered.
- 4) If the Final Action is the revocation of the license, the OCFO will update the LTS by entering a " Status 5" indicating that the license is revoked. OCFO is working on a PG-012 1 11/17/97
- tracking system to identify delinquent debtors that have been previously wntion off as bad debt so that incoming applications can be matched to these debtors, Under the terms of the Order, a) Licensees must immediately; i) Restrict activity involving licensed material to decommissioning and safe, secure storage or transfer of material; ii) Continue to control et,try into restricted areas until the Licensee has determind ' NRC has confirmed that such areas are suitable for rete ' .a accordance with NRC requirements; b) If the licensee does not pay the debts due NRC within 30 daye of the date of the order, the license is revoked and the licensee must, within 30 days of the date of the order; i) Arrange for disposal of any licensed material, either by return to the manufacturer or transfer to an authorized recipient. Such disposal must take place within 60 day of the date of this order.
The licensee must notify the Regional Division Director or affected Headquartere Division Director, in writing, within five days of such disposal; ii) Any licensee who is a manufacturer, distributor, or provider of services to other licensees must notify each customer or client in wnting that authorization to provide any support has been revoked and that customers and clients may need to amend their licensus to be in compliance with NRC requirements; iii) Conduct an adequate termination survey of the premises, as described la 10 CFR 30.360),40 420), or 70.380), and report results of the survey in writing to the Regional Division Director or affected Headquarters Division Director-iv) Submit a wntten report to the Regional Division Director or affected Headquarters Division Director on the status of materials; Upon the Regionsi Administrator's determination that the steps above have been satisfactorily completed, as necessaly, the license will be terminated at a date specified by the Regional Administrator, if the licensee still uwes fees, OCFO will continue to take action.
, 5) Under the terms of the Order, any request for relaxation will be directed to the Chief l
Financial Officer (CFO) The CFO will coordinate action on the requests with the Regional Division Director or HQ Division Director and make a determination on any c
such request with the concurrence of the Regional Division Director or HQ Division Director.
- 6) The Region or Headquarters should contact the licensee 6-10 days after issuance of the '
PG-0-12 2 11/17/97 l
k Order to determine the status of the licensee's program, receipt of the Order and its y intentions relative to the Order. Depending on the licensee's response, the Region or Headquartera should schedule incpections and confirmatory surveys as appropriate. If the licensee requires decommissioning or reclamation, inspections will be subject to full-
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cost recovery under fee category 14 of 10 CFR 170.31. Therefore staff hours for these types of inspections must be recorded in RITS and reported to OCFO in accordance with established procedures.
- 7) Upon receipt of the Final Action memorandum from tb 7CFC indicating the debt has not been paid and the license is revoked for nonpaymc .. of the fee and if the written notification of disposal of material, the survey, or the materials status report required by the Oder have not been received by the Region within 10 days from the effective date j
of the Order (allowing for licensee review and mailing), the Region should determine I
from OCFO whether the unpaid fees have 'aeen remitted and, if not, contact the licensee by phone promptly to determine the licensee's status, and intentions with respect to compliance, if the licensee does not respond in writing within seven days of the phone call, the Region should arrange to conduct an inspection of the facility within 30 days.
- 8) The required actions to close out suspended and revoked licenses are contained h, .ne Order (encimed). The Regions and headquarters should adopt procedures to accomplish the following objectives; however, if the licensee has only devices, or small sealed sources, written documentation conceming the disposition of the materials may be all that is necessary; a) Ensure that responsible managers in the Region and headquarters are awara of all ,
Orders suspending licenses and of licensee responses and that no licensing actions hther than termination) may be completed for the licensee until all outstanditig debts have been paid in full.
b) Establish a system, or use an existing system, to track the status of all suspended l#ns9s, including phone calls to licensees, licensee responses, due dates, digestion of material, notifications to customers or clients, performance of surveys, review of surveys, and closecut action.
c) After license termination, change the LTS status code from revoked to terminated.
% ve,@ licensee statements of transfer or disposal of material.
e) Take further enforcement action, in consultation with the Office of Enforcement (OE) and NMSS, against licensees not complying with the Suspension Order.
Policy and Guidance Directive PG 9-12," Reviewing Efforts to Dispose of Licensed Material and Requesting DOE Assistance," provides procedures for cases in which licensees claim to be unable to divest themselves of material or are unable to safely maintain control of material. It also provides guidance for contacting the Department of Energy (DOE) through the Office of Nuclear Material Safety and Safeguards (NMSS) for cases involving an imminent health and safety concem to expedite removal and disposal of radioactive material. Policy and Guidance Directive 811. "NMSS Procedures for Reviewing Declarations of Bankruptcy,"
instructs staff in dealing with licensees that are insolvent or that claim to be unabh to pay for decommissioning or waste disposal.
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.. f) Coordinate with HQ any further action involving revoked license c&ses
- 9) Licensees whose licenses have been revoked, and who subsequently pay the debt owed after the 304y period provided in the Order, and who want to resume operation, should be advis0d that they must apply for a neN license and pay the appropriate application fee. Lleiless these licensees apr.y fo. and are granted relaxation or rescission of the Order for good cause, si ci, as ev dence that there is some error of fact or law in the Order, the licensee must app / for a 'ew !icense and pay any other ..
outstanding debts to NRC. Licensees that 1:me not to decommission must pay delinquent debt and apply for a new license ;romptly to avoid enforcement action. The revoked license will be terminated simultanet.usly with the issuance of the new license.
Enclosure:
Order Suspending License t
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DATE UNITED STATEF NUCLEAR REGUI C ORY COMMISSION in the Matter of )
) Docket No. FIELD (3?)
FIELD (1?) ) License No. [lELD(4?)
FIELD (2?) )
ORDER REVOKING LICENSE FOLLOWINC IMMEDIATELY EFFECTIVE 30-DAY SUSPENSION I
4 FIELD (1?) (Licensee) is the holder of Materials License No. FIELD (4?). issued by the Nuclear Regulatory Commission (NRC or Commission) pursuant to the Atomic Energy Act of 1954, as amended, that authorizes the activities stated therein, The license has an expiration date of FIELD (5?).
11 Pursuant to 10 CFR 171.16. the Licensee is required to pay an annual fee for this license. The Licensee's annual fee for License No. FIELD (4) for Fiscal Year FIELD (8), as set forth in fee category FIELD (9) of 10 CFR 171.16(d). is $
FIELD (10). In accordance with 10 CFR Part 15. the Licensee was sent an original invoice dated FIELD (11), a second notice dated FIELD (12), and a final notice dated FIELD (13) requesting payment. The final notice of payment due specifically informed the Licensee that nonpayment of the fee may result in the suspension or revocation of the license in accordance with the enforcement provisior s of the Commission's regulations. namely.10 CFR 171.23. To date.
the annual fees (s) have not been paid as required by 10 CFR Part 171. This Order suspends License No. FIELD (4), as expleined below. If the fee and any other delinquent debts to NRC are paid within 30 days of the date of issuance o' this Order, this Order will be withdrawn and the Licensee will be permitted to resume operations under License No. FIELC(4), if all other requirements are met. If the Licensee does not pay all debts within 30 days of the date of issuance of this Order, the license will be revoked by the terms of this Order and the Licensee will. in the future, not be able to operate under License No.
FIELD (4). If the former Licensee wants to resume operations after revocation of the license. the former Licer.iee will have to pay all debts to NRC and apply for and be issued a new license.
III I have concluded that the Licensee has willfully violated NRC requirements.
In addition. prior notice of the violation and an opportunity to achieve compliance was provided. Therefore. pursuant to 10 CFR 2.202. I find that the violation requires that this Order be immediately ef fective. In view of the foregoing and pursuant to Sections 81. 161b 161c, 161i 1610. 182. and 186 of the' Atomic Energy Act of 1954, as amended, and the Commission's regulations in 10 CFR 2.202, 170.41, 171.23. and 10 CFR Part 30. IT IS HEREBY ORDERED.
EFFECTIVE IMMEDIATELY THA
3-
-A. . License No. FIELD (4?) is suspended for 30 days from the date of issuance ,
of this Order with respect to_ receipt and use of licensed nuclear materials. If. within this 30-day period, the Licensee does not pay all debts due to NRC. the license will automatically be revoked, effective 30 days from the date of issuance of this Order. During the time that the license is suspended, and after license revocation, the license remains in effect pursuant to 10 CFR'[30.36: 40.42: or 70.38]. with respect to the possession, transfer, and storage of licensed nuclear material remaining in the Licensee's possession, as contamination or in other forms, until the Commission notifies the Licensee in writing that the license is terminated.
B. Until notified by the Commission in writing that the license is terminated, the Licensee shall:
- 1. restrict activity involving licensed nuclear material to decommissioning and safe, secure storage or transfer of material:
and
- 2. continue to control entry into restricted areas until the Licensee has determined and NRC has confirmed that such areas are suitable for release in accordance with NRC requirements:
-C. Unless full payment is made, the Licensee shall, within 30 days from the date of this Order, arrange for disposal or transfer to an authorized
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4 recipient of any licensed nuclear material acquired or possessed under the authority of License No FIELD (4?) and shall take all actions required by 10 CFR [30.36: 40.42; or 70.38]. Such disposal must take place within 60 days of the date of this order.
D. Within 5 days af ter disposal of the material. the Licensee shall notify, in writing, the Director. Division of_ Nuclear Material Safety, for NRC Region FIELD (13?), at FIELD (18), of the disposition of all licensed nuclear niaterial acquired or possessed under the authority of License No. FIELD (4?). including in the written notice details as to how, where, and when disposition of the material took place:
E. Within 30 days from the date of this Order, if the Licensee manufactures, distributes, or provides services to other licensees. the Licensee must notify, in writing, each customer or client that authorization to provide any of these services has been suspended.
Furthermore, the Licensee must notify its customers and clients that they may need to amend their licenses to be in compliance with NRC rt ;uirements if their license specifically states reliance on the service ^f the Licen: ee. The Licensee must provide t"? Director.
Division of Nuclear Faterial Safety, for NRC Region FIELD (6?) at FIELD (
7?) evidence of tre natification and a list of customers or clients noti fied; F. Within 65 days of the date of this Order, the Licensee shall conduct a
l 5-adequate final radiation survey of the premises where the licensed activities were carried out. pursuant to 30.36(j). 40.42(j). or 70.38(j) and submit a written report of the results of this survey to the Director. Division of Nuclear Material Safety, for NRC Region FIELD (
13?). FIELD (18).
G. Within 30 days of the date of this Order, the Licensee shall submit a written report to the Director. Division of Nuclear Material Safety, for NRC Region (FIELD}13?- at { FIELD}l8~ that includes: (1) a listing of all materials disposed of, transferred, or still in the possession of the Licensee. (2) a description of the conditions of storage of retained material and actions being taken to control access to the material, and (3) for any material not disposed of or transferred, a description of the actions taken to attempt to dispose of or transfer the material and why those actions were unsuccessful.
- h. The License shall be terminated upon satisfaction of the requirements of 10 CFR [30.36: 40.42: or 70.38).
- 1. After the license is revoked, the former Licensee may not resume previously-licensed operations until:
- 1. The former Licensee has applied for and been issued a new license under 10 CFR (30; 40; 70]; and
- 2. All debts to NRC. including the fee for the new license, have been paid in full.
l
e .
4 The Chief Financial.0fficer may relax or rescind, in writing, any of the above ;
conditions upon a showirig by.the Licensee of good cause. :A request for l i
. modification of the above conditions shall be submitted to the Chief Financia .
Officer. with a copy to the Director, Division of Nuclear Material Safety, NRC Region , in writing and under oath or affirmation and must be received within 30 days from the date of. issuance of this Order.
IV in accordance with 10 CFR 2.202, the Licensee must, and any other person adversely affected by this Order may, submit an answer to this Order, and may request a hearing on this Order. This ar.swer must be received by the Office of the Chief Financial Officer within 30 days of the date of this Order.
Where good cause is shown, consideration will be given to extending the time to request a hearing. A request for extension of time must be made in ':*iting to the Chief Financial Officer, and include a statement of good cause for the extension.
The answer shall be in writing and under oath or affirmation, and shall The specifically admit or deny each allegation or charge made in this Order.
answer shall set forth the matters of fact and law on which the Licensee or other person adversely affected relies and the reasons as to why this Order w -
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7 should not have been issued. Any~ answer or request for hearing shall be submitted to the Secretary, U.S. Nuclear Regulatory Cemission ATTN: Chief.
Docketing and Service Branch Washington. DC 20555. Copies shall also be sent ,
to the Chief Financial Officer. U.S. Nuclear Regulatory Commission.
Washington. DC 20555: the Assistant General Counsel for Hearings and Enforcement at the same address; the Regional Administrator NRC Region FIELD (
- 6?), FIELD (7); and to the Licensee if the answer or hearing request is by a
- person other than the Licensee. If a person other than the Licensee requests a hearing, that person shall set forth with particularity the manner in which his or her interest is adversely affected by this Order and shall address.the criteria set forth in 10 CFR 2.714(d).
If the Licensee or a person whose interest is adversely affected requests a hearing, the Commission will issue an Order designating the time and place of any hearing. If-a heari.g is held, the issue to be considered at such hearing shall be whether this Order should be sustained.
Pursuant to 10 CFR 2.202(c)(2)(I), the Licensee, or any other person adversely affected by this Order may, in addition to demanding a hearing, at the time
-the answer is filed or sooner, move the presiding officer to set aside the immediate effectiveness of the Order on the ground that the Order, including the need for immediate effectiveness, is not based on adequate evidence but on
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8-mere suspicion. unfounded allegations, or error. _
The motion must state with ,
particularity the reasons why the order is not based on adequate evidence and must be accompanied by af f_idavits or other evidence relied on.
V in the absence of any request for hearing, or written approval of an extension of time in which to request a hearing, this Order shall be final 30 days from the date of this Order without further order or proceedings. If an extension of time for requesting a hearing has been approved, the provisions specified in Part 111 shall be final when the extension expires if a hearing request has not been received. AN ANSWER OR REQUEST FOR HEARING SHALL NOT STAY THE IMMEDIATE EFFECTIVENESS OF THIS ORDER.
VI In lieu.of filing an answer to the Order, the Licensee may pay the total amount specified below. Ihis amount must be received by the Office of the Chief-Financial Officer within 30 days of the date of this Order. This Order is withdrawn if. within 30 days of the date of this Order, the Office of the Chief Financial . receives the total amount specified below:
i l
Amounts Due Calculated Through:
9 Amount late Charges-Invoice Amount Due Invoice Date Number Billed Due 1.
- 2.
-3.
Total Amount: $
The total amount listed above is a delinqu3nt debt to the United States.
Failure to pay the total amount within 33 days of the date of this Order may, pursuant to 10 CFR Part 15, result in referral of the delinquer.t debt to.a collection agency, referral to the U.S. General Accounting Office or the U.S.
Department of Justice for collection, or other action deemed appropriate.
Pursuant to 10 CFR 15.29. the Commission may not consider an application for a
' license from the Licer,see unless all previous delinquent debts of the Licensee to the NRC, including the delinquent debt (s) identified in this Order, have been paid in full . In addition, failure to meet the requirements of this L
Order may subject the Licensee and its agents to civil penalties and criminal sanctions, FOR THE NUCLEAR REGULATORY COMMISSION Jesse L. Funches Chief Financial Officer L
Dated at Rockville, Maryland this day of , 1997 l.
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