ML20199G578
| ML20199G578 | |
| Person / Time | |
|---|---|
| Issue date: | 01/14/1999 |
| From: | Lieberman J NRC OFFICE OF ENFORCEMENT (OE) |
| To: | Dyer J, 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-99-001, EGM-99-1, NUDOCS 9901220335 | |
| Download: ML20199G578 (4) | |
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p UNITED STATES
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NUCLEAR REGULATORY COMMISSION k
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January 14,1999 EGM 99-001 W
3 MEMORANDUM TO: Hubert J. Miller, Regional Administrator Region i 7
Luis A. Reyes, Regional Administrator Region 11 1
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James E. Dyer, Regional Administrator
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Ellis W. Merschoff, Regional Administrator 4
Region IV Samuel J. Collins, Director Office of Nuclear Reactor Regulation
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Bruce A. Boger, Acting Associate Director for Projects, NRR Brian W. Sheron, Acting Associate Director for Technical Review, NRR Elizabeth O. Ten Eyck, Director, Division of Fuel Cycle Safety and Safeguards, NMSS Donald A. Cool, Director, Division of industrial and Medical h-Nuclear Safety, NMSS j
a John T. Greeves, Director, Division of Waste Management, NMSS E
William F. Kane, Director, Spent Fuel Project Office, NMSS jW FROM:
James Lieborman, Director ~k Office of Enforcement y
SUBJECT:
ENFORCEMENT GUIDANCE MEMORANDUM - GUIDANCE FOR i
PREPARING AND MAINTAINING EA REQUESTS & ENFORCEMENT A l STRATEGY FORMS (Enforcement Manual, Sections 3.6.3 and 5.4.2)
}.f As a result of lessons learned from a recent inspector General investigation, additional k f guidance is needed for preparing and maintaining EA Request & Enforcement Strategy Forms
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(RS Form).
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- B The RS Form is addressed in sections 3.6.3 and 5.4.2 of the Enforcement Manual. This EGM expands on that guidance to ensure that the a is an up-to-date RS Form for each case that has been the subject of an enforcement panel. The RS form serves as a status note and as a briefing aid during case deliberations. Since agreements made on panels are subject to change as the case is developed, it is important to amend the Form to reflect the current r
posture of the case. Management of the Office of Enforcement (OE) must approve updates of
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RS Forms.
The RS Form is not the official record of the agency decision. The RS Forms are predecisional.
The decisions described therein are subject to change. The enforcement action or the close-out memorandum is the official record of the decision.
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To ensure that RS Forms fully serve their purposes, the following guidance should be implemented:
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Every case paneied will get an EA# whether or not the case results in enforcement action. The EA# serves as a tracking and filing reference.
2.
An RS Form should be prepared following each panel. The form should briefly state:
(A) what was agreed to at the meeting; (B)if there was not agreement at the meeting, a brief description of the disagreement and what actions are being taken to resolve the difference; (C) whether actions need to be taken to obtain the views of others ( briefing of the managers in the normal decision chain need not be stated);
(D) whether additional investigation, interviews, or inspection activities are needed; (E) whether there is a need to revisit the agreement after further reviews of the evidence or research is conducted; or (F) any other actions needed to resolve the issue.
If there is insufficient room on the RS Form, the information may be placed on the back of the Form or a Note to file may be used.
3.
List the principal participants involved in the discussions. At a minimum, include regional and OE enforcement specialists, enforcement coordinators from NRR and NMSS, and the lead manager or staffer from each office represented. Also, list any Ol investigator, technical specialist, or other individual who provided substantial insights to the discussion.
4.
Copies of the RS Forms are retained by OE in the EA orange files, with regional work sheets and other background documents, until the file is placed in storage (usually two years after the case is closed), at which time the Forms may be discarded. The original RS Form is filed by EA# and Region in the white book outside the Director's office.
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5.
The enforcement specialist should bring the previous RS Forms to subsequent panels for the case.
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If a substantive change is made to an agreement recorded on the RS Form as a result of subsequent panels, meetings, telephone calls, etc., the Form should be amended with a brief explanation of the reason for the change in updating the RS Form, note the EA# and date; however, the backgroend information need not be restated unless changed. However, the Form should show the number of the update. The updated i
form is approved, distributed, and filed as was the original Form.
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The RS Form should be completed within one working day of the meeting, panel, or other communication.
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If in drafting or reviewing the action or for other reason, the agreed upon course of action needs to be changed, OE must be consulted so that the case can be re-paneled or other action taken. It is not always necessary to hold a new panel to change a past
3 agreement recorded on an RS Form. OE management can agree to change an agreement as a result of telephone calls or meetings outside the panel process. If a change occurs, the RS Form is to be updated and distributed so that the region, program office, and OGC (if involved in the case) are aware of the change and can comment,if desired.
I This guidance will be reflected in the next change to the Enforcement Manual.
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Chairman Jackson Commissioner Dieus Commissioner Diaz Commissioner McGaffigan i
Commissioner Merrified W. Travers, EDO F. Miraglia, DEDR M. Knapp, DEDE C. Paperiello, NMSS S. Collins, NRR E. Adensam, NRR L. Chandler, OGC J. Goldberg, OGC SECY I
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DISTRIBUTION:
JLieberman i
RWBorchardt l
OESmH l-Enforcement Coordinators by E-mail WEB (1-week after issuance)
NUDOCS PDR (1-week after issuance)
Day File t
EGM File 1
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