ML20211D388
| ML20211D388 | |
| Person / Time | |
|---|---|
| Issue date: | 08/06/1999 |
| From: | Merrifield J NRC COMMISSION (OCM) |
| To: | Vietticook A NRC OFFICE OF THE SECRETARY (SECY) |
| Shared Package | |
| ML20211D336 | List: |
| References | |
| SECY-99-174-C, NUDOCS 9908270017 | |
| Download: ML20211D388 (3) | |
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A F F i R M A T l. O N VOTE l
RESPONSE SHEET TO:
Annette Vietti-Cook, Secretary FROM:
COMMISSIONER MERRIFIELD
SUBJECT:
SECY-99-174 - FINAL RULE: EXPAND APPLICABILITY OF 10 CFR PART 72 TO HOLDERS OF, AND APPLICANTS FOR, CERTIFICATES OF COMPLIANCE, AND THEIR CONTRACTORS AND SUBCONTRACTORS Approved I... Disapprovedd,,,, Abstain Not Participating COMMENTS:
St.a aWeIuk co -- e, A l cew - m P
9 DATE
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Entered on "AS" Yes No I
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r COMMISSIONER MERRIFIELD'S COMMENTS ON SECY 99-174 11 approve in part and disapprove in part issuance of the final rule, the revised NRC Enforcement
- Policy and the associated Federal Register Notices presented in SECY 99-174 as discussed below;
- I approve the proposed revisions to 10 CFR Part 72 which serve to clarify the regulatory requirements imposed on holde'rs'of, or applicants for, a certificate of compliance under this-Part. The proposed revisions to Part 72 and related changes to the NRC's Enforcement Policy
- will improve the NRC's regulatory framework, consistent with strategies in the Nuclear Materials l '
- Safety strategic arena, by providing a clear articulation of the responsibilities of certificate of
- compliance. holders and applicants and by providing a more measured tool (issuance of Notices of Violation) to enforce compliance than has been possible under the current framework. I find the staff's arguments supporting the efficacy of using Notices of Violation, as opposed to Notices of Nonconformance or Orders, to be persuasive with regard to certificate holders and applicants.
The staff is to be commended for its' efforts in this regard.
However, I disapprove the staff's recommendation to extend NRC's regulatory requirements under Part 72, Subpart G, to contractors and subcontractors. Such an extension for cask manufacturing and design would be inconsistent with the way in which we regulate quality assurance in other arenas including reactor parts and equipment. Yet, I can see no logical distinction that would justify treating the two situations differently. In both instances there is a
. potential that deficiencies in the quality assurance program could lead to safety related problems. However, NRC's longstanding regulatory approach has been to make it clear that licensees are responsible for ensuring that the parts and equipment are safe. We do not take the extra step of extending our enforcement arm to reach contractors and subcontractors of reactor parts and equipment in a way contemplated under this rulemaking.; I do'not believe we t ave a sufficient basis to take the step of changing this long-standing policy as it relates to h
i contractors'and subcontractors of casks.
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' In contrast, certificate _ holders are similarly situated to licensees in that they also have primary j
{ responsibility under our existing regulations for ensuring the components they design and i
Jmanufacture meet applicable safety standards (modifications to Subpart G under this rulemaking will make this point clearer with respect to certificate holders). Thus, it makes sense
. to extend our enforcement reach over them.
- I also apree with Commissioner Diaz that it is difficult to discern the safety benefit to be achieved
. by this rulemaking, as it applies to contractors and subcontractors. The NRC already has _
Leffective tools at its disposal to assure compliance with quality assurance requirements, indeed, c weiwill rely on these tools for most other quality assurance matters. Further, holding contractors
- snd subcontractors responsible as contemplated by this rulemaking could dilute the message that our regulations will otherwise make clear - that licensees and certificate holders are ultimately responsible for assuring qualityJ Consequently, if the new policy were implemented, licensees and certificate holders may not be as vigilant about identifying problems as we would 4,
expect them to be. _ To me, it would be better to continue our present policy of clearly conveying lto licensees and certificate holders that they' ultimately will be held responsible, and that we expect more vigilance on their part to identify problems. For these reasons I believe the NRC's 1
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enforcement policy, modified as it relates to certificate holders, will provide the tools necessary -
to enforce our quality assurance requirements.
Therefore, before issuing the final rule, the staff should revise the proposed final rule language and supporting discussion in the Federal Register Notice to delete the proposed changes which reference contractors and subcontractors. Note that any references to contractors and subcontractors in the existing regulations need not be changed (e.g., in existing section 72.148).
Again, the staff is to be commended for its efforts to improve the regulatory framework in this very important and dynamic arena.
Y f 9y 1
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Ne, UNITED STATES
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g IN RESPONSE, PLEASE NUCLEAR REGULATOhf COMMISSION wAssinaron,o.c. sosss-oooi g
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August 25, 1999 SECRETARY J MEMORANDUM FOR:
William D. Travers Executive Director for Operations FROM:
Annette Vietti-Cook, Secretary
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SUBJECT:
STAFF REQUIREMENTS - AFFIRMATION SESSION,9:55 A.M.,
WEDNESDAY, AUGUST 25,1999, COMMISSIONERS' CONFERENCE ROOM, ONE WHITE FLINT NORTH, ROCKVILLE, MARYLAND (OPEN TO PUBLIC ATTENDANCE) 1 SECY-99-174 - Final Rule: Exoand Acolicability of 10 CFR Part 72 to Holders of. and Acolicants for. Certificates of Compliance. and Their Contractors and Subcontractors The Commission approved a final rule, subject to the attached changes, which amends 10 CFR Part 72 to clarify the regulatory requirements imposed on holders of, and applicants for, certificates of compliance under this part. The Commission has not approved the extension of j
NRC requirements under Part 72, Subpart G, to contractors and subcontractors.
Following incorporation of the attached changes, the Federal Reaister notice should be reviewed by the Rules Review and Directives Branch in the Office of Administration and forwarderi to the Office of the Secretary for signature and publication.
- (EDO)
(SECY Suspense:
9/24/99)
Attachment:
As stated cc:
Chairman Dicus I
Commissioner Diaz Commissioner McGaffigan Commissioner Merrifield I
EDO l
. ClO CFO:
OCAA l
l Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)
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' Attachment 1 -
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' Changes to the 10 CFR Part 72 Rulemaking Package in SECY-99-174
- -Chanoes to the Federal Reaister Notice -
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' On page 1,'ih the first sentence, replace 'its regulations' with '10 CFR Part 72'so it reads
' }. (NRC) is amending h.c;;in.@glgMg to clarify the....'
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- 2.yh.O.n page 17, revise the last two lines to read '... in the design process,-ell fabricators
, QE typically'do is build the cask to the designgiverHeihem M by the certificate yB
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Changes to the Policy Statement
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.On'page 3, revise lines 4-5 from the top to read *.., by these persons, it haslWhn
.,.,f.. issued a Notice of Nonconformance (NON) y.y 3 j.
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' 4.
On page 3, revise line 6 from the top to read *... In a position to issue-en NOVeig!d gt 5.
~On page 3, add the following to the end of the top paragraph: 'The final Part 72 rule does
. not provide authority for issuing civil penalties to nonlicensees other thart that already 2:. provided under the Deliberate Misconduct Ruls in section 72.1' ' -
Channes to the Conoressional Letters
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!In paragraph 2, revise line 8 to read '... in the format of a Notice of Nonconformanceipr lMMellA4g,In$4matiop which lacks the....'
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' Chanoes EthE Press Release-
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5 Revise the title to read '... SPENT FUEL STORAGE CASK GEGIGNERS M'.:
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- In paragraph 1, revise the last line to read '... spent fuel storage industryjggggt M.' '
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r At the end of paragraph 2, add the following: 'This action will emphasize the safety and regulatory significJance associated with violations of the regulations by allowing NRC to
. take enforcement action rather than administrative action when violations of NRC requirements have' occurred.
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~ At the end of the last paragraph, add the fc.' lowing: 'In addition, the NRC is publishing a
<r.ufge:Pi*i ; revision to its Enforcement Policy (NUREG-1600; Rev 1) for public comment to clarify
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' that enforcement action may be taken against nonlicensees for violations of 10 CFR Part
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