ML20217H214
| ML20217H214 | |
| Person / Time | |
|---|---|
| Issue date: | 03/26/1998 |
| From: | Shirley Ann Jackson, The Chairman NRC COMMISSION (OCM) |
| To: | Bond C, Hyde H, Talent J, Thompson F HOUSE OF REP., HOUSE OF REP., JUDICIARY, SENATE, GOVERNMENTAL AFFAIRS, SENATE, SMALL BUSINESS |
| References | |
| NUDOCS 9804030222 | |
| Download: ML20217H214 (6) | |
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o.,,,y- March 26, 1998' CHAHAAN The Honorable Fred Thompson, Chairman Committee on Govemmental Affairs
. United States Senate Washington, D.C. 20510
Dear Mr. Chairman:
The Small Business Regulatory Enforcement Faimess Act (SBREFA) of 1996 requires each agency that regulates the activities of small entities to establish a program that responds to
.( inquiries by small entities concoming information on, and advice about, compliance with the
. statutes and regulations within the agency's jurisdiction (Sec. 213 (b)). Section 213 (c) further requires that the agency submit a report on this program. I have enclosed the Nuclear Regulatory Commission's (NRC) report on its small entity assistance program.
The Act also requires the agency to establish a policy or program to provide for the reduction, and under appropriate circumstances for the waiver, of civil penalties for violations of a statutory or regulatory requirement by a small entity (Sec. 223 (a)). Section 223 (c) further requires that the agency submit a report on this program. I have enclosed the NRC's report on its -
enforcement action mitigation policy.
,The person at the NRC responsible for compliance with SBREFA is David L. Meyer, Chief, Rules Review' and Directives Branch. Office of Administration. Mr. Meyer can be reached on j
-(301) 415-7182. ,
Sincerely, l
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Enclosures:
As stated
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cc:. Senator John Glenn:
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UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20605 4001 4
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CHAMMAN The Honorable Christopher S. Bond, Chairman Committee on Small Business United States Senate Washington, D.C. 20510
Dear Mr. Chairman:
l The Small Business Regulatory Enforcement Fairness Act (SBREFA) of igg 6 requires each
- agency that regulates the activities of small entities to establish a program that responds to inquiries by small entities concoming information on, and advice about, compliance with the statutes and regulations within the agency's jurisdiction (Sec. 213 (b)). Sechon 213 (c) further requires that the agency submit a report on this program. I have enclosed the Nuclear Regulatory Commission's (NRC) report nn its small entity assistance program. ,
The Act also requires the agency to establish a policy or program to provide for the reduction, and under appropriate circumstances for the waiver, of civil penalties for violations of a statutory or regulatory requirement by a small entity (Sec. 223 (a)). Section 223 (c) further requires that the agency submit a report on this program. 'I have enclosed the NRC's report on its enforcement action mitigation policy.
1 The person at tha NRC responsible for compliance with SBREFA is David L. Meyer, Chief, Rules Review and Directives Branch, Office of Admhistration. Mr. Meyer can be reached on (301)415-7162.
Sincerely, Shirley Ann Jackson
Enclosures:
As stated cc: Senator John F. Kerry e
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[ 'g UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20665-0001 j t; e i
%*****/ March 26, 1998 CHAIRMAN ;
I The Honorable Henry J. Hyde, Chairman Committee on the Judiciary United States House of Representatives Washington, D.C. 20515 i
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Dear Mr. Chairman:
The Small Business Regulatory Enforcement Faimess Act (SBREFA) of 1996 requires each agency that regulates the activities of small entities to establish a program that responds to inquiries by small entities conceming information on, and advice about, compliance with the statutes and regulations within the agency's jurisdiction (Sec. 213 (b)). Section 213 (c) further requires that the agency submit a report on this program. I have enclosed the Nuclear Regulatory Commission's (NRC) report on its small entity assistance program.
The Act also requires the agency to establish a policy or program to provide for the reduction, l and under appropria'.e circumstances for the waiver, of civil penalties for violations of a statutory l or regulatory requirement by a small entity (Sec. 223 (a)). Section 223 (c) further requires that the agency submit a report on this program. I have enclosed the NRC's report on its enforcement action mitigation policy.
The person at the NRC responsible for compliance with SBREFA is David L. Meyer, Chief, Rules Review and Directives Branch, Office of Administration. Mr. Meyer can be reached on' (301) 415-7162.
I Sincerely,
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Enclosures:
As stated l cc: Representative John Conyers, Jr.
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NUCLEAR REGULATORY COMMISSION f j WASHINGTON, D.C. 20006-4001 s., j March 26, 1998 4
The Honorable James M. Talent, Chairman ;
Committee on Small Business j United States House of Representatives q 1
Washington, D.C. 20515 I
Daar Mr. Chairman:
The Small Business Regulatory Enforcement Faimess Act (SBREFA) of igg 6 requires each 'I agency that regulates the activities of small entities to establish a program that responds to i inquiries by small entities concoming information on, and advice about, compliance with the statutes and regulations within the agency's jurisdiction (Sec. 213 (b)). Section 213 (c) further requires that the agency submit a report on this program. I have enclosed the Nuclear Regulatory Commission's (NRC) report on its small entity assistance program.
The Act also requires the agency to establish a policy or program to provide for the reduction, and under appropriate circumstances for the waiver, of civil penalties for violations of a statutory
' regulatory requirement by a small entity (Sec. 223 (a)). Section 223 (c) further requires that s agency submit a report on this program. I have enclosed the NRC's report on its
.,nforcement action mitigation policy.
The person at the NRC responsible for compliance with SBREFA is David L. Meyer, Chief, Rules Review and Directives Branch, Office of Administration. Mr. Meyer can be reached on' (301) 415-7162.
Sincerely, b
Enclosures:
As stated cc: Representative Nydia M. Velazquez
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. SMALL BUSINESS ASSISTANCE PROGRAM j Section 213 of the Small Business Regulatory Enforcement Faimess Act requires the establishment of a program to respond to small entity inquiries for guidance en regulatory compliance and interpretations of NRC regulations.- Under the Atomic Energy Act, as -
- amended, and the Energy Reorganization Act, the NRC assuresht e protecti on of public health and safety, the common defense and security, and the environment in the civilian production and use of nuclear energy and materials. The nuclear industry regulated by the NRC is relatively small and well defined. Through licensing, inspection, and guidance documents, the NRC maintains oversight of its regulated entities, both large and small. NRC's licensees routinely consult with the NRC staff for guidance, advice, and assistance in understanding and complying with the regulations that affect them. ;
in addition to well-established practices and longstanding initiatives to provide comprehensive assistance to its regulated entities, the NRC has developed a small entity
. assistance program as required by the Act. As the centerpiece of this effort, the NRC-established a special toll-free telephone number for small entities to contact the NRC for interpretations or guidance concoming NRC regulatory requirements. The Rules and Directives
- Branch, Office of Administration, serves as the central contact for these inquiries and routes them to the appropriate NRC office for a written response and maintains a record of written responses to these requests.
The NRC has taken a series of steps to ensure that both the NRC staff and small entities are aware of this program. The NRC issued a final rule that amends 10 CFR 2.810 to add language describing the program and the availability of the toll-free phone number for i inquiries (62 FR 2621g; May 13,1997). Concurrently with this rule's publication, the NRC issued a Press Release announcing the program. In add,ition, the NRC -
. Prepared and distributed an announcement to all NRC Staff, the NRC Public Document Room in Washington, D.C., and the 85 NRC Local Public Document Rooms located in selected communities across the United States announcing the establishment of the tu.-
free number;
. Created an entry on the NRC Website on the Intemet describing the service and how to contact NRC;
. Added a section to the " Citizen's Guide to U.S. Nuclear Regulatory Commission Information" (NUREG/BR-0010) that describes the program and explains how small entities can make requests to the agency; and j
. Inserted a statement on how to get additional information on the program in the "NRC Information Digest"(NUREG-1350). !
Since the establishment of the Small Entity Assistance Program, the NRC has received and responded to two requests for assistance. A small consulting company sought assistance to identify and obtain documenta6n concerning compliance with regulatory requirements on
- thorium concentrations. A small hospital sought an interpretation of regulatory requirements ;
concoming the need for providing instructions given certain patient-specific calculations. The !
- NRC responded to each request promptly.
Enclosure 1
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ENFORCEMENT ACTIONS Section 223 of the Small Business Regulatory Enforcement Fairness Mt requires the
. establishment of a program or policy providing for wpivers or reductions of civil penalties for violations of statutory or regulatory requirements by small entities.
The Commission's Enforcernent Policy (NUREG-1600), which is publicly available, provides that:
(1) under the curront system, smaller licensees generally pay smaller civil penalties, because the agency's graduated civil penalty structure takes No account differences in the size of the licensee, the licensee's ability to pay, and the s&iety risk of the violation involved; (2) civil penalties are issued only for significant violations; (3) r:ivil penalties re normally waived for licensees who identify their own violations and take prompt and comprehensive corrective action; and (4) civil penalties are normally assessed for willful violations, particularly poor j performance, overexposures, loss of radioactive material, and very significant violations.
Further, the Policy makes clear that in determining the amount of the civil penalty, financial hardship can be considered. It is not the NRC's intent that the economic impact of a civil penalty be so severe that it puts a licensee out of business or adversely affects the licensee's ability to conduct licensed activities safely. In such cases, penalties may be reduced
' or the licensee may be permitted to pay the penalty over time.
The NRC has examined those enforcement actions taken since enactment of the SBREFA against licensees who qualify as small entities. Of a total of 24 actions taken against licensees who qualify,1g resulted in no civil penalty through application of the Enforcement Policy's normal decision process, as summarized above. In two of those cases, the decision to
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not issue a civil penalty was prompted by the fact that the licensee requested termination of its license or that a Confirmatory Order was issued. In five cases, civil penalties were proposed.
Four of those cases involved wi!! fulness, including one involving discrimination, and the fifth involved particularly poor performance in that management failed to take action to ensure compliance with regulatory requirements. In one case, the licensee paid the full civil penalty, in three others, the licenses is being permitted to pay the penalty over time. In one of these cases, in reaching a settlement with the licensee, the agency considered the Act in its decision to accept a smaller penalty amount. In the fifth case, the licensee has disputed the action and the case remains unresolved.
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