ML20217K345
| ML20217K345 | |
| Person / Time | |
|---|---|
| Issue date: | 09/29/1997 |
| From: | Rathbun D NRC OFFICE OF CONGRESSIONAL AFFAIRS (OCA) |
| To: | Gingrich N, Gore A, Murphy R GENERAL ACCOUNTING OFFICE, HOUSE OF REP., SPEAKER OF THE HOUSE, SENATE, PRESIDENT OF THE SENATE |
| References | |
| CCS, NUDOCS 9710240304 | |
| Download: ML20217K345 (4) | |
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l The Honorable Al Gore President of the Linited States Senate Washington, DC 20510
Dear Mr. President:
Pursuant to Subtitle E of the Small Business Regulatory Enforcement Falmess Act of 1996, 5 U.S.C. 801 (Act), the Nuclear Regulatory Commission is submitting an Enforcement Guidance Memorandum that provides the NRC staff with guidance in the application of the Act.
This addition to intemal staff guidance is necessary to reflect the requirements of the Act and its application to NRC enforcement actions.
We have determined that this action (interpreted as a " rule" under the Act) is not a " major rule" as definad in 5 U.S.C. 804(2). We have confirmed this determination with the Office of Management and Budget.
Enclosed is a copy of the final action, which has been transmitted for intemal publication. This action is effsetive immediately upon intemal publication and distribution.
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Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
EGM 97-015 Compliance with Small Business Regulatory Enforcement Faimess Act (SBREFA) 9710240304 9'0929 PDR ORG itCCO PDR
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September 29, 1997 The Honorable Newt Gingrich Speaker of the United States House of Representatives Washington, DC 20515 Dear Mr. Speaker Pursuant to Subtitle E of the Small Business Regulatory Enforcement Falmes.s Act of 1996, 5 U.S.C. 801 (Act), the Nuclear Re;ulatory Comrnission is submitting an Enforcement Guidance Memorandum that provides the NRC staff with guidance in the application of the Act.
This addition to intemal staff guidance is necessary to reflect the requirements of the Act and its application to NRC enforcement actions.
We have determined that this action (interpreted as a " rule" under the Act) is not a " major rule" es defined in 5 U.S.C. 804(:2). We have confirmed this determination with the Office of Management and Budget.
Enclosed is a copy of the final action, which has been transmitted for intemal publication. This action is effective immediately upon intemal publication and distribution.
Sincerely, O
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Dennis K. Rathbun, Director
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Office of Congressional Affairs
Enclosure:
EGM 97-015 Compliance with Small Business Regulatory Enforcement Faimecs Act (SBREFA) l
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NUCLEAR REGULATORY COMMIS810N WASHINGTON, D.C. 300eH001 September 29, 1997 Mr. Robert P. Murphy General Cou.1sel General Accounting Office Room 7175 441 G St., NW.
Washington, DC 20548
Dear Mr. Murphy:
Pursuant to Subtitle E of the Small Business Regulatory Enforcement Faimess Act of 1996, 5 U.S.C. 801 (Act), the Nuclear Regulatory Commission is submitting an Enforcement Guidance Memorandum that provides the NRC staff with guidance in the application of the Act.
This addition to intemal staff guidance is necessary to reflect the requirements of the Act and its application to NRC enforcement actions.
We have determined that this action (interpre,ted as a " rule" under the Act) is not a " major rule" as defined in 5 U.S.C. 804(2). We have confirmed this determination with the Office of Management a-d Budget.
Enclosed is a copy of the final action, which has been transmitted for intemal publication. This action is effective immediately upon intemal c blication and distribution.
a Sincerely, t
n Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
EGM 97-015 Compliance with Small Business Regulatory Enforcement Faimess Act (SBREFA)
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July 17, 1997 EGM 97-015 MEMORANDUM TO:
Hubert J. Miller, Regional Administrator Region I Luis A. Reyes, Regional' Administrator Region II A. Bill Beach, Regional Administrator Region III
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cc Ellis W. Merschoff, Regional Administrator f
Region IV Roy Zimmerman, Associate Director for Projects, NRR Thomas T. Martin, Acting Associate Director for Inspection and Technical Assessment, NRR Elizabeth Q. 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 -
Office of Enforcement
SUBJECT:
ENFORCEMENT GUIDANCE MEi'ORANDbh - COMPLIANCE WITH SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT (SBREFA)
In March 1996, the Small Business Regulatory Enforcement Fairness Act (Act) took effect. The primary requirements of the Act are:
(1) the NRC must consider the Act in civil penalty actions against small entities, (2) the NRC must submit final rules to the Congress prior to their taking effect and also maintain records reflecting compliance with the Act, and (3) the NRC must establish a method for small entities to contact the NRp for assistance in interpreting or complying with regulatory requirements.
The definition of final rule is sweeping and covers several enforcement-related matters, including changes to the Enforcement Policy, the Ec.forcemeni. Manual, and some Enforcement Guidance Memoranda (EGMs). OE has developed procedures to implement the Act.
The procedures for submitting enforcement documents that qualify as final rules to the Congress applicable to OE are not being disseminated with this EGM.
As to considering the Act in civil penalty actions aga'.nst small entities, the Enforcement Policy has been analyzed and is believed to be in compliance with this requirement as it provides that:
' See Announcement No. 56,. lune 9,1997, as to establishment of the toll-free number for inquiries from small ettities.
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(1) under'the current system, smaller licensees generally pay smaller civil penalties, because tho agency's graduated civil penalty structure takes into account differences in the size of the licensee, the licensee's ability to pay, and the safety risk of the violation involved; (2) civil penalties are normally proposed only for significant violations; (3) civil.penaltics are normally waived for licensees who identify their own violations and take prompt and comprehensive corrective action; and (4) civil penalties are normally assessed for d'.1ful vio1'ations, particularly poor 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 ma.y be reduced or the licensee may be permitted to pay the penalty over time.
Nonetbless, in reaching decisions concerning enforcement actions, the staff shoul. keep the intent of the Act in mind.
There may be cases in which, after considering the normal adjustment factors and the size of a qualified small entity to whom a civil penalty may be issued, the staff believes that the penalty should be reduced or eliminated.
In those cases, it is appropriate to propose such a modification based on the intent of the Act. This would be applied as an exercise of discretion.
Procedurally, prior to the enforcement panel for a materials case, the Regional enforcement staff or assigned OE Enforcement Specialist, as appropriate, u to check the Controller's list of licensees that qualify as small entities under NRC regulations.
Copies of that list have been distributed to Regional Enforcement Coordinators.
If the licensee in the case has qualified as a small entity, that fact may be considered in the panel discussion. The appropriate box will be noted on the EA Request and Enforcement Strategy Form.
In addition, appropriate keywords are to be entered in EATS when (1)_the licensee is a.small entity, and (2) when discretion is exercised to apply the Act by reducing a particular enforcement action.
For delegated cases, it is important that the Region issuing the action follow these procedures.
If the Region considers the use of discretion based on the Act appropriate, OE is to concur.
No-other action in required of the regions or program offices to comply with this aspect of the Act.
cc:
E. Jordan, DEDE J. Goldberg, OGC F. Gillespie, NRR u
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