ML20237L333
| ML20237L333 | |
| Person / Time | |
|---|---|
| Issue date: | 02/08/1987 |
| From: | Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| To: | |
| Shared Package | |
| ML20237L241 | List: |
| References | |
| FOIA-87-450 1350.1, NUDOCS 8708280055 | |
| Download: ML20237L333 (4) | |
Text
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RI 1350.1/0 Page 1 of 4 REGION I INSTRUCTION 1350.1, Revision 0 ENFORCEMENT CONFERENCES A.
Purpose To set forth the regional procedure for scheduling, conducting, and documenting an Enforcement Conference (EC).
References 10 CFR 2, Appendix C - Section IV IE Manut.1 Chapter 0400 - Section 0400-05.04 B.
Discussion l
The NRC Enforcement Policy (10 CFR 2, Appendix C) defines an Enforcement Conference as a meeting held by the NRC with licensee management whenever escalated enforcement action may be warranted, for the purpose of (1) f discussing violations, their significance and causes, and the licensee's
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corrective actions, (2) determining whether there are any' aggravating or 1
mitigating circumstances, and (3) obtaining other information which will help determine the appropriate enforcement action. An Enforcement Conference should normally be conducted for Severity Level I, II or III violations, or Severity Level IV violations that are considered symptomatic of program deficiencies, rather than isolated concerns, and have a discernible impact on safety or safeguards.
This instruction serves to identify the responsibilities of regional personnel involved with scheduling, conducting and documenting an Enforcement Conference.
C.
Procedure Implementation 1.
If an Enforcement Conference is planned, it shall be conducted after issuance of the related inspection or investigation report, which will provide the basis for discussions at the Enforcement Conference.
Any related enforcement action, be it a Notice of Violation, Civil Penalty or Order, shall in no case be issued prior to the Enforcement CONTACT:
Enforcement Officer Revision Responsibility:
ORA Fox /3 -8 7-4So 8708200055 070825 PDR FOIA PDR QUILDB7-450
ENFORCEMENT CONFERENCES RI 1350.1/0 e'
Page 2 of 4 Conference, unless the action involves an immediately effective Order to protect public health and safety or common defense and security.
Further, the Enforcement Conference should normally be conducted within four weeks after completion of the inspection or issuance of the investigation report, as appropriate. A licensee shall be given sufficient notice prior to the Enforcement Conference (at a minimum, three working days), and shall be told that the meeting is an Enforcement Conference.
The licensee shall not be told of any enforcement recommendations.
2.
Whenever an inspection is completed or an investigation report has been issued, and an Enforcement Conference is contemplated, the Dtvision performing the inspection shall promptly inform the Enforcement Officer of a potential escalated enforcement action, and i
a.
within one week, shall determine the need for an Enforcement Conference, b.
within two weeks, shall issue the inspection report.
In the letter transmitting the inspection report to the licensee, the responsible Division shall inform the licensee that an Enforcement Conference has been or will be scheduled, and shall set forth the items to be discussed by the licensee at the Enforcement Conference.
Copies of the inspection report shall
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be sent to the normal cc and bec list for that licensee, as well as the Regional Administrator, Deputy Regional Administrator, Regional Counsel, Enforcement Officer, Director of Enforcement, IE and Assistant General Counsel for Enforcement, Office of the t
General Counsel, c.
within three weeks, shall schedule the Enforcement Conference and issue a Notice of Significant Licensee Meeting (Region I Form 17) (all Enforcement Conferences with power reactor licensees will be coordinated with, and scheduled by, the Division of Reactor Projects). When the date of the Enforcement Conference is confirmed with the licensee, the Division shall inform the Enforcement Officer who in turn will inform the the Director of Enforcement, IE, d.
within four weeks, shall conduct the Enforcement Conference.
3.
The responsible Division shall prepare a briefing package for the Enforcement Conference which includes a description of the event (s),
violation (s), causes, corrective actions and relevant enforcement history.
The Enforcement Officer shall compile a list of similar cases and how they have been handled.
The Regional Administrator, Deputy Regional Administrator, Regional Counsel, and Enforcement Officer shall be contacted when a briefing is to be conducted.
4.
Regional attendance at an Enforcement Conference shall normally include the Regional Administrator and/or Deputy Regional
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ENFORCEMENT CONFERENCES RI 1350.1/0 Page 3 of 4 Administrator, Regional Counsel, Enforcement Officer, and appropriate divisional personnel.
5.
Aftar the Enforcement Conference, the NRC participants shall meet to
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evaluate the items discussed at the Enforcement Conference and to determine the appropriate enforcement action.
If IE/0GC concurrence in the enforcement action is required (all Severity L.evel I, II, or III violations, civil penalties, Orders, and Level IVs violations that fit an example of a Level.III violation), the enforcement action shall be prepared by the Enforcement Officer.
If IE/0GC concurrence is not required, the enforcement action sna11 be prepared by the responsible Division.
6.
Subsequent to the Enforcement Conference, the responsible division shall prepare and send to the licensee a report which summarizes the results of the Enforcement Conference.
In the subject section of the letter transmitting the enforcement conference report, the relevant inspection report (s) shall be referenced.
The enforcement conference report shall be distributed to the normal cc and bec list for that.
licensee, as well as to all NRC attendees at the Enforcement Conference.
7.
The Enforcement Officer shall maintain a chronological listing of all enforcement conferences conducted during a calendar year. The
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listing shall include the date, licensee, subject, and final enforcement action, j
D.
Effective Date 1
This Regional Office Instruction is effective upon receipt and will remain in effect until superseded.
Approved: Thomas E. Murley i
Regional Administrator ff7 Date:
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f-Distribution:
Office of Regional Administrator Division Directors Chief, Administrative Management Branch (original)
Resident Offices-i I
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