ML20248F707
| ML20248F707 | |
| Person / Time | |
|---|---|
| Issue date: | 05/22/1998 |
| From: | Bangart R NRC OFFICE OF STATE PROGRAMS (OSP) |
| To: | GENERAL, OHIO, STATE OF, OKLAHOMA, STATE OF, PENNSYLVANIA, COMMONWEALTH OF |
| References | |
| SP-98-046, SP-98-46, NUDOCS 9806040392 | |
| Download: ML20248F707 (6) | |
Text
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i UNITED STATES 4
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NUCLEAR REGULATORY COMMISSION 2
WASHINGTON, D.C. 20066-0001
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May 22, 1998 i
ALL AGREEMENT STATES OHIO, OKLAHOMA, PENNSYLVANIA TRANSMITTAL OF STATE AGREEMENTS PROGRAM INFORMATION (SP-98-046 )
Your attention is invited to the enclosed correspondence which contains:
INCIDENT AND EVENT INFORMATION.....
PROGRAM MANAGEMENT INFORMATION...
TRAIM!NG COURSE INFORMATION...
TECH ',,CS.L INFORMATION........
OTHER INFORMATION.,..
XX REVISION OF " GENERAL I
STATEMENT OF POLICY AND l
PROCEDURE FOR NRO ENFORCEMENT ACTIONS,"
Supplementary Information: A complete revision to the Nuclear Regulatory Commission's subject policy was published in the Federal Reaister on May 13,1998 (63 FR 26630). The revisions are based on (1) a two-year review of the revised Enforcement Poby, that was effective June 30,1995, and (2) a consolidation of changes to the Enforcement Policy since June 30,1995. Comments on the revised NRC Enforcement Policy are due June 29,1998, to David L. Meyer, Chief, Rules and Directives Branch, Division of Administrative Services, Office of Administration, Mail Stop T-6-D-59, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
A summary of the revisions to the NRC Enforcement Policy is enclosed for your information. An electronic version of the " General Statement of Policy and Procedure for NRC Enforcement Actions"is available on the NRC's Office of Enforcement homepage on the Internet at www.nrc. gov /OE/. You will receive a copy of the revised NRC Enforcement Policy (NUREG-1600, Rev.1) under separate cover.
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SP-98-046 MAY 2 21998 For further information on the revised NRC Enforcement Policy, please contact the individual named below.
POINT OF CONTACT:
James Lieberman TELEPHONE:
(301) 415-2741 INTERNET:
JXL@NRC. GOV L.
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Richard L. Bangart, Director Office of State Programs
Enclosure:
As stated i
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d SP 046.MAY. 2 2 1SSS For further information on the revised NRC Enforcement Policy, please contact the individual named below.
POINT OF CONTACT:
James Lieberman TELEPHONE:
(301)415-2741 INTERNET:
JXL@NRC. GOV OriginalSigned By FiCHARP BANGART R chard..Dangart, Director Office of State Programs i
Enclosure:
1 As stated Distribution:
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DOCUMENT NAME: G:\\ ROV \\SP98046. Rpdhithout attachment /enclosuqe "E" = Copy with attachment / enclosure "N" s No copy V
AV Tm receive a cop' of this document. Indicate in the box:
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d MAY 1998 REVISED ENFORCEMENT POLICY Consolidation of changes to the Enforcement Policy since June 30,1995, (11 revisions).
Section I was modified (consistent with the Commission's direction in the August 25,1997, SRM) to include additional discussion on the nexus between safety and compliance.
Section ill was modified to emphasize that the technical and regulatory significance of violations are considered when the agency determines the appropriate strategy.
Section IV was modified such that minor violations that warrant documentation will no longer be noted as NCVs. Footnote 6, which included the definition of an NCV was deleted. Use of the term NCV is limited to a Severity Level IV violation that meets the criteria in Vll.B.1. Minor violations that warrant documentation should use the following standard language: "This failure constitutes a violation of minor significance and is not subject to formal enforcement action."
Section V was modified to indicate that a predecisional enforcement conference is not required if the NRC has sufficient information to make an informed enforcement decision. In these cases, the NRC will normally either (1) issue a choice letter (if a civil penalty is being considered) or (2) issue the action (when a civil penalty is not being considered). The later option still provides the opportunity to conduct a conference (either because the licensee or the NRC believes it is warranted), the opportunity for the licensee to dispute the action in writing, and for modification or recision of the NOV.
Section VI was modified by including the general discussion that circumstances regarding a violation may warrant discretion such that the NRC may refrain from issuing an NOV or other action. (This discussion had previously been included in the NOV section, VI.A.)
Table 1 A, " Base Civil Penalties," was modified to (1) include the footnote that recognizes large firms engaged in manufacturing or distribution of byproduct, source, or special nuclear material as industrial processors and (2) include "other large material users" in category "c" and "other small materials users" in category "d."
Section Vll.B.1, " Licensee-Identified Severity Level IV Violations," was modified by including a footnote to address licensee-identified violations that are identified as a result of an event. The guidance states that discretion is not warranted when a licensee identifies a violation as a result of an event where the root cause is obvious or the licensee had prior opportunity to identify the problem but that discretion may be warranted if the licensee demonstrated initiative in identifying the violation's root cause.
Sections Vll.B.3, Vll.B.4, and Vll.B.6 were modified to make the provisions for discretion applicable to Severity Level IV violations.
Section Vll.B.6 was modified to include additional factors for consideration, including whether the regulatory i
requirement that was violated was clear, or given the staff's current information, appropriate. This section also includes the long-standing policy that the NRC may refrain from issuing action for matters beyond a i
licensee's control, but that licensees are generally held responsible for the acts of their employees and contractors. (Moved from Section VI.)
Appendix A was created and includes excerpts from the Commission's statement on safety and compliance.
Examples B.4 and C.4 in Supplement Vil were revised to reflect NRC practice in applying Severity Level 11 and lll categorization for violations involving discrimination. Severity Level ll is appropriate for middle to upper management, not simply any level above first-line supervision. Severity Level ill categorization is appropriate for low-level supervision and management, even if they are above a first-line supervisor.
< TRANSACTION REPORT >
05-22-1998(FRI) 20:29 C-EBROADCAST 3
NO.
DATE TIME DESTINATION STATION PO.
DURATION MODE RESULT 1165 5-22 19:34 NYSERDA 4
O'02'18' NORMAL OK 1166 19:37
.518 457 2225 4
0*02'04" NORM.E OK 1167 19:39' 518 458 6434 4
0*02'03" NORM.E OK 1168 19:41 NY CITY 4
0*02'03*
NORM.E OK 1169 19:44 OH 4
0*02'08" NORM.E OK 1170 19:46 OK 4
O*02'09" NORM.E OK 1171 19:49 503 731 4081 4
0*01'56' NORM.E OK 1172 19:51 PA 4
O*02'00" NORM.E OK
-1173 19:53 401 277 2456 4
O*02'02*
NORM.E OK 1174 19:56 7996726 4
0'02'00*
NORM.E OK 1175 19:58 8037377412 4
0*02'02" NORM.E OK 1176 20:00 615 532 7938 4
O'02*04" NORM.E OK 1177 20:03 512 239 2007 4
0*02'06*
NORM.E OK 1178 20:05 5128346708 4
0'02*23" NORM.E OK 1179 20:08 801 533 4097 4
O*02'28' NORM.E OK 1180 20:11 360 753 1496 4
O*02'42' NORM.E OK 1161 20:14 610 337 5269 4
0*02'00" NORM.E OK 1182 20:16 404 562 4955 4
O*01'58' NORM.E OK I
1183 20:18 7085151096 4
0*03'13" NORM.E OK
'1184 20:22 817 860 8122 4
O*01'56' NORM.E OK 1185 20:24 8608188 4
0*02'01" NORM.E OK 1186 20:27 5109750381 4
O*02'08" NORM.E OK 88 O*47'44" l
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< TRANSACTION REPORT >
05-22-1998(FRI) 19:33 C
ESROAOCAS T" 3
NO.
DATE TIME-DESTINATION STATION PO.
DURATION MODE RESULT 1140 5-22 18:30 334 206 5387 4
O'02'03*
NORM.E OK 1141 18:32 1 501 661 2468 4
O*01'59" NORM.E OK 1142 18:34 602 437 0705 4
O*02'05" NORM.E OK 1143 18:37 0111916 3243610 4
O*02'14" NORM.E OK 1144 18:39 303 343 3697 4
O*02'13" NORM.E OK 1145 18:42 303 782 5083 4
O*01'53" NORM.E OK 1146 18:44 904 487 0435-4 O'02'13" NORM.E OK 1147 18:47 404 362 2653 4
O'02'00" NORM.E OK 1148 18:49
!A 4
O'02'00
NORM.E OK 1149 18:51 217 524 4724 4
O*02'04" NORM.E OK 4
1150 18:54 913 296 0984 4
O*02'16" NORM.E OK 1151 18:56 502 227 7862 4
O*02'19" NORMAL OK 1152 18:59 502 564 6533 4
O'01'58' NORM.E OK 1153 19:01 LA 4
O*02'18" NORM.E OK 1154 19:04 6177272098 4
O*02'14" NORM.E OK 1155 19:06 410 G31 3198 4
O*O2'13" NORMAL OK 1156 19:09 ME 4
O'02*51" NORMAL OK 1157 19:12 601+354+6167 4
O'02'52" NORMAL OK 1158 19:15 919 571 4148 4
O'02'16*
NORMAL OK 1159 19:18 701 328 5200 4
O*Oi*57*
NORM.E OK 1160 19:20 402 471 9449 4
O'01'58" NORM.E OK 1161 19:22 603 225 2325 4
O'02'05" NORM.E OK 1162 19:25 5058271544 4
O'02'48" NORMAL OK 1163 19:28 7026875751 4
O*02'53" NORMAL OK 1164 19:31 518 485 7406 4
O*02'07" NORM.E OK 100 O'55'49" I
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