[Federal Register Volume 64, Number 45 (Tuesday, March 9, 1999)]
[Notices]
[Pages 11508-11509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5748]


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NUCLEAR REGULATORY COMMISSION

[NUREG--1600, REV. 1]


Policy and Procedure for NRC Enforcement Actions; Interim 
Enforcement Policy for Generally Licensed Devices Containing Byproduct 
Material (10 CFR 31.5)

AGENCY: Nuclear Regulatory Commission.

ACTION: Policy statement.

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SUMMARY: The Nuclear Regulatory Commission (NRC) is amending its 
``General Statement of Policy and Procedure for NRC Enforcement 
Actions,'' NUREG-1600, Rev. 1, by adding Appendix D to the policy. This 
amendment describes the interim enforcement policy that the NRC will 
follow to exercise enforcement discretion for certain violations of 
requirements in 10 CFR Part 31 for generally licensed devices 
containing byproduct material. It addresses violations that persons 
licensed pursuant to 10 CFR 31.5 identify and correct now, as well as 
during the initial cycle of the notice and response program 
contemplated by the proposed new requirements published in the Federal 
Register on December 2, 1998 (63 FR 66492), entitled ``Requirements for 
Those Who Possess Certain Industrial Devices Containing Byproduct 
Material to Provide Requested Information''.

DATES: This action is effective March 9, 1999. Comments on this interim 
enforcement policy should be submitted by April 8, 1999 and will be 
considered by the NRC prior to the next revision of the Enforcement 
Policy.

ADDRESSES: Submit written comments to David L. Meyer, Chief, Rules and 
Directives Branch, Division of Administrative Services, Office of 
Administration, Mail Stop T6D59, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555. Hand deliver comments to 11555 Rockville Pike, 
Rockville, Maryland, between 7:30 am and 4:15 pm, Federal workdays. 
Copies of comments received may be examined at the NRC Public Document 
Room, 2120 L Street, NW, (Lower Level), Washington, DC.

FOR FURTHER INFORMATION CONTACT: James Lieberman, Director, Office of 
Enforcement, U.S. Nuclear Regulatory Commission, Washington, D.C. 
20555-0001, (301) 415-2741.

SUPPLEMENTARY INFORMATION:

Background

    In a separate action published in the Federal Register on December 
2, 1998 (63 FR 66492), the NRC is proposing to amend its regulations in 
10 CFR Part 31 to provide for more frequent and timely contact between 
the NRC and users of certain industrial devices containing byproduct 
material that are licensed pursuant to the general license provisions 
of 10 CFR 31.5. The NRC is proposing this rule after concluding that 
there is a lack of awareness of NRC regulatory requirements on the part 
of the user of the general license (general licensee). In addition, 
there is evidence of inadequate handling of and accounting for 
generally licensed devices. Under the proposed rule, if finalized, the 
NRC intends to send notices to certain classes of persons licensed 
pursuant to the general license provisions of 10 CFR 31.5. These 
notices would require recipients to provide information to the NRC, as 
requested, concerning products that they have received under the 
general license.
    For further information regarding these proposed new requirements, 
the reader is referred to the Statements of Consideration that 
accompany the proposed rule. As noted therein, the NRC anticipates that 
general licensees may discover violations of NRC regulatory 
requirements as a result of the proposed new requirement to respond to 
notices and provide information as requested. For example, general 
licensees who have not had contact with the NRC for many years may have 
failed to test for leakage of radioactive material from the generally 
licensed device, maintain the labels affixed to the device, or comply 
with the instructions and precautions in the labels. Additionally, 
general licensees may discover violations when copies of the proposed 
rule are mailed to them. For example, a general licensee that has 
changed its address of business may have abandoned or improperly 
transferred a generally licensed device during the process of moving. 
Under the current NRC Enforcement Policy published in NUREG-1600, Rev. 
1., such violations normally would result in enforcement action.

Scope

    This interim enforcement policy addresses violations that persons 
licensed pursuant to 10 CFR 31.5 discover and report before, as well as 
during, the initial cycle of the notice and response program 
contemplated by the proposed rule described above. It will remain in 
effect through at least July 1, 2000, by which time it is expected that 
one complete cycle of the notice and response program will be 
completed. However, any delays in completing the first cycle of notice 
and response will be taken into account, and the effective time period 
of this interim enforcement policy will be lengthened accordingly.
    Under this interim enforcement policy, enforcement action normally 
will not be taken for violations of 10 CFR 31.5 if they are identified 
by the general licensee, and reported to the NRC if reporting is 
required, provided that the general licensee takes appropriate 
corrective action to address the specific violations and prevent

[[Page 11509]]

recurrence of similar problems and otherwise has undertaken good faith 
efforts to respond to NRC notices and provide requested information. 
This change from the Commission's normal enforcement policy is to 
remove the potential for the threat of enforcement action to be a 
disincentive for the licensee to identify deficiencies. This approach 
is warranted given the limited NRC inspections of general licensees. 
This approach is intended to encourage general licensees to determine 
if applicable requirements have been met, to search their facilities to 
assure that sources are located, and to develop appropriate corrective 
action when deficiencies are found. Under this interim enforcement 
policy, enforcement action, including issuance of civil penalties and 
Orders, may be taken where there is: (a) Failure to take appropriate 
corrective action to prevent recurrence of similar violations; (b) 
failure to respond and provide the information required by the notice 
and response program (if it becomes a final rule); (c) willful failure 
to provide complete and accurate information to the NRC; or (d) other 
willful violations, such as willfully disposing of generally licensed 
material in an unauthorized manner.

Paperwork Reduction Act

    This policy statement amends information collection requirements 
that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
et seq.). These requirements have been approved by the Office of 
Management and Budget (OMB), control number 3150-0016.

Public Protection Notification

    If an information collection does not display a currently valid OMB 
control number, the NRC may not conduct or sponsor, and a person is not 
required to respond to, the information collection.

Small Business Regulatory Enforcement Fairness Act

    In accordance with the Small Business Regulatory Enforcement 
Fairness Act of 1996, the NRC has determined that this action is not a 
``major'' rule and has verified this determination with the Office of 
Information and Regulatory Affairs, Office of Management and Budget.
    Accordingly, the NRC Enforcement Policy is amended by adding 
Appendix D as follows:

General Statement of Policy and Procedure for NRC Enforcement 
Actions

* * * * *

Appendix D: Interim Enforcement Policy for Generally Licensed 
Devices Containing Byproduct Material (10 CFR 31.5)

    This Appendix sets forth the interim enforcement policy that the 
NRC will follow to exercise enforcement discretion for certain 
violations of requirements in 10 CFR Part 31 for generally licensed 
devices containing byproduct material. It addresses violations that 
persons licensed pursuant to 10 CFR 31.5 identify and correct now, 
as well as during the initial cycle of the notice and response 
program contemplated by the proposed new requirements published in 
the Federal Register on December 2, 1998 (63 FR 66492), entitled 
``Requirements for Those Who Possess Certain Industrial Devices 
Containing Byproduct Material to Provide Requested Information''.

Exercise of Enforcement Discretion

    Under this interim enforcement policy, enforcement action 
normally will not be taken for violations of 10 CFR 31.5 if they are 
identified by the general licensee, and reported to the NRC if 
reporting is required, provided that the general licensee takes 
appropriate corrective action to address the specific violations and 
prevent recurrence of similar problems and otherwise has undertaken 
good faith efforts to respond to NRC notices and provide requested 
information.

Exceptions

    Enforcement action may be taken where there is: (a) failure to 
take appropriate corrective action to prevent recurrence of similar 
violations; (b) failure to respond and provide the information 
required by the notice and response program (if it becomes a final 
rule); (c) willful failure to provide complete and accurate 
information to the NRC; or (d) other willful violations, such as 
willfully disposing of generally licensed material in an 
unauthorized manner. Enforcement sanctions in these cases may 
include civil penalties as well as Orders to modify or revoke the 
authority to possess radioactive sources under the general license.

    Dated at Rockville, Maryland, this 3rd day of March, 1999.

    For the Nuclear Regulatory Commission.
Annette Vietti-Cook,
Secretary of the Commission.
[FR Doc. 99-5748 Filed 3-8-99; 8:45 am]
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