[Federal Register Volume 78, Number 18 (Monday, January 28, 2013)]
[Notices]
[Pages 5838-5840]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-01672]
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NUCLEAR REGULATORY COMMISSION
[NRC-2013-0014]
NRC Enforcement Policy
AGENCY: Nuclear Regulatory Commission.
ACTION: Policy revision; issuance and request for comments.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is issuing a
revision to its Enforcement Policy (Enforcement Policy or Policy) to
incorporate changes directed by the Commission, to make other changes
proposed and evaluated by the staff, and to make minor edits.
DATES: This revision is effective on January 28, 2013. Comments on this
revision should be submitted on or before February 27, 2013, and will
be considered by the NRC before the next Enforcement Policy revision.
ADDRESSES: You may access information and comment submissions related
to this revision to the Policy by searching http://www.regulations.gov
under Docket ID NRC-2013-0014. You may submit comments by any of the
following methods:
Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2013-0014. Address
questions about NRC dockets to Carol Gallagher; telephone: 301-492-
3668; email: [email protected].
Email comments to: [email protected]. If you do
not receive an automatic email reply confirming receipt, then contact
us at 301-415-1677.
Fax comments to: Secretary, U.S. Nuclear Regulatory
Commission at 301-415-1101.
Mail comments to: Secretary, U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, ATTN: Rulemakings and
Adjudications Staff.
Hand deliver comments to: 11555 Rockville Pike, Rockville,
Maryland 20852, between 7:30 a.m. and 4:15 p.m. (Eastern Time) Federal
workdays; telephone: 301-415-1677. For additional direction on
accessing information and submitting comments, see ``Accessing
Information and
[[Page 5839]]
Submitting Comments'' in the SUPPLEMENTARY INFORMATION section of this
document.
FOR FURTHER INFORMATION CONTACT: Nicole Coleman, Office of Enforcement,
U.S. Nuclear Regulatory Commission, Washington, DC 20555; telephone:
301-415-1048, email: [email protected].
SUPPLEMENTARY INFORMATION:
I. Accessing Information and Submitting Comments
A. Accessing Information
Please refer to Docket ID NRC-2013-0014 when contacting the NRC
about the availability of information for this revision of the Policy.
You may access information related to this revision of the Policy,
which the NRC possesses and is publicly available, by any of the
following methods:
Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2013-0014.
NRC's Agencywide Documents Access and Management System
(ADAMS): You may access public documents online in the NRC Library at
http://www.nrc.gov/reading-rm/adams.html. To begin the search, select
``ADAMS Public Documents'' and then select ``Begin Web-based ADAMS
Search.'' For problems with ADAMS, please contact the NRC's Public
Document Room (PDR) reference staff at 1-800-397-4209, 301-415-4737, or
by email to [email protected]. The ADAMS accession number for each
document referenced in this document (if that document is available in
ADAMS) is provided the first time that a document is referenced. The
NRC Enforcement Policy is available in ADAMS under Accession No.
ML12340A295.
NRC's PDR: You may examine and purchase copies of public
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland 20852. The NRC maintains the
Enforcement Policy on its Web site at http://www.nrc.gov/about-nrc/regulatory/enforcement/enforce-pol.html.
B. Submitting Comments
Please include Docket ID NRC-2013-0014 in the subject line of your
comment submission, in order to ensure that the NRC is able to make
your comment submission available to the public in this docket.
The NRC cautions you not to include identifying or contact
information that you do not want to be publicly disclosed in you
comment submission. The NRC will post all comment submissions at http://www.regulations.gov as well as enter the comment submissions into
ADAMS. The NRC does not routinely edit comment submissions to remove
identifying or contact information.
If you are requesting or aggregating comments from other persons
for submission to the NRC, then you should inform those persons not to
include identifying or contact information that they do not want to be
publicly disclosed in their comment submission. Your request should
state that the NRC does not routinely edit comment submissions to
remove such information before making the comment submissions available
to the public or entering the comment submissions into ADAMS.
II. Background
The purpose of this Policy revision is to: (1) Incorporate changes
directed by the Commission in the Staff Requirements Memorandum (SRM),
SRM-SECY-09-0190, ``Revisions to the Nuclear Regulatory Commission
Enforcement Policy,'' December 30, 2009 (ADAMS Accession No.
ML093200520);(2) make other changes proposed and evaluated by the
staff; and (3) make minor edits.
On December 30, 2009, in SECY-09-0190, the NRC staff submitted to
the Commission a proposed major revision of the Enforcement Policy. In
SECY-09-0190, the NRC staff committed to provide an opportunity for
public comments on the revision after it had been in effect for about
18 months. In SRM-SECY-09-0190, the Commission approved the revised
Policy and directed the NRC staff to evaluate certain items for
inclusion in the next proposed revision to the Policy. On September 30,
2010 (75 FR 60485), the NRC published the revised Policy in the Federal
Register.
In addition to the direction given to the NRC staff in SRM-SECY-09-
0190, the NRC staff evaluated other Policy changes that were presented
to the Commission for approval and inclusion in the 2012 Policy
revision.
The NRC staff solicited comments on proposed changes to the Policy
in documents published in the Federal Register on September 6, 2011 (76
FR 54986), and December 6, 2011 (76 FR 76192).
III. Summary of Substantive Changes to the Enforcement Policy
1. Credit for Fuel Cycle Licensee Corrective Action Programs
The NRC is revising Section 2.3.2, Non-Cited Violation, to provide
fuel cycle licensees (and all other licensees or nonlicensees) with
credit for a corrective action program (CAP) for certain severity level
(SL) IV violations. Presently, this CAP credit for certain SL IV
violations is only available to power reactor licensees. This revision
would allow fuel cycle licensees (and all other licensees or
nonlicensees) with credit for an NRC-approved CAP to have NRC-
identified SL IV violations treated as noncited violations (NCVs) if
certain other criteria are met.
2. Noncited Violation Credit to Nonlicensees
The NRC is revising Section 2.3.2.b, All Other Licensees, to
clarify that NCVs may also be issued to nonlicensees when they meet the
NCV criteria stated in Section 2.3.2.b.
3. Civil Penalties
The NRC is making several changes to Section 2.3.4, Civil Penalty,
related to the civil penalty assessment process. Under the current
Policy, the NRC will assess at least a base civil penalty for
violations involving loss of control of radioactive materials. The NRC
is revising the Policy to remove such language. The intent is to
maintain the existing lost source policy to issue at least a civil
penalty while giving the NRC staff the flexibility to disposition those
cases where a licensee has lost NRC regulated material, but took
immediate action to recover it, in a timely manner, with little or no
risk to the public while the material was not in the licensee's
control. In such cases where loss of control is the issue, rather than
actual loss of material, the normal civil penalty assessment process
would be used. Notwithstanding the normal civil penalty assessment
process, the Policy will also allow the use of discretion and
imposition of a civil penalty in cases in which a licensee has lost
required control of its regulated radioactive material.
The NRC is revising the Policy to also provide criteria and
examples for the use of daily civil penalties. This revision will
provide factors for the NRC staff to consider when evaluating the
appropriateness of daily civil penalties for continuing violations of
at least moderate significance (i.e., at least a SL III).
The NRC is revising the Policy to point out that civil penalties
are considered for SL I, II, and III violations. However, this revision
emphasizes that the civil penalty process described in Section 2.3.4
should be followed to determine the appropriateness of any civil
penalty.
[[Page 5840]]
The NRC is also adding a new section, Section 4.3.1, Civil
Penalties to Individuals Who Release Safeguards Information, to provide
an assessment tool for the NRC staff to determine civil penalties for
violations of unauthorized release of safeguards information (SGI) by
individuals. The NRC is also revising Section 8.0, Table of Base Civil
Penalties, to include a base civil penalty of $3,500 for individuals
who release SGI.
4. Orders
The NRC is revising Section 2.3.5, Orders, to clarify that Orders
may be immediately effective, without prior opportunity for a hearing,
whenever the NRC determines that the public health, safety interest, or
common defense and security so requires, or if the violation or conduct
causing the violation is willful.
5. Inaccurate and Incomplete Information
The NRC is adding a new Section 2.3.11, Inaccurate and Incomplete
Information, to provide guidance to the NRC staff for issues involving
inaccurate and incomplete information. The wording for this new section
is taken essentially verbatim from the November 28, 2008, version of
the Policy, Section IX, Inaccurate and Incomplete Information. This
section was not included in the September 30, 2010, revision to the
Policy.
6. Reporting of Defects
The NRC is adding a new Section 2.3.12, Reporting of Defects and
Noncompliance, to provide guidance to the NRC staff for issues
involving contractors that supply products or services for use in
nuclear activities. The wording for this new section is taken
essentially verbatim from the November 28, 2008, version of the Policy,
Section X, Enforcement Action Against Nonlicensees. This section was
not included in the September 30, 2010, revision to the Policy.
7. Predecisional Enforcement Conference
The NRC is revising Section 2.4.1, Predecisional Enforcement
Conference, in its entirety to provide clear and consistent guidance
that allows licensees and individuals to respond to apparent violations
before final escalated enforcement action is taken. The revised text
states, in part, that to the extent practicable, the NRC will consider
the licensee's response before taking enforcement action.
8. Alternative Dispute Resolution
The NRC is revising Section 2.4.3, Alternative Dispute Resolution,
to update the alternative dispute resolution guidance.
9. Enforcement Actions Involving Individuals
The NRC is revising Section 4.0, Enforcement Actions Involving
Individuals, to provide guidance for handling potentially damaging or
disqualifying information involving an individual's trustworthiness and
reliability, which may affect an individual's unescorted access
authorization to licensee facilities.
10. Violation Examples
The NRC is revising Section 6.0, Violation Examples, by adding
several new violation examples and revising several of the current
examples. The sub-sections within Section 6.0 that are being revised
include the violation examples related to licensed operators, facility
construction (parts 50 and 52 of Title 10 of the Code of Federal
Regulations (10 CFR), licensees and fuel cycle facilities), emergency
preparedness, inaccurate and incomplete information, and failure to
make a required report. The NRC is adding violation examples related to
export and import activities.
11. Glossary
The NRC is revising the following definitions in Section 7.0,
Glossary: actual consequences, apparent violation, lost source policy,
substantial potential for exposures or releases in excess of the
applicable limits in 10 CFR part 20, and traditional enforcement. The
NRC is also adding definitions for certificate holders and nonlicensees
for purposes of the Policy.
12. Table of Base Civil Penalties
In Section 8.0, Table A, Table of Base Civil Penalties, the NRC is
revising the title of Category ``c'' by replacing the wording ``Fuel
fabricators authorized to possess Category III quantities of SNM
[special nuclear material] * * *'' with the wording ``All other fuel
fabricators, including facilities under construction * * *''. This
change will ensure that Table A addresses fuel facilities under
construction.
IV. Procedural Requirements
Paperwork Reduction Act Statement
This Policy statement does not contain new or amended information
collection requirements subject to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.). Existing requirements were approved by the
Office of Management and Budget (OMB), Approval Number 3150-0136.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
Congressional Review Act
In accordance with the Congressional Review 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 of OMB.
For the Nuclear Regulatory Commission.
Dated at Rockville, Maryland, this 22nd day of January 2013.
Andrew L. Bates,
Acting Secretary of the Commission.
[FR Doc. 2013-01672 Filed 1-25-13; 8:45 am]
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