Fillable Printable Cover Letter for Notice of Violation to Individual

Cover Letter for Notice of Violation to Individual

FORM 3-IV: Cover Letter for Notice of Violation to Individual

IA-YY-XXX

NMED No. (if applicable)

(Name of individual)

[HOME ADDRESS DELETED

UNDER 10 CFR 2.390(a)]

SUBJECT: NOTICE OF VIOLATION

(NRC Inspection Report No(s). (XXXXXXXX/YYYYYNNN)

[if applicable, add "and (Investigation Report No(s). X-XXXX-XXX)"]

Dear :

This refers to the inspection (investigation) conducted on (date(s)) regarding your

activities at the (Plant Name) facility. [Use (City, State) for material licensees].

[This section should address (1) the purpose of the inspection, (2) if and how it was

reported, e.g., 50.72, LER etc., and (3) when the inspection report(s) (or factual

summary of OI report(s)) related to this action were issued.]

[Add one of the following two paragraphs, as applicable:]

On (date), a predecisional enforcement conference was conducted (location, e.g., in

the Region III o<ce) with you to discuss the apparent violations, their signi=cance,

their root causes, and your corrective actions.

In the letter transmitting the inspection report (factual summary of the OI report),

we provided you the opportunity to address the apparent violation(s) identi=ed in

the report by either attending a predecisional enforcement conference or by

providing a written response before we made our =nal enforcement decision. In a

letter dated (date) , you provided a response to the apparent violations.

[Alternatively, ASince you have not requested a predecisional enforcement

conference nor replied in writing, the NRC is proceeding with its enforcement action

based on the results of the inspection (OI investigation).”]

Based on the information developed during the inspection (investigation) (and the

information that you provided during the conference) (and the information that you

provided in your response to the inspection report dated, (date) , the NRC has

determined that a deliberate violation of NRC requirements occurred. The(se)

violation(s) is (are) cited in the enclosed Notice of Violation (Notice) (Enclosure 1).

[This section should include a summary of the event or circumstances that resulted

in the violation including such issues as the length of time the violation lasted, the

number of times the violation occurred, the actual or potential signi=cance of the

underlying technical issue, the apparent root cause of or motivation for the

violation, and any other major attributes of the violation necessary for supporting

the safety, security and/or regulatory impact signi=cance of the violation. The summary

should be su<ciently detailed to permit others who may review the action to

understand the safety, security and/or regulatory impact signi=cance.] Your deliberate

actions placed (Name of licensee) in violation of [Indicate the requirements that

were violated] and you in violation of 10 CFR 50.5, Deliberate Misconduct.

Enclosure 2 includes a copy of the letter and Notice of Violation issued to (Name of

licensee). Given the signi=cance of the underlying issue and the deliberate nature

of your actions, this (these) violation(s) has (have) been categorized in accordance

with the NRC Enforcement Policy at Severity Level .

[Include an additional explanation if an Order was considered, such as the following

paragraph:

In determining the appropriate sanction to be issued in this case, the NRC

considered issuing an Order prohibiting your involvement in NRC-licensed activities

as a result of your actions. However, after consultation with the Director, O<ce of

Enforcement, and after considering the circumstances of this case, including [identify

rationale, for example: (1) the actual safety signi=cance was low, and (2) (name of

licensee) took action regarding your wrongdoing, including removing your access to

the (name of facility)], I have decided to issue the enclosed Notice of Violation.