IR 015000005/1994001
| ML20029D116 | |
| Person / Time | |
|---|---|
| Site: | 015000005 |
| Issue date: | 04/26/1994 |
| From: | Cain C NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV) |
| To: | |
| Shared Package | |
| ML20029D115 | List: |
| References | |
| 15000005-94-01, 15000005-94-1, NUDOCS 9405040050 | |
| Download: ML20029D116 (17) | |
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e APPENDIX A
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U.S. NUCLEAR REGULATORY COMMISSION
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REGION IV
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l Inspection Report:
150-00005
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License: 10 CFR 150.20 (General License)
l Licensee:
Rocky Mountain Phoenix Surveys, Inc.
P. O. Box 745 Brighton, Colorado 80601 Facility Name:
Rocky Mountain Phoenix surveys, Inc.
Inspection At:
Brighton, Colorado Inspection Conducted:
February 16, 1994 Inspector:
M. Linda McLean, Radiation Specialist Nuclear Materials Inspection Branch Accompanied by:
Dennis N. Boal, Office of Investigaticas i
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I Approved:
l Charles L. Cain, Chief, Nuclear Materials Date
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Inspection Branch Inspection Summary
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Areas Inspected:
Special, announced inspection of activities authorized under the provisions of 10 CFR 150.20 and the conditions of Radioactive Materials
License No. Colo. 838-01 issued by the state of Colorado. The inspection included an examination of records associated with licensed activities l
conducted at locations within the state of Wyoming, an area under NRC jurisdiction, as they relate to radiation safety and to compliance with the
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Commission's rules and regulations and the ccnditions of the license.
The inspection consisted of selective examinations of procedures and representative records and interviews of personnel.
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Results:
An apparent violation was identified involving the failure to notify NRC
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and to file copies of Form NRC-241 and copies of the licensee's Agreement State specific license with NRC's Region IV Office prior to t
engaging in activities in a non-Agreement State under the general l
license granted by 10 CFR 150.20(a) (Section 3).
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-2-Summary of Inspection Findings:
Violation 150-00005/9401-01 was opened (Section 3).
- Attachment:
Attachment - Persons Contacted and Exit Meeting
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-3-DETAILS 1 PURPOSE OF SPECIAL INSPECTION The inspection was conducted after a telephonic notification on f
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' November 16, 1993, by Rocky Mountain Phoenix ' Surveys, Inc. (PSI) of the loss of a well logging source containing 2 curies of cesium-137 (Cs-137) in an oil well in Wyoming. NRC subsequently determined that PSI had conducted well logging activities using byproduct materials in Wyoming (NRC jurisdiction)
during 1993 but had failed to notify NRC of these activities.
2 BACKGROUND Possession and use of byproduct material for well logging by PSI is authorized by State of Colorado Radioactive Materials License No. Colo. 838-01.
The license authorizes the use of radioactive material for use in an M & W compensated neutron tool for the geophysica, exploration-of oil and gas wells.
Pursuant to 10 CFR Part 150.20, a general license'can be granted to conduct the same activity in non-Agreement States provided that the licensee files, at least 3 days before engaging in such activities, 4 copies of Form NRC-241, l
" Report of Proposed Activities in Non-Agreement States," and 4 copies of the
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licensee's Agreement State specific license with the appropriate NRC Regional office.
3 INSPECTION FINDINGS (87100)
Region IV conducted a special, announced inspection on February 16, 1994.
The inspection, conducted at the licensee's office in Brighton, Colarado, included a review of activities authorized under the provisions of 10 CFR 150.20 and the conditions of Radioactive Materials License No. Colo. 838-01.
The inspection was an examination of records of licensed activities conducted at locations within the state of Wyoming, an area under NRC jurisdiction.
On November 15, 1993, a consultant for Bataa Oil, Inc, notified Region'IV of a lost 2-curie cesium-137 well logging source in West County, Wyoming.
(Bataa Oil, Inc. was the owner of the well.) He identified the owner of the source as PSI. On November 16, 1993, the vice president of PSI contacted an NRC staff member in Las Vegas, Nevada, to report the incident. The vice president was informed that he should notify the appropriate NRC regional
office. Consequently, he notified the NRC Region IV office of the lost l
cesium-137 source.
(By letter dated January 12, 1994, PSI submitted a report l
of the abandoned source pursuant to 10 CFR Part 39.77).
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During the course of the telephone conversation with the vice president of PSI
on November 16, 1993, it was determined that PSI had not filed Form NRC-241 notifying Region IV of their activities conducted in Wyoming. The vice president stated that he had thought that it was not a requirement to file for reciprocity unless a field office was established in NRC jurisdiction.
Additionally, he stated that he had been told by an individual at NRC that it l
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-4-was not necessary to notify NRC; however, he was unable to provide the inspector with the name of the individual.
Region IV contacted an NRC staff
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member in Nevada to verify his phone conversation with PSI.
This individual-
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stated that the discussion involved only the lost source reporting requirements.
Condition 20 of PSI's State of Colorado Radioactive Materials License states.
" Prior to the use of licensed materials outside the state of Colorado the licensee shall comply with the applicable provisions of 10 CFR 150.20 or if the use shall take place in an Agreement State the licensee shall comply with the applicable provisions of that State's reciprocity requirements".
The vice president and secretary-treasurer of PSI stated that they had not read their-license and, therefore, were not aware of the license condition.
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The inspector reviewed the licensee's utilization records and determined that
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during 1993 PSI had conducted well logging activities using byproduct material in the State of Wyoming (NRC jurisdiction) and had not notified Region IV of such activities. Specifically, on August 20-21 and November 13-17, 1993, PSI conducted well logging activities in West County, Wyoming. The failure to
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either notify ~NRC or to submit Form NRC-241 was identified as an apparent violation of 10 CFR Part 150.20.
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Subsequent to the phone conversation on November 16, 1993, the licensee submitted Form NRC-241 and the required application fee for'1993. Also, by
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submittal dated February 28, 1994, the' licensee applied for reciprocity for 1994.
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ATTACHMEKT 1 PERSONS CONTACTED 1.1 Licensee Personnel
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- David Jull, Vice President
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- John Patterson, Secretary-Treasurer 2.2 NRC Personnel
- Dennis N. Boal, Investigator-
~ *M. Linda McLean, Radiation Specialist
- Denotes individuals present during site exit briefing on February-16,1994.
2 EXIT MEETING
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A site exit briefing was conducted on February 16, 1994, with those individuals identified -in Section 1.
The inspector reviewed the findings as noted in the report.
- Additionally, on March 24, 1994, a telephone conversation.was held to discuss
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the' inspection findings and NRC's enforcement policy.
Present during this briefing was Mr.. Patterson, Ms. McLean, and Mr. Charles L. Cain.
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APPENDIX B PROPOSED ENFORCEMENT CONFERENCE AGENDA ROCKY MOUNTAIN PHOENIX SURVEYS, INC.
May 10, 1994 9:00 a.m. MDT I.
INTRODUCTION AND PURPOSE L. J. cal.LAN II.
EXPLANATION OF ENFORCEMENT POLICY G. F. SANB0RN III. NRC DISCUSSION OF APPARENT VIOLATIONS C. L. CAIN IV. -LICENSEE COMMENTS AND RESPONSE / CORRECTION ACTIONS DAVID JULL, et al V.
CLOSING COMMENTS S. J. COLLINS
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PART 2 o RULES OF PRACTICE FOI. DC.,.STIC L!7....
G PROCEEDINGS...
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Appendix c-eeneret statement of PoNcy and Procedwe for NRC Enforcement Ac6ons
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> Table of Contents
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Preface L Introduction and Purpose IL Statutory Authonty A. Statutory Authorsty B. Procedural Framework IIL Responsibilities i
IV. Severity of Victations l
A. Aggregation of Violations l
B. Repetitive Violauons l
C. Willful Violations
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D. Violations of Reporting Requirements V. Enforcement Conferences VL Enforcement Actions A. Notice of Violation B. Civil Penalty 1 Base Civil Penalty 2. Civil Penalty Adjustment Factors (a) Identification (b) Corrective Action (c) Licensee Performance i
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. (d) Prior Opportunity to Identify
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(e) Multiple Occurrences a
(f) Durstion i
E C. Orders g
D.Related Administrative Actions a
Vit Exercise of Discretion A. Escalation of Enforcement Sanctions (1) Civil Penalties (2) Orders (3) Daily Civil Pensities
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B. Mitigation of Enforcement Sanctions (1) Seventy level V Violations (2) Licensee identified Seventy Level V &
IV Violations (3) Violations identified During Extended Shutdowns or Work Stoppages (4) Violeuons involving Old Design issues (5) Violations identified Due to Previous Escalated Enforcement Action j
(S) Violatio..a involving Special
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Circumstances C Exercise of Discretion for an Operating Facility VIIL Enforcement Actions involving Individuals IX. Inaccurate and incomplete Information X. Enforcement Action Assinet Nonlicensees XL Referrals to the Department of lustice
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XIL Public Disclosure of Enforcement Actions XIIL Reopening Closed Enforcement Actions Supplements
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PART 2 o RULES OF PRACTICE FOR DOMESTIC LICEI. :Nd PROCEEDINGS ".
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case and requires the exercise of violates NRC requirements such that a discretion after consideration of these basic component could be significantly The following statement of general policies and procedures. In no case, impaired. Section 235 provides that policy and procedure explains the however, will licensees who cannot criminal penalties may be irnposed on enforcement policy and procedures of achieve and maintain adequate levels of g persons who interfere with inspectors.
the U.S. Nuclear Regulatory Commission protection be permitted to conduct g Section 236 provides that criminal and its staff in initiating enforcement licensed activities.
g penalties may be imposed on persons actions. and of the presidistg officers and II. Statutory Authority and Procedural E
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nu a i y or o nuctea fue the Commission in reviewing these Framework actions. This statement is applicable to Alle8ed or suspected criminal violations enforcement in matters inwiving the A. Statutory Authority of the Atomic Energy Act are referred to
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nublic health and safety, the common The NRC's enforcement jurisdiction is the Department of Justice for
' efense and security, and t he drawn from the Atomic Energy Act of appropriate action.
d environment.8 This statement of general 1954. as amended. and the Energy policy and procedure it published in the Reorganization Act (ERA) of 1974, as Code of Federal Regulations to provide amended.
widespread dissemination of the Section 161 of the Atomic Energy Act Commission's Enforcement Policy.
authorizes NRC to conduct inspections
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However, this is a policy statement and and investigations and to issue orders as not a regulation. The Commissinn may may be necessary or desirable to deviate from this statement of policy promote the common defense and
and procedure as appropriate under the security or to protect health or to circumstances of a particular case.
minimize danger to life or property.
R. Introduction and Purpose Section 180 authorizes NRC to revoke licenses under certein circumstances
& The purpose of the NRC enforcement (e.g., for material false statements, in 5 program is to promote and protect the response to conditions that would have E : radiological health and safety of the -.
warranted refusal of a license on an g public, including employees' health and original application, for a licensee's safety, the common defense and failure to build or operate a facility in security, and the environment by:
5 accordance with the terms of the permit
+ Ensuring compliance with NRC 5 or license, and for violation of an NRC regulations and license conditions:
E regulation). Section 234 authorizes NRC
+ Obtaining prompt correction of 2 to impose civil penalties not to exceed violations arid adverse quality
$100.000 per violation per day for the conditions which may affect safety:
violation of certain specified licensing
- Deterring future violations and provisions of the Act, rules, orders, and occurrences o' conditions adverse to license terms implementing these quality: and provisions. and for violations for which
- Encouregmg improvement of licenses can be revoked. In addition to licensee and vendor 8 performance, and the enurnerated provisions in section by example, that of industry, including 234, sections 84 and 147 authorize the the prompt identification and reporting imposition of civil penalties for of potential safety problems.
violatior.s of regulations implementing Consistent with the purpose of this those provisions. Section 232 authorizes program. prompt and vigorous NRC to seek injunctive or other enforcement action will be taken when equitable relief for violation of dealing with licensees. vendors.
regulatory requirements.
contractors, and employees of any of Section 206 of the Energy them, who do not achieve the necessary Reorganization Act authonzes NRC to meticulous attention to detail and the impose civil penalties for knowing and high standard of compliarice which the coscious failures to provide certain NRC expects.8 Each enforcement action -
safety information to the NRC.
is dependent on the circumstances of the
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Chapter 18 of the Atomic Energy Act provides for varying levels of criminal penalties (i.e., monetary fines and l
8 Antstrust enforcement matters web te desit w9h imprisonment) for willful viola tions of l
on a case-by. case basis the Act and regulations nr orders issued
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under sections 65.161(b).161(i), or
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a su dc or s r s
an NRC.hcensed facihty or actmt>
161(o) of the Act. Section 223 provides
$ n.: pohey primardy addreases ine actmeies of that criminal penalties may be imposed NRC bcensees Derefore. the term bcensee is on certam individuals employed by
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used throughout.he pokcy However. in those cases where the NRC determines that it is appropriate to firms constructmg or supp!yitig basic take enforcement action r. gams' a non hcensee or Components Of any utilization facility if indmdual the gedance in tms pohcy wdl be used the mdividual knowingly and willfully as uphcable Spec 4c guidance regardmg erforcement action asa nst mdmduals and non-hcensees is addressed en Sechons VIH and X respectively, 2-83 April 30,1992 i
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APPM PART 2 e RULES OF PRtf7!CE FOR DOMESTIC LICENSING PROCEEDINGS m
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B. ProceduralFramework III. Responsibilities in recognition that the regulation of Subpart B of to CFR part 2 of NRC's The Executive Director for Operations year nu
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,d o s m chan at c regulations sets forth the procedures the (EDO) and the principal enforcement
NRC uses in exercising its enforcement officers of the NRC, the Deputy treatment, judgment and discretion must be exercised in determining the severity authority.10 CFR 2.201 sets forth the Executive Director for Nuclear Material
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levels of the violations and the procedures for issuing notices of Safety Safeguards and Operations
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violation.
appropriate enforcement sanctions, Support (DEDS) and the Deputy including the decision to issue a Notice
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The procedure to be used in assessing Executive Director for Nuclear Reactor of Violation, or to propose or impose a l
civil penalties is set forth in 10 CFR Regulation. Regional Operations, and civil penalty and the amount of this 2.205. Thi: regulation provides that the Research (DEDR) have been delegated penalty, after considering the general civil penalty process is initiated by the authonty to approve or issue all principles of this statement of policy and issuing a Notice of Violation and escalated enforcement actions.' The the technical significance of the Proposed Imposition of a Civil Penalty.
DEDS is responsible to the EDO for the violations and the surrounding
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The licensee or other person is provided NRC enforcement programs.The Office circumstances.
an opportunity to contest in wnting the of Enforcement (OE) exercises oversight Unless Commission consultation or proposed imposition of a civil penalty.
of and impleewnts the NRC enforcement notification is required by this policy.
After evaluation of the response, the programs. The Director, OE. acts for the the staff may depart, where warranted civil penalty may be mitigated, remitted.
Deputy Executive Directors m in the public's interest, from this policy i
or imposed. An opportunity is provided enforcement matters in their absence or with the approval of the appropriate i
for a hearing if a civil penalty is as delegated. Subject to the oversight Deputy Executive Director and imposed. If a civil penalty is not paid and direction of OE, and with the consultation with the EDO as following a heanng or if a heanng is not approval of the appropriate Deputy warranted. (See also Section VII.
requested, the matter may be referred to. Executive Director, where newssary-
" Exercise of Discretion.")
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!" the U.S. Department of justice to R the regional offices normally issue The Commission will be provided l
$ institute a civil action in District Court.
- Notices of Violation and proposed civil written notification of all enforcement D The procedure for issuing an order to i penalties. However, subject to the same actions involving civil penalties or
- institute a proceeding to modify, oversight as the regional offices, the orders. The Commission will also be e
suspend. or revoke a license or to take Office of Nuclear Reactor Regulation provided notice in those cases where i
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other action against a licensee or other (NRR) issues Notices of Violation and g dise.retion is exercised and discussed in '
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person subject to the jurisdiction of the proposed civil penalties to vendors and g Section Vll.B.6. In addition, the
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Commission is set forth in to CFR 2.202.
suppliers and the Office of Nuclear
,. Commission will be consulted prior to The licensee or any other person Material Safety and Safeguards (NMSS) * taking action m the following situations
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adversely affected by the order may issues Notices of Violation and (unless the urgency of the situation i
request a hearing. The NRC is proposed civil penalties to certificate dictates immediate action):
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authonzed to make orders immediately holders and to fuel cycle facilities for (1) An action affecting a licensee's
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l effective if re9utred to protect the public violati ns involving matenal control and operation that requires balancmg the
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health, safety, or interest. or if the accounting. Escalated enforcement public health and safety or common
violation is willful. Section 2.204 sets out actions are normally coordinated with defense and security implications of not the procedures fur issuing a Demand for the appropriate offices by the OE.
operating with the potential radiological
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Information (Demand) to a licensee or Enforcement orders are normally issued or other hazards associated with
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by a Deputy Executive Director or the continued operation:
other person subject to the Din.ctor OE. However, orders may also (2) Proposals to impose civil penalties Commissioner's jur.sdiction for the be issued by the EDO, especially those in amounts greater than 3 times the purpose of determining whether an involvmg the more significant matters.
Severity Levell values shown in Table order or other enforcement action The Directors of NRR and NMSS have 1A:
should be issued. The Demand does not also been delegated authority to issue (3) Any proposed enforcement action provide heanng rights, as only orders, but it is expected that normal that involves a Severity Level 1 information is being sought. A licensee use of this authonty by NRR and NMSS violation:-
must answer a Demard. An unlicensed will be confined to actions not (4) Any enforcement action that person may answer a Demand by either associated with compliance issues, The involves a finding of a material false providing the requested information or Director. Office of the Controller, has statement; explainmg why the Demand should not been delegated the authority to issue (5) Exercising discreti6n for matters l have been issued.
orders where licensees violate meeting the enteria of Section Vll.A.1
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Commission regulations by nonpayment for Commission consultation:
of license and mspection fees-(6) Refraining from taking enforcement action for matters meeting the enteria of Section Vll.B.3; (7) Any proposed enfo"+ ment action that involves the iss.* <1e af a civil
- ne ierm "escensied enforcement action" as penalty or order to an unlicensed
[ny s'ev eiElfor u
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individual or a civil penalty to a yi in c pensity for any Seventv Level 1.11.1H. or IV licensed reactor operator; violation and any order based upon a violation.
April 30,1992 2 84
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App.C(Ill)
App. C(IV)
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L.a e.%ULES OF PRACTICE FOR DOMESTIC LICENSING F..a
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F (8) Any action the EDO believes Comparisons of significance between B. Repetitive Violations warrants Commission involvement:
activity areas are inappropriate. For 19) Any enforcement case m.volving an example. the immediacy of any hazard The severity level of a Severity Level Office of Ini astigation (01) report where to the public associated with Severity V or IV violation may be increased to NRC staff (other than 01 staff) does not Level I violations in Reactor Operations Severity Level IV or 111 respectively, if the violation can be considered a arnve at the same conclusions as those is not directly comparable to that in the OI report concerning issues of associated with Severity LevelI repetitive violation.' The purpose of mient.
violations in Facility Construction.
escalating the severity level of a (10) Any proposed enforcement action Supplements I through Vill provide repetitive violation is to acknowledge on which the Commission asks to be examples and serve as guidance in the added significance of the situation based on the licensee's failure to consulted.
determining the appropn, ate severity g
g level for violations in each of the eight IV. Severity of Violations activity areas. However, the examples the previous violation. The decision to Regulatory requtements * have are neither exhaustive not controlling. In escalate the severity level of a repetitive varying degrees of safety safeguards, or addition, these examples do not create jP'
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0" not limited environmental significance. Therefore, new requirements. Each is designed to the relative importance of each
- illustrate the significance that the NRC g
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E violation. including both the technical
$ places on a particular type of violation occurred, the similarity of the violations
- significance and the regulatory a of NRC requirements. Each of the
_ and their root causes. the adequacy of E sigmficance is evaluated as the first step R examples in the supplements is g previous corrective actions, the period S in the enforcement process.
- predicated on a violation of a regulatory y of time between the violations, and the Consequently. violations are normally requirement.
g significance of the violations. (Civil
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categorized in terms of five levels of The NRC reviews each case being e Penalties may also be proposed for seventy to show their relative considered for enforcement action on its repetitive Seventy Level IV violations as importance within each of the following own merits to ensure that the severity of discussed in Section VI.B.)
eight activity areas:
a violation is characterized at the level c, gyll/ful Violations best suited to the significance of the particular violation. In some cases.
Willful violations are by definition of
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III. Safeguards; special circumstances may warrant an particular concern to the Commission
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IV. health Physics; adjustment to the severity level because its regulatory program is based V. Transportation:
categorization.
on licensees and their contractors.
VI. Fuel Cycle and Matenals Operations;
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employees. and agents acting with Vil, Miscellaneous Matters; and A. Aggregotion of Violottons
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Vill. Emergency Preparedness.
A group of violations may be candor,y and communicating with integnt Willful violations cannot be Licensed activities will be placed in evaluated in the aggregate and assigned tolerated by either the Commission or a the activity area most suitable in light of a single, increased severity level.
licensee. Licensees are expected to take the particular violation involved thereby resulting in a Severity LevelIII significant remedial action in responding including activities not directly covered problem,if the violations have the same to willful violations commensurate with by one of tha above listed areas, e.g.,
underlying cause or programmatic the circumstances such that it export license activities. Within each deficiencies, or the violations demonstrates the seriousness of the activity area. Severity Levell has been contributed to or were unavoidable violation thereby creating a deterrent assigned to violations that are the most consequences of the underlying effect within the licensee's organization.
sigmficant and Severity Level V problem. Normally. Severity Level I and While removal of the person is not violations are the least sigmficant.
11 violations are not aggregated into a necessarily required, substantial Severity Level I and 11 violations are of higher severity level.
disciplinary action is expected.
very sigmficant regulatory concern, in The purpose of aggregating violations general, violations that are included in is to focus the licensee's attention on the these seventy categories involve actual fundamental underlying causes for or high potential impact on the public.
which enforcement action appears Seserity Level III violations are cause warranted and to reflect the fact that for significant regulatory concern.
several violations with a common cause Seventy Level IV violations are less may be more significant collectively senous but are of more than minor than individually and may therefore.
concern; i.e., if left uncorrected, they warrant a more substantial enforcement could lead to a more senous concern.
action. In addition, a civil penalty for Seventy Level V violations are of minor multiple necuitences of a violation with safety or environmental concern.
the same root cause may be subject to escalation of the base civil penalty. (See Section VLB.2.(ej)
- ne term "repeutive vioistion" or "atmilar
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violation" es used in this pahey s'atement means a violation that reannably could have been
- The term ' requiremene as used n this pohcy prevented by a hcensee e corrective action for a means a lesally b ndmg requirement such as a previous violation normally occurrms (t) within the statute. resulation, hcense con & tion. techn cal past two years of the inspection at issue or (2) the
=peci6 cation or order penod witlnn the :ssi two mapections. whichever is tonser.
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App. C(IV)
App.C(VI)
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PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEtu.4GS ~
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Therefore, the severity level of a circumstances surrounding the matter. A When needed to protect the public violation may be increased if the licensee will not normally be cited for a health and safety or common defense
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circumstances surrounding the matter failure to report a condition or event and security, escalated enforcement involve careless disregard of unless the licensee was actually aware action, such as the issuance of an requirements, deception, or other of the condition or event that it failed to immediately effective order modifying.
,1 indications of willfulness.The term report. A licensee will, on the other suspending or revoking a license, will
" willfulness" as used in this policy hand. normally be cited for a failure to be taken prior to the enforcement
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embraces a spectrum of violations report a condition or event if the conference. In these cases, an
ranging from deliberate intent to violate licensee knew of the information to be enforcement conference may be held
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t or falsify to and including careless reported, but did not recognize that it after the escalated enforcement action is
'j disregard for requirements. Willfulness was required to make a report.
taken.
does not include acts which do not rise i
to the level of careless disregard. e.g..
V. Enforcement Conferences
inadvertent clerical errors in a document Whenever the NRC has learned of the VL Enforcement Actions
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submitted to the NRC. In determining the specific severity level of a violation existence of a potential violation for This section describes the which escalated enforcement action I
[ ' 8" hbs may be warranted, or recurring NRC and specifies the conditions under
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enforcement sanctions available to the
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p n n: nf mance n the part of a vendor, which each may be used. The basic and responsibilities of the person involved in the violation (e.g., licensee the NRC will nomally provide an sanctions are Notices of Violation, civil pportunity for an enforcement 5 penalties, and orders of various types.
official 1 or non-supervisory employee),
the significance of any underlying conference with the licensee, vendor, or 3 As discussed further in Section VI D.
E violation, the intent of the violator (i.e.,
ther person prior to taking enforcement E related administrative mechanisms euch S careless disregard or deliberateness),
action. Although enforcement 3 as Notices of Nonconformance. Notices E and the economic or other advantage, if confermes are not normally held for of Deviation. Confinnatory Action
.S R everity Level IV violations. they may Letters, letters of reprimand. and 2 any, gained as a result of the violation.
The relative weight given to each of g be scheduled ifincreased management Demands for Information are used to these factors in arriving at the u. attention is warranted e.g.,if the supplement the enforcement program. In appropriate severity level will be 3 violations are repetitive. The purpose of selecting the enforcement sanctions to dependent on the circumstances of the the enforcement conference is to (1)
Le applied, the NRC will consider violation. However, the severity level of discuss the violations or enforcement actions taken by other a willful severity level V violation will nonconformances, their significance, the Federal or State regulatory bodies g
be increased to at least a seventy level reason for their occurrence, including having concurrent jurisdiction, such as
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IV.
the apparent root causes, and the licensee's or vendor's ccrrective actions-in transportation matters. Usually, whenever a violation of NRC D. Violoficns of Reporting Requirements (2) determine whether there were any requirements is identified. enforcement J
The NRC expects licensees to provide aggravating or mitigating circumstances, action is taken. The nature and extent of -
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complete, accurate, and timely and (3) obtain other information that the enforcement action is intended to
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information and reports. Accordingly, will help the NRC determine the reflect the seriousness of the violation unless otherwise categorized in the appropnate enforcement action.
itavolved. For the vast majority of Supplements, the severity level of a During the enforcement conference, violations, a Notice of Violation or a violation myolving the failure to make a the licensee vendor, or other person will Notice of Nonconformance is the normal required report to the NRC will be based be given an opportunity to provide enforcement action.
upon the significance o. and the information consistent with the purpose circumstances surroundmg the matter of the conference, including an that should have been reported.
explanation to the NRC of the However, the severity level of an immediate corrective actions (if any)
untimely report, in contrast to no report, that were taken following identification may be reduced depending on the of the potential violation or nonconformance and the long term comprehensive actions that were taken or will be taken to prevent recurrence.
Licensees, vendors, or other persons will be told when a meeting is an enforcement conference. Enforcement conferences will not normally be open to the public.
' The term "hcensee official" as useo in this pokcy statement.neans a first Ime supemsor or above. a licensed indmdual. a radiation safety afficer. or an authonzed user of licensed matenal whether or not hated on a hcense. Notwithstandmg an indmdual's job title, seventy level casesonsstan for willful acta mvolyms indmduals
'
who can be considered hcensee officiais will consider several factors. mcluding the positiori of the mdmdual relatave to the heensee e orsanizational structure and the mdmdual e responsibihttes relative to the overs 4ht of hcensed actmties and to the use of hcensed matenal.
April 30,1992 2 86 N.
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App. C(VI)
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M'. C(VI)
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PART 2 e RULES OF. L ACTICE FOR DOMESTIC LICENSING PROCEEDINGS...
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A. Notice of Violotion 1. Base Civil Penalty 2. Civil Penalty Adjustment Factors A Notice of Violation is a written The NRC imposes different levels of In an effort to recognize and notice setting forth one or more penalties for different severity level encourage good performance, deter poor violations of a legally binding violations and different classes of performance, and emphasize violations requirement. The Notice of Violation licensees, vendors, and other persons, of particular regulatory concern, the normally requires the recipient to Tables 1 A and 1B show the base civil NRC reviews each proposed civil provide a wntten statement describing pena ties for various reactor, fuel cycle, penalty on its own merits and, after
(1) the reasons for the violation or,if materials, and vendor programs. (Civil considering all relevant circumstances.
contested. the basis for disputing the penalties issued to mdividuals are may adjust the base civil penalities violation:(2) corrective steps that have determined on a case-by-case basis.)
shown in Table 1 A and 1B for Severity been taken and the results achieved:(3)
The structure of these tables generally Level I, !!. and !!! violations based on an corrective steps that will be taken to takes mio account the gravity of the assessment of the following civil penalty prevent recurrence; and (4) the date vi lation as a primary consideration and adjustment factors. Civil penalties for when full compliance will be achieved, the ability to pay as a secondary Severity LevellV violatior.s are The NRC may require responses to c nsideration. Generally, operations normally proposed at the base values
,
Notices of Violation to be under oath.
!nv Iving greater nuclear material identified in the tables without Normally, responses under oath will be invent ries and greater potential assessing the civil penalty adjustment required only in connection with civil c nseqmces to the pubhc and licensee factors.
penalties and orders.
empl yees receive higher civil penalties.
,While management involvement, Regardmg the secondary factor of direct or indirect, in a violation may The NRC uses the Notice of Violation ability of various classes of licensees to lead to an increase in the civil penalty, as the usual method for formalizing the pay the civil penalties. it is not the the lack of management involvement existence of a violation. Issuance of a g NRC's intention that the economic may not be used to mitigate a civil Notice of Violation is normally the only 3 impact of a civil penalty be so severe
& penalty. Allowmg mitigation in the latter enforcement action taken. except in E that it puts a licensee out of business E case could encourage lack of cases where the criteria for issuance of M (orders rather than civil penalties. are E managment involvement in licensed civil penalties and orders, as set forth in used when the intent is to suspend or g activities and a decrease in protection of Sections VI.B and VI.C respectively, are terminate licensed activities) or the public health and safety.
met However.,special circumstances adversely affects a licensee's ability to (a)/dentification The purposes of this regarding the violation findmgs may safely conduct licensed activities. The factor is to encourage licensees to warrant discretion being exercised such deterrent effect of civil penalties is best monitor, supervise, and audit activities that the NRC refrains from issuing a served when the amounts of the in order to assure safety and
. Notice of Violation. (See Section VII.B R Mitigation of Enforcement Sanctions.;,)
penalties take into account a licensee's compliance. Therefore. the base civil
.. ability to pay."In determining the penalty shown in Tables 1 A and IB may
- In addition, licensees are not ordinarily amount of civil penalties for licensees be mitigated up to 50% when a licensee I cited for violations resulting from for whom the tables do not reflect the identifies a violation and escalated up to o matters not within their control such as ability to pay, the NRC will consider as 50% if the NRC identifies a violation.
equipment failures that were not necessary an increase or decrease on a The base civil penalty may also be avoidable by reasonable licensee case-by case basis. Normally,if a mitigated up to 25% when a licensee quality assurance measures or licensee can demonstrate financial identifies a violation resulting from a management controls. Generally, hardship, the NRC will consider self-disclosing event * where the however. licensees are held responsible payments over time, including interest, licensee demonstrates initiative in for the acts of their employees.
rather than reducing the amount of the identifying the root cause of the Accordmgly, this policy should not be civil oenalty. However, where a licensee violation. In addition the base civil construed to excuse personnel errors.
clair.is financial hardship. the licensee penalty may also be mitigated where B. Civi/ Penalty will normally be required to address warranted if a licensee identifies a A civil penalty is a monetary penalty why it has sufficient resources to safely violation as a result of its review of a that may be imposed for violation of (1)
c nduct licensed activities and pay generic notification. W hile mitigation certain specified licensing provisions of license and inspection fees.
under this factor is appropriate for a the Atomic Energy Act or licensee identified violation that was supplementary NFC rules or orders: (2)
n t reported to the NRC, a separate any requirement for which a license may enf rcement action will normally be be revoked: or (3) reporting issued for the licensee a failure to make requirements under section 206 of the the required report.
Energy Reorganization Act. Civil penalties are designed to emphasize the need for lastmg remedial action and to deter future violations both by the involved licensee as well as by other licensees conductmg similar activities.
Civil penalties are proposed (absent mitigating circumstances) for Seventy a The term if.discion:n, eveni as u..o in ihi.
Level 1.11. and til violations. and may be p on e y,,,,, n,,n,,n,,n,,,,,,,, i n,,,,,,,,i y proposed for repetitive Severity Level IV obvious by human observation or mer.hnnical vioiations or for any willful violation. In ma'rumeniahon such as a spill of hound. an open addition. civil penalties will normally be d* "'9"#'d 'a b' "'adl 8't av"'"Po'u
'
assessed for knowmg and conscious I,",n"""','N," ' d /,[* """' ' " '"""" ' '
f violations of the reportmg requirements of section 206 of the Energy
,
Reorganization Act.
2 87 April 30,1992 s
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PART 2 o RULES OF PRACTICE FOR DOMESTIC LICEN01:'G PROCEEDINGS...
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(b) Corrective action. The purposes of this factor where a licensee's poor prior notification: or (3) through other this factor is to encourage licensees to performance appears to clearly be reasonable indication of a potential (1) take the immediate actions necessary improving. Prior performance, as used in problem or violation, such as upon discovery of a violation that will this policy statement, refers to the observations of employees and restore safety and compliance with the licensee's performance norrnally (1)
contractors. and had failed to take license, regulation (s). or other within the last two years of the effective corrective steps. Prior requirement (s): and (2) devleop and inspection at issue, or (2) the period notification may include findings of the
~
implement (in a timely mannerJ the within the last two inspections.
NRC, the licensee, or industry made at
,
lasting actions that will not only prevent whichever is longer. In assessing the other facilities operated by the licensee recurrence of the violation at issue, but licensee's prior performance, where it is reasonable to expect the
will be appropnately comprehensive, consideration will be given to, among licensee to take action to identify or
,j given the significance and complexity of other things, the effectiveness of prevent similar problems at the facility
'
the violation, to prevent occurrence of previous corrective action for similar subject to the enforcement action at
,
similar violations.Therefore, the base problems, overall performance such as issue. la assessing this factor.
civil penalty shown in Tables 1 A and IB Systematic Assessment of Licensee consideration will be given to, among may be either mitigated or escalated by Performance (SALP) evaluations for other thin 2s. the opportunities available as much as 50% depending on the power reactors, and the licensee's prior to discover the violation, the ease of promptness and extensiveness of the enforcement history overall and in the discovery, the similarity between the licensee's corrective action. In assessing area of concern, including escalated and violation and the notification the period this factor, consideration will be given non-escalated enforcement actions and,
of time between when the violation to. among other thmgs. the timeliness of any enforcement actions that the NRC occurred and when the notification was the corrective action (including the exercised discretion and refrained from issued, the action taken (or planned) by promptness in developing the schedule issuing in accordance with Section the licensee in response to the for fong term corrective action), the Vll.B. Notwithstanding good prior
_ notification, and the level of degree of licensee initiative (i.e..
performance, mitigation of the civil R management review that the notification whether NRC involvement was required g penalty based on this factor is not y received (or should have received).
before acceptable action was taken), the y normally warranted where the current w Escalation of the civil penalty based
, adequacy of the licensee's root cause w violation reflects a substantial decline in 3 solely on prior notification is normally R analysis for the violation, and. given the 3 performance that has occurred over the not warranted where the licensee
$ significance and complexity of the issue, time since the last NRC inspection. In appropriately reviewed the notification
' the comprehensiveness of the corrective addition this factor should not be for application to its activities and S action (i.e., whether the action is applied for those cases wLere the reasonable action was either taken or i
focused narrowly to the specific licensee has not been in existence long planned to be taken within a reasonable
+
violation or broadly to the general area en ugh to establish a prior performance time.
of concern).Notwithstanding good or inspection history. Similarly, (e) Multiple occurrences. The purpose comprehensive corrective action. if mitigation based on this factor is not of this factoris to reflect the added a
immediate corrective action was not normally appropriate where the area of significance resulting from multiple l
taken to restore safety and compliance concern has not been previously occurrences of the violation.Therefore,
-.
t once th: violation was identified.
mspected, unless overall performance is the base civil penalty shown in Tables mitigation of the civil penalty based on good.
1A and 1B may be escalated by as much i
this factor will not normally be (d) Prior opportunity to identify. The as 100% where multiple examples of a considered and escalation may be purpose of this factor is to encourage particular violation are identified during considered to address the licensee's licensees to take effective action in the inspection period. Escalation of the failure.
response to opportunities to identify or civil penalty based on this factor will (c) Licensee performance. The Pf8 Vent problems or violations.
normally be considered only when there purpose of this factor is to recognize and Therefore. the base civil penalty shown are multiple examples of Severity Level encourage good or improving licensee in Tables IA and 1B may be escalated 1.11, or til violations with the same root performance and to recognize and deter by as much as 100% for cases where the causes. Alternatively, separate civil poor or declining performance.
licensee should have identified the penalties may be imposed for each vi lati n a ner as a result of prior violation.
Therefore, the base civil penalty shown in Tables 1 A and 18 may be mitigated pportunities, such as (1) through
, (f) Durotion. The purpose of this factor by as much as 100% if the current n rmal surveillances, audits, or quality is to recogmze the added significance violation is an isolated failure that is assurance (QA) activities; (2) through associated with those violations (or the i
inconsistent with a licensee's prior notice i e., specific NRC or industry g mpact of those violations) that continue i
outstandmgly good pnor performance.
The base civil penalty may also be escalated by as much as 100% if the current violation is reflective of the licensee's poor or declining pnor performance. Neither mitigation nor escalation may be appropnate based on
!
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April 30,1997 2-88
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App. C(VI)
PART 2 RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ".
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or remain uncorrected for more than one The civil penalty adjustment factors normally the only ridjustment factors.
day. Therefore, whether or not a presented in paragraphs (a) through (f)
that will be considered to lower a base
licensee is aware or clearly should have are additive. However, in no instance civil penalty will be identification and I
been aware of a violation, the base civil wdl a civil penalty for any one violation corrective action factors. In addition as penalty shown in Tables 1 A and 1B may exceed $100.000 per day-provided in Section VII, " Exercise of be escalated by as much as 100% to Notwithstanding the application of the 3; Discretion." discretion may be exercised reflect the added technical and/or civil penalty adjustment factors. a civil E by either escalating or mitigating the regulatory significance resulting from the penalty will normally be proposed in an E amount of the civil penalty arrived at violation or the impact of it remaining
- amount of at least 50% of the base value y after applying the civil penalty uncorrected for more than one day. This e in Tables 1 A and IB for Seventy Level I adjustment factors to ensure that the factor should normally be applied in g and Il violations involving proposed civil penalty reflects the cases involving particularly safety overexposures, release of radioactive NRC's concern regarding the violation at s"
significant violations or where a material, or loss of radioactive material issue and that it conveys the appropriate significant regulatory message is to emphasize to the licensee the message to the licensee.
warranted. In lieu of escalating the civil seriousness with which the NRC views penalty based on this factor, the NRC these events and the importance of may impose daily civil penalties for conducting licensed activities in a violations that continue for more than manner to avoid these violations. In one day. (See Section VII.A.3. " Daily considering mitigation for these cases.
Civil Penalties.")
TABLE 1 A-BASE CIVIL PENALTIES Plant operations.
""'E0'
-
R constnction, health {
Safeguards Greater than Type A Type A quantity or e
physics and EP Quantty *
less '
,
$
i j
i e
a. Power reactors.
......
$100.000 i
$100.000 I
$100.000 l
$5.000 b. Test reactors
_
10,c90 ;
10.C00 10,000 l 2.000 c. Research reactors and cnecal facihties...
.
K0001 5.000 5.000 1.000 d. Fuel tauncators and mdustnal processorsa _-
., i 25,000 i 100.000 25.000 5.000 e Mans and Uraruum conversson facihtes.
t industnal users of matenals '. and contractors and vendors-......
10.000 s
-
5.000 2.0c0 10.000 1
-
5.000 1 2.000
g. Wante esposal hconsees
_...
-....-...l 10.000 i
-
5.000 2.000 h Academc or medical msutubons 8 5.000 1
-
2,500 1.000 6. Independent spent fuel and morwtored retnevable storage estalla. I l
'
bons...
!
25.000 1 100.000 25.000 5.000 Other matenal hcensees
{
1.000 t
-
2.500 l 1.000
- Includes trasated fuel, hegn level weste, urwrs&ated fisssie matenal, ar.d any other quancties reoumng Type B packagmg 8 includes low sD00 tic actMty wasia (LSA). low level waste. TyDe A Deckages, and excepted Quantities and arbClos 8 Large firms engaged m manufactunng or $stnbubon of Dyprovuct. source or special nuclear matenal.
- Thee amount refers to Category I hcensees las defmed sri 10 CFH 73 21. Leerised fust fabncators not authonrad to possess Category 1 matenal have a base pennety amount of $50.000
- includes mdustnal ra$ograpners, nucasar pharmacies and other edustnal users
- This soones to nonpmtit institutions not otherese categonied under seccons "a" tnrougn "g" m tnis tabie and moc.ie nuciear services.
l TABLE 1 B-BASE CIVIL PENALTIES
{ Base Cevil Penarty Amount S***"'Y l"
(Percent of amount hated m Tatxe 1 A)
1..
.I 100
'
11...
lli.
.. '
IV..
.,
249 April 30,1992
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PART 2 RULES OF PRACTICE FOR DOMEb71C LICENSING PROCEEDINGS -
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C Orders comply with requirements where such for not taking the action as proposed, failure is not willful and adequate the licensee will ordinarily be afforded An order is a wntten NRC directive to corrective action has been icken.
an opportunity to show why the order
modify. suspend. or revoke a license; to (3) Revocation Orders may be used:
should not be issued in the proposed
'
cease and desist from a given practice (a) When a licensee is unable or manner by way of a Demand for or activity; or to take such other action unwilling to comply with NRC Information. (See 10 CFR 2.204)
as may be proper Isee 10 CFR 2.202).
requirements:
Orders may also be issued in lieu of or (b) When a licensee refuses to correct D. RelatedAdmm.. trative Actions is in addition to, civil penalties, as a violation:
In addition to the formal enforcement
,
appropriate for Severity Level 1. !!. or 111 (c) When licensee does not respond to mechanisms of Notices of Violation, violations. Orders may be issued as a Notice of Violation where a response civil penalties, and orders, the NRC also
'
i follows:
was required; uses administrative mechanisms, such (1) License Modification orders are (d) When a licensee refuses to pay an as Notices of Deviation, Notices of t
l issued when some change in licensee applicable fee under the Commission's Nonconformance. Confirmatory Action
.
I equipment. procedures. personnel, or regulations: or Letters. letters of reprimand, and management controls is necessary.
(e) For any other reason for which Demands for Information to supplement (2) Suspension Orders may be used:
revocation is authonzed under section its enforcement program.The NRC (al To remove a threat to the public 186 of the Atomic Energy Act (e.g., any expects licensees and vendora to adhere health and safety, common defense and condition which would warrant refusal g
to any obligations and commitments g secunty, or the environment; of a license on an onginal application).
resulting from theseprocesses and will j
g (b) To stop facility construction when.
(4) Cease and Desist Orders may be not hesitate to issue appropriate orders
'
(il Further u ork could preclude or used to stop an unauthorized activity to ensure that these obligations and s
significantly hinder the identification or that has continued after notification by a
,
commitments are met.
correction of an improperly constructed NRC that the activity is unauthorized.
g (1) Notices of Deviation are written i
safety.related system or component: or g (51 Orders to unlicensed persons.
m
~
(ii) The licensee's quahty assurance
- includmg vendors and contractors, and E notices describing a licensee.e failure,to satisfy a commitment where the program implementation is not adequate * employees of any of them are used g e mmitment mvolved has not been to provide confidence that construction S when the NRC has identified deliberate activities are bemg properly carned out; misconduct that may cause a licensee to made a legally binding requirement. A Notice of Deviation reouests a licensee (c) When the licensee has not be in violation of an NRC requirement or responded adequately to other where incomplete or inaccurate to provide a written explanation or enforcement action:
information ts deliberately submitted or statement describing corrective steps (dl when the licensee interferes with where the NRC loses its reasonable taken (or planned), the results achieved, the conduct of an mspection or assurance that the licensee will meet and the date when corrective action will
,
mvestigation: or NRC requirements with that person be completed.
)
(e) For any reason not mentioned nvolved in licensed activities.
(2) Notices of Nonconformance are above for which license revocation is Unless a separate response is written notices describing vendor's
-
j legally authonzed, warranted pursuant to 10 CFR 2.201, a failures to meet commitments which Suspensions may apply to all or part Notice of Violation need not be issued have not been made legally binding of the lit.ensed activity. Ord nanly. a where an order is based on violations requirements by NRC. An example is a licensed activity is not suspended inor is desenbed m the order. The violations commitment made in a procurement j
a suspension prolongedl for failure to described in an order need not be contract with a licensee as required by categonzed by severity level.
10 CFR part 50, appendix D. Notices of Orders are made effective Noncor.formances request non licensees immediately. without prior opportunity to provide written explanations or for heanng, whenever it is determined statements descnbing corrective steps that the public health, interest, or safety (taken or planned), the results achieved, so requires. or when the order is the dates when corrective actions will responding to a vmlation involving be completed, and measures taken to j
l willfulness. Otherwise, a pnor preclude recurrence.
l opportunity for a heanng on the order is (3) Confirmatory Action Letters
!
afforded. For cases in which the NRC (CALs) cre letters confirming a j
beheve a basis could reasonably exist licensee e or vendor's agreement to take l
l l
,
i l
!
l April 30,1992 2 90
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PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...
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certam actions to remove significant to be of significant regulatory concern. If adjusted civil penalty to ensure that the concerns about health and safety.
the application of the normal guidance proposed civil penalty reflects the safeguards. or the environment.
in this policy does not provide an NRC's concern regarding the violation at (4) Letters of reprimand are letters appropriate sanction, or if particularly issue and that it conveys the appropriate addressed to individuals subject to serious violations occur, such as in message to the licensee. In addition to Commission junsdiction identifying a cases involving wdlfulness, repeated the approval of the appropriate Deputy significant deficiency in their poor performance in an area of concern.
Executive Director, consultation with performance of licensed activities.
or serious breakdowns m management the Commission is required if the (5) Demands for information are controls, the NRC may apply its full deviation in the amount of the civil demands for information from licensees enforcement authority wheie the action penalty proposed under this discretion or other persons for the purpose of is warranted. NRC action may mclude from the amount of the civil penalty enabhng NRC to determine whether an (1) escalatmg civil penalties. (2) issuing assessed under the normal process is order or other enforcement action appropriate orders, and (3) assessing E more than two times the base civil should be issued.
g civil penalties for contmumg violations y penalty shown in Tables 1A and 1B.
n a per day basis, up to the statutory VII. Exercise of Discretion n
(2) Orders. The NRC will, where C li
Notwithstanding the normal guidance $ mit of $100.000 per violation per day.
(1) Civi/peno/ ties. Notwithstanding necessary inwes oders in coNudon contained in this policy, the NRC may choose to exercise discretion and either the outcome of the normal civil penalty with civil penalties to achieve or escalate or mitigate enforcement assessment process (i e. base civil f rmalize corrective actions and to deter sanctions within the Commission s penalty adjusted based on application of further recurrence of serious violations.
.
- statutory authority to ensure that the the civd penalty adjustment factors Examples of enforcement actions that 3 resulting enforcement action addressed in Section VI.B), with the could be taken for simdar Severity Level e appropnately reflects the level of NRC APP
'
h 8pprop 1.11. or ill violations are set forth in E c e
9,, d ons 1 in Table 2. The actual progression to be g concern regarding the violation at issue and onveys the appropriate message t w th the EDO as warranted the NRC used in a particular case will depend on may exercise discretion by either the circumstances. Enforcement proposing a civil penalty where sanctions will normally escalate for A. Escalation of Enfomement Sanctions application of the factors would recurring similar violations.
The NRC considers violations otherwise result in zero penalty or by categonzed at Seventy Levell. II. or !!!
further escalatmg the amount of the TABLE 2 -EXAMPLES CF PROGRESSION OF ESCALATED ENFORCEMENT ACTIONS FOR SIMUR VIOt ATIONS IN TH AREA UNDER THE SAME LICENEE
' Number of semilar vioishone from the date of the Sev.nty of voanon
, last enspection or ethin the previou.s two years l
t.nienev, penod. g,.ai i f
t ot i
2nd l
3rd f...
. -....
n+C a+b+c d
11 m.
_ _. -
J a
s+b+Ci a+b+c
,
lil.
a 4+Ci 4+b Noter a. Cml penetty b Suspensen of attacted coernoone untd the Office Dweetor is sausted that there is reasonat9e assurance tnat the hcensee can operate ri compnance eth th sophCab6e roQurements. Dr modrhCaDon of the hConse, as apprognate c. Cons.oer esunng an order for modification, suspens.on or d Furner action, as appropnete revocabon of the hcense, as appropnete. througn use of a Demand for informahon 2 91 April 30,1992
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A'iMI)
PART 2 o RULES OF PRAL.CE FOR DOMESTIC LICENSING PROCEEDINGS -
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I (3) Daily cm/ penalties. In order to (b) It was or will be corrected within a (3) Violations identified During recognize the added technical safety reasonable time, by specific corrective Extended Shutdowns or Work significance or regulatory significance action committed to by the hcensee by Stoppages. The NRC may refrain from
,
for those cases where a very stroeg the end of the inspection. including issuing a Notice of Violation or a message is warranted for a significant immediate corrective action and proposed civil penalty for a violation
violation that continues for more than comprehensive corrective action to that is identified after (i) the NRC has one day, the NRC may exercise prevent recurrence:
taken significant enforcement action discretion and assess a separate (c)It was not a willful viciation.
based upon a major safety event
,
violation and attendant civil penalty up (2) Licensee identified Severity Level contributing to an extended shutdown of IV and V \\ iolations. The NRC may an operating reactor or a material to the statutory limit of $100.000 for each refra n fr m issuing a Notice of licensee (or a work stoppage at a day the violation continues. The NRC Violation for a Severity LevelIV or V construction site), or (ii) the licensee
may exercise this discretion if a licensee v olation that is documented in an enters an extended shutdown or work
.
,
was aware or clearly should have been inspection report (or official field notes stoppage related to generally poor
"
,
J aware of a violation. or if the hcensee for some material cases) provided that performance over a long period of time.
had an opportunity to identify and the inspection report includes a brief provided that the violation is correct the violation but failed to do so.
descnption of the corrective action and documented in an inspection report (or that the violation meets all of the official field notes for some material following criteria:
cases) and that it meets all of the
?
B. Mitigation of Enforcement Sanctions (a) It was identified by the licensee, following criteria:
including as a result of a self-disclosing (a) It was either licensee identified as
,
Because the NFC wants to encourage event; a result of a comprehensive program for and support licensee initiative for self (b)It was not a violation that could problem identification and correction identification and correction of reasonably be expected to have been that was developed in response to the problems, the NRC may exercise prevented by the licensee's corrective shutdown or identified as a result of an discretion and refrain from issuing a action for a previous violation or a employee allegation to the licensee: (if
. civil penalty and/or issuing a Notice of previous licensee finding that occurred the NRC identifies the violation and all R Violation under certain circumstances.
within the past two years of the of the other criteria are met, the NRC
$ in addition, while the NRC may exercise inspection at issue, or the period within should determine whether enforcement R this discretion for tiolations meeting the the last two inspections. whichever is action is necessary to achieve remedial required criteria where the licensee longer:
action, or if discretion may still be a
.
,
failed to make a required report to the 3 (c)It was or will be corrected within a R appropnate.)
NRC, a separate enforcement action will e reasonable time, by specific corrective $ (b)It is based upon activities of the normally be issued for the hcensee's E action committed to by the licensee by : licensee prior to the events leading to failure to make a required report. The
, Jhe end of the inspection, including the shutdown:
a immediate corrective action and (c)It would not be categonzed at a circumstances under which this c mprehensive corrective action to severity level higher than Severity Level -
discretion may be exercised are as prevent recun ence:
II:
I 11 0 * 8 (d) It was not a willful violation or if it (d) It was not willfuh and was a willful violation; (e) The licensee's decision to restart (i) The information concerning the the plant requires NRC concurrence.
(1) Seventy Level V Violations. The violation. if not required to be reported.
(4) Violations involving Old Design NRC may refrain from issumg a Notice was promptly provided to appropriate Issues. The NRC may refrain from of Violation for a Seventy Level V NRC personnel, such as a resident proposing a civil penalty for a Seventy
~
violation that is documented in an inspector or regional section or bnnch Level 11 or 111 violation mvolving a past chief; mapection report (or official field notes problem, such as m engineenng. design, (ii) The violation involved the acts of or matallation. provided that the for some material cases) provided that the inspection report includes a brief 8 I * I*I !".dividual (and not a violation is documented in an inspection licensee official as defined in Section report (or official field notes for some lescnption of the corrective action and IV.Ch material ccses that includes a that the violation meets all of the (iii) The violation appears to be the desenption of the corrective action and followmg cnteria:
isolated action of the employee without that it meets all of the following cntena:
(a)It was not a violation that coulo management involvement and the (a)It was a licensee identified as a
~
reasonably be expected to have been violation was not caused by lack of result of a heensee's volunta y formal prevented by the licensee's corrective management oversight as evidenced by initiative, such as a Safety System action for a previous siolation or a either a history of isolated willful Functional inspection. Design previous licensee finding that occurred violanons or a lack of adequate audits Reconstitution Program, or other within the past two years of the or supervision of employees; and program that has a defined scope and inspection at issue. or the pened within (iv) Significant remedial action timetable and is being aggressneh the last two mspections. whichever is commensurate with the circumstances implemented; longer:
was taken by the licensee such that it (b) It was or will be corrected.
demonstrated the seriousness of the includmg immediate corrective action violation to other employees and and long term comprehemove correuuve contractors. thereby creatmg a deterrent action to prevent recurrence. within a effect within the licensee's organization.
reasonable time followmg identificanon While removal of the employee from (this action should involve expanding i
licensed actn mes is rot necessanly the initiative, as necessary, ta idenufv required. substantial disciplmary action other failures caused by simuar roc,:
is expected.
ca uses): and April 30,1992 2-92
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PART k e RULES OF PRACTICE FOR DOMESTIC LICENSING PnOCZEDINGS...
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(c) It was not likely to be identified performance of the licensee, and other does not provide a safety benefit or may,in
.
(after the violation occurred) by routine relevant circumstances, including any fact. be detrimental to safety in the particular licensee efforts such as normal
- that may have changed since the plant condition. Exercising enforcement
'
surveillance or quality assurance (QA)
% violation provided prior notice has,been jl2'yll}Ig tsjt Qs t a to a
,
,,
activities.
g given the Commission.This discretton is plant. as simply delaying startup does not in addition. the NRC may refrain from g expected to be exercised only where usually leave the plant in a condition in issuing a Notice of Violation for cases application of the normal guidance in which it could experience undesirsble
that meet the above criteria provided the policy is unwarranted.
transients. In such cases, the Commission
,
would expect ht discretion would be
'
the violation was caused by conduct
_
- 'cised with respect to equipment or that is not reasonably linked to present
-
systems only when it has at least concluded performance (no:mally, violations that that. notwithstanding the conditions of the are at least three years old or violations C Enerrise efDiacretion for an Operating license: (1)'Its equipment or system does occurring during plant construction) and racihry not perform a ufety function in the mode in there had not been prior notice so that p*on occasion, circumstances may arise which operation is to occurt (2) the safety sre a licenne's campliance with a function performed by the equipment or j
the licerisee should have reasonably identified the violation earlier. This b Mcal Specincation (TS) 1.imiting aystem is of only marginal ufety benefit, exercise of discretion is to place a
," O hr vided
"
- ' * "
b t mode g
n premium on licensees initiating efforts to plant transient or perbemance of testing, plant transient; or 01 b TS or ohr I nu
'
identify and correct subtle violations inspection. or system realignment that is that are not likely to be identified by inappropriate with the specific plant
%,e condition requires a test. inspection or system realignment that is inappropriate for routine efforts before degraded safety conditions.or unnemssary delays in plant o' the particular plant conditions. 2 that it does systems are called upon to work.
startup without a corrwponding health and l'
not provide a esfety benmot, or may, in fact.
'
(5) Violations identified Due to safety beneSt. In these circumstances, b
$ be detrimental to salsty in the particular Previous Escalated Enforcement Action.
NRC stan may chmee not to enforce the plant condition.
"
The NRC may refrain from issuing a
'?
Yon"w 1y$
The to exercise e at
'
3h en rcem at d g
Notice of Violation or a proposed civil exercised if b NRC staff is clearly satisSed violation will occur oss it imply that penalty for a violation that is identified ht h action is consistent with protecting enforcement discretion is be exercised for after the NRC has taken escalated the public health and safety. A licensee any violation that may have to the j
enforcement action for a Severity Level seeking the exercise of enforcement violation at leeue. In each case where the 11 or 111 violation, provided that the d'scntion must provide a written NRC staff has ehn=== to exercise enforcement violation is documented in an inspection
$8 discretion, enforcement action will normally
u dI l
be taken for the root causes. to the extent I
o, report (or official field notes for some
. soon as possible by written justincation violations were involved, that led to the
-
'
% material cases) that includes a R which dnmmants the safety basis for the'
noncompliance for which enforcement g description of the corrective action and :t request and provides whatever other
.
discretion was used. The enforcement action s that it meets all of the following cnteria: g information b NRC staff deems necessary in is intended to emphasize that licensees making a declaion on whether or not to should not rely on the NRC's authority to
(a) It was a licensee identified as part e
of the corrective action for the previous di' *t{d h e a
- ' '
exercise enf reement discretion as a routine g
escalated enforcement action:
his des 4 nee, may exercise discretion where fubstitute for mrnpliance or for requesting a (b) It has the same or similar root the noncompliance is temporary and g"nall it ed that the NRC staff cause as the violation for which nonrocurnna when an amendment is not will exercise enfercement disastion in this escalated enforcement action was practical. The Director. Office of Nuclear issued:
Reactor Regulation, or his designee. rosy area infrequently. Although a plant must shut down, refueling activities may be suspended.
exercise dis stion if the expected or plant startup may be delayed, absent the (c) It does not substantially change the safety significance or the character n nc mphance will ocur during the brief exerciso of entorcement discretion, the NRC p
of time u requins the NRC stan to staff is under no obligation to take such e of the regulatory concern arising out of
,,
prouss an emergency or exigent license step merely becaum et has been requestod the initial vio ation; and amendment under b provisions of 10 CFR The decision to forego enforcement it (d)It was or will be corrected.
50.91(a)(5) or (6). The person exercising disastionary. Where enforcement discretion i
including immediate corrective action enfortement discretion will document the is to be exercised. it is to be exercised only and long term comprehensive corrective decision-if the NRC staff is clearly satisfied that such action to prevent recurrence, within a For an operating plant, this exerciso of action is warranted from a health and safety reasonable time following identification, enf rcement discretion is intended to perspective.
(6) Violations involving Special rnm m ze the potenual safety consequences of unnecessary plant transients with the
,,,,,
Circumstances. Notwithstanding the accompanying operational risks and impacts outcome of the normal civil penalty or to elim:nate testing, inspection, or system assessment process (i.e.. base civil realignment which is inappropnate for the penalty adjusted based on apphcation of particular plant conditions. For plants in a the civil penalty adjustment factors shutdown condition, exercising enforcement addressed in Section VI Bl. as provided discretica is intended to reduce shutdown ns again. sv iding testing. inspectin or in Section III. " Responsibilities. the system realignment which is inappropnate appropriate Deputy Executive Director for the particular plant conditions. in that. it may reduce or refrain from issuma a civil penalty or a Notice of Violation for a Seventy Level!! or til violation based
,
on the merits of the case after considering the guidance in this statement of policy and such facton, as the age of the violation. the safety significance of the violation. the overall
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App. C(VIII)
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App. C(VIII)
PART 2 o RULt.u OF PRACTICE FOR DOMESTIC LICENSING PROCEEDWs/
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- Inadvertently missing an
- Dereliction of duty.
- Falsifying records required by NRC insignificant procedural requirement
'
when the action is routine, fairly regulations or by the facility license.
uncomplicated, and there is no unusual
- Willfully providing, or causing a circumstance indicating that the licensee to provide, an NRC inspector or procedures should be referred to and investigator with inaccurate or followed step-by-step.
incomplete information on a matter
'
- Compliance with an express material to the NRC.
. * Willfully withholding safety
'
direction of management, such as the
'
Shift Supervisor or Plant Manager, significant information rather than resulted in a violation unless the making such information known to j
-
individual did not express his or her appropriate supervisory or technical
'
VI. fo ement Actions involving concern or objection to the direction.
personnel in the licensee's organization.
- Individual error directly resulting
- Submitting false information and as from following the technical advice of a result gaining unescorted access to a -
Enforcement actions involving an expert unless the advise was clearly nuclear power plant.
individuals, including licensed unreasonable and the licensed
- Willfully providing false data to a
-
operators, are significant personnel individual should have recognized it as $ licensee by a contractor or other person -
actions, which will be closely controlled such.
cc who provides test or other services, and judiciously applied. An enforcement
- Violations resulting from R when the data affects the licensee's action involving an individual will inadequate procedures unless the
- compliance with 10 CFR part 50, normally be taken only when the NRC is individual used a faulty procedure appendix B, or other regulatory satisfied that the individual fully knowing it was faulty and had not requirement.
understood, or should have understood, attempted to get the procedure
- Willfully providing false his or her responsibility; knew, or should corrected.
certification that components meet the l
have known, the required actions; and Listed below are examples of requirements of their intended use, such.
-
!
knowmgly or with careless disregard R situations which could result in as ASME Code.
(i.e., with more than mere negligence)
E enforcement actions involving
- Willfully supplying. by vendors of-failed to take required actions which
- individuals. licensed or unlicensed. If equipment fcr transportation of
, have actual or potential safety 3 the actions described in these examples radioactive riaterial. casks that do not
g significance.Most transgressions of are taken by a licensed operator or comply with their certificates of
~
o mdividuals at the level of Severity Level taken deliberately by an unlicensed compliancs.
,
m 111. IV or V violations will be handled individual enforcement action may be
- Willfully performing unauthorized a by citing only the facility licensee-taken directly against the individual.
bypassing of required reactor or other More senous violations, includin8 Ilowever, violations involving willful facility safety systems, those mvolving the integrity of an conduct not amounting to deliberate
-
mdividual (e.g., lying to the NRC)
action by an unlicensed individual in concernmg matters within the scope of these situations n ay result in the mdividual's responsibilities, will be enforcement action against a licensee
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considered for enforcement action that may impact an individual The M
,
against the individual as well as against situations include. but are not limited to.
. Willfully taking actions that violate
the facility licensee. Action against the violations that involve:
Technical Specification Limiting Conditions
'
mdividual, however, will not be taken if
. Willfully causing a licensee to be in im Operatin or o&er license condities the improper action by the individual violation of NRC requirements.
g (wul not be taken if eat violation is se msuh uforcement action for a willful violation was caused by management failures.
. Willfully taking action that would
o taken i Howin g t f mgo af reemet f ee NRC's decision The following examples of situations have caused a licensee to be in violation 'e e echnical -
ihu ide this concept:
of NRC re uirements but the action did
- Specification or other ILeense condition or if
- Inadytetant individual mistakes not do so because it was detected and l
resulting from inadequate training or the operator meets the requinments of 10
"""
n-CR m (xL 1.e, unlose 2e ope stor acted guidance provided by the facility
. Recognizing a violation of unrossomebly considering all the relevant i
- icensee.
,
l procedural requirements and willfully circumstances surmunding the emergencyJ
)
i not taking corrective action.
- Willfully defeating alarms which
~
have safety significance.
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l
- (Jnauthorized abandoning of reactor controls.
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a App.C(VIII) PART 2 o RULES OF i RACTICE FOR DOMESTIC LICENSING PROCEEDING 3...
App.C(VIII)
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5.The degree of supervision of the Examples of sanctions that may be
'
In decidmg whether to issue an individual i.e., how closely is the appropriate against iridividuals are:
.
!
enforcement action to an unlicensed individual monitored or audited, and the
- Issuance of a letter of reprimand,
]
person rather than to the licensee, the likelihood of detection (such as a Issuance of a Notice of Violation, a
j NRC recognizes that judgments will radiographer working independently in and
have to be inade on a case by case the field as contratited with a team
- Issuance of Orders.
basis. In making these decisions. the -
activity at a power plant).
Orders to NRC-licensed reactor
!
NRC will consider factors such as the 6. The employer's response, e.g.,
operators may involve suspension for a
i
@ following:
disciplinary action taken.
specified period, modification, or lj 5 the organization.
admission of wrongdoing, acceptance of Orders to unlicensed individuals might 1. The level of the individual within 7. The attitude of the wrongdoer, e.g.,
revocation of theirindividuallicenses.
=
'
Gi 2. The individual's training and responsibility, inc'ude provisions that would:
experience as well as knowledge of tho 8. The degree of management
- ik.hibit involvement in NRC
potential consequences of the responsibility or culpability, licensed activities for a specified period wrongdoing.
9. Who identified the misconduct.
of time (normally the period of
.
3.The safety consequences of the
[ Any proposed enforcement action suspension would not exceed five years)
misconduct.
e involving individuals must be issued or until certain conditions are satisfied,
-
t The benefit to the wrongdoer, e.g.,
R with the concurrence of the appropriate e.g., completing specified training or l personal or corporate gain.
- Deputy Executive Director.The meeting certain qualifications.
I Commission will be consulted prior to a Require notification to the NRC issuing a civil renalty or order to an before resuming work in licensed unlicensed individual or a civil penalty activities.
to a licensed reactor operator. Prior
- Require the person to tell a notice will be given to the Commission Prospective employer or customer on Notices of Violation without civil engaged in licensed activities that the penalties that are issued to unlicensed person has been subject to an NRC
-
individuals and enforcement actions order.
taken against other unlicensed persons, in the case of a licensed operator's i
such as corporations or partnerships.
failure to meet applicable fitness-for-The particular sanction to be used P duty requirements (10 CFR 55.53(J)), the should be determined on a case-by. case * NRC may issue a Notice of Violation or ba sis.
g a civil penalty to the Part 55 licensee, or an order to suspend, modify, or revoke m
the Part 55 license. These actions may be taken the first time a licensed operator fails a drug or alcohol test, that is, receives a confirmed positive test that exceeds the cutofflevels of10 CFR
.
part 26 or the facility licensee's cutoff levels, if lower. However, normally only a Notice of Violation will be issued for
'
the first confirmed positive test in the chsence Of aggravating Circumstances sucn as errors in the performance of licensed duties or evidence of prolonged use, in addition, the NRC intends to lasue an order to suspend the Part 55 license for up to three years the second time a licensed operator exceeds those cutoff levels. In the event there are less than three years remaining in the term of the individual's license, the NRC may consider not renewing the individual's license or not issuing a new license after the three year period is completed. The NRC intends to issue an order to revoke the Part 55 license the third time a licensed operator exceeds those cutoff levels. A licensed operator or applicant who refuses to participate in the drug
- Except for mdividuals subiect to civ61 penalhes and alcohol testing programs under section 20s of the Enerity Reoritanization Act -
established by the facility licensee or of 1974 as amended. NRC will not normally impose a civil penalty agamst sa mdividual. However.
sechon 234 of the Alomic Energy Act t AEAl gives the Commission authonly to impose civJ penalhes on "any person." ' Person" is broadly defined in Section 11s of the AEA to include individuala, a venety of orgamzatsons, and any representatives e agenis Tbs Rives ene Communion authonty to impose civil penalties on employees of licensees or on separate entit es when a violation of a requirement directly imposed on them is committed.
OM Sseeah 831 4o083 ten.nst
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P/RP2 o RULES OF PRACTICE FOR DOMESTIC LICENSINC F90CEEDINGS...
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who is involved in the sale, use. or to such factors as (1) the degree of information became available or the
.
possession of an illegal drug is also knowledge that the communicator advancement in technology was made.
subject to license suspension.
should have had, regarding the matter.
the initial submittal was corrected.
revocation, or denial.
in view of his or her position. training.
The failure to correct inaccurate or in addition, the NRC may take and experience. (2) the opportunity and incomplete information which the enforcement action against a licensee time available prior to the licensee does not identify as significant that may impact an individual, where cammunication to assure the accuracy normally will not constitute a separate the conduct of the individual places in or completeness of the information. (3)
violation. However, the circumstances question the NRC's reasonable the degree of intent or negligence, if any, surrounding the failure to correct may assurance that licensed activities will be involved. (4) the formality of the be considered relevant to the properly conducted. The NRC may take communication. (5) the reasonableness determination of enforcement action for enforcement action for reasons that of NRC reliance on the information. (6)
the initial inaccurate or incomplete would warrant refusal to issue a license the importance of the information which statement. For example an on an original application. Accordingly.
was wrong or not provided, and (7) the unintentionally inaccurate or incomplete appropriate enforcement actions may be reasonableness of the explanation for submission may be treated as a more taken regarding matters that raise issues not providing complete and accv ate severe matterif thelicenseelater of integrity. competence, fitness for duty, information.
E determines that the initial submittal was 2 in err r and does not correct it or if or other matters that may not Absent at least careless disregard, an necessarily be a violation of specific incomplete or inaccurate unsworn oral E there were clear opportunities to Commission requirements.
statement normally will not be subject g identify the error. Ifinformation not In the case of an unlicensed person, to enforcement action unless it involves corrected was recrgnized by a licensee whether a firm or an individual, an order s gnificant information provided by a as significant, a separate citation may modifying the facility license may be licensee official. liowever, enforcement be made for the failure to provide significant information. In any event. in issued to require (1) the removal of the action may be taken for an person from alllicensed activities for a sen us cases where the licensee s unintentionally incomplete or inaccurate specified period of time or indef' itely, oral statement provided to the NRC by a m
actions is not correcting or providing (2) pnor notice to the NRC before mf rmation raise questions about its
.
I censee official or others on behalf of a utilizing the person m licensed activities, commitment to safety or its fundamental licensee,if a record was made of the or (3) the licensee to provide notice of trustw rthiness, the Commission may the issuance or such an order to other oralinformation and provided to the
" *
""
Y'
I'*""
'#'
g persons involved in licensed activities licensee thereby permitting an m difying. suspending, or revoking the
- opportunity to correct the oral g making reference inquiries. In addition. R information, such as if a transcript of the enf reement determinations must be license.The Commission recognizes that g orders to employers might require E communication or meeting summary made on a case-by-case basis, taking retrammg. additional oversight, or u.
- independent verification of activities g containing the error was made available into consideration the issues described t the licensee and was not performed by the person,if the person is in this section.
to be involved in licensed activities.
subsequently corrected in a timely manner.
IX. Inaccurate and Incomplete When a licensee has corrected Information inaccurate or incomplete information.
A violation of the regulations the decision to issue a Notice of involvmg submittal of incomplete and/
Violation for the initial inaccurate or or inaccurate information. whether or incomplete information normally will be not considered a material false dependent on the circumstances.
statement, can result in the full ranse of including the ease of detection of the enforcement sanctions. The labelini of a error, the timeliness of the correction.
communication failure as a material whether the NRC or the licensee false statement will be made on a case-identified the problem with the by-case basis and will be reserved for communication, and whether the PRC egregious violations. Violations relied on the information prior to f ne involving inaccurate or incomplete correction. Generally,if the matter was information or the failure to provide promptly identified and corrected by the significant information identified by a licensee prior to reliance by the NRC or licensee normally will be categorized before the NRC raised a question about based on the guidance herein. in Section the information. no enforcement action IV " Severity of Violations " and in will be taken for the initial inaccurate or Supplement VII.
incomplete information. On the other The Commission recognizes that oral hand, if the misinformation is identified information may in some situations be aftee the NRC relies on it, or after some inherently less reliable than wntten question is raised regarding the submittals because of the absence of an accuracy of the information. then some opportunity for reflection and enforcement action normally will be management review. However, the taken even if it is in fact corrected.
Commissian must be able to rely on oral However,if the initial submittal was communications from licensee officials accurate when made but later turns out concerning significant information.
to be erroneous because of newly Therefore. in determining whether to discovered information or advance in take enforcement action for an oral technology, a cite. tion normally would statement, consideration may be given not be appropriata if, when the new March 31,1993 (reset)
240
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1b PART 2 o RULES OF PRACTICF K OMESTIC LICENSING PROCEEDINGS...
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X. Enforcement Action Against Non-XI. Referrals to the iepartment of Supplement I-Reactor Operations r
Licensees justice This supplement provides examples of The Commission's enforcement pclicy Alleged or uspected criminal violations in each of the five severity is also applicable to non-licensees, violations of the Atomic Energy Act levels as guidance in determining the including employees of licensees, to (and of o'.ner relevant Federallaws) are appropriate severity level for violations contractors and subcontractors, and to referred to the Department of lustice in the area of reactor operations.
employees of contractors and (DOj) for investigation. Referral to the A. Severity Leve//-Violations subcontractors, who knowingly provide DOJ does not preclude the NRC from involving for example:
components, equipment, or other goods taking other enforcement action under 1. A Safety Limit, as defined in 10 CFR or services that relate to a licensee's this policy. However, enforcement 50.36 and the Technical Specifications activities subject to NRC regulation. The actions will be coordinated with the being exceeded; prohibitions and sanctions for any of DOJ in accordance with the 2. A system 8 designed to prevent or these persons who engage in deliberate Memorandum of Understanding mitigate a serious safety event not being misconduct or submission of incomplete between the NRC and the DOJ 53 FR able to perform its intended safety or inaccurate information are provided 50317 (December 14.1988)-
function 80 when actually called upon to in the rule on deliberate misconduct.
e g.10 CFR 30.10 and 50.5.
XII. Public Disclosure of Enforcement work:
,
Vendors of products or services Acti0"8 3. An accidental criticality; or provided for use in nuclear activities are Enforcement actions and licensees, 4. A licensed operator at the controls
,
subject to certain requirements designed responses, in accordance with 10 CFR of a nuclear reactor, or a senior operator to ensure that the products or services 2.790, are publicly available for directing licensed activities, involved in supplied that could affect safety are of inspection. In addition, press releases rocedural errors which result in, or g
high quahty. Through procurement g are generally issued for orders and civil exacerbate the consequences of, an alert i
contracts with reactor licensees, cc penalties and are issued at the same or higher level emergency and who, as a vendors may be required to have quality & time the order or proposed imposition of { result of subsequent testmg. receives a
-
assurance programs that meet
- the civil penalty is issued. In addition, confirmed positive test result for drugs Ei applicable requirements including 10 press releases are usually issued when a $ r akoM E CFR part 50. appendix B. and 10 CFR proposed civil penalty is withdrawn or y
B. Severity Leve/ //-Vi lations E part 71. subpart H. Vendors supplying substantially mitigated by some amount.
inv lying f r example:
- products or services to reactor.
Press releases are not normally issued 1. A system designed to prevent or materials, and 10 CFR part 71 licensees for Notices of Violation that are not mitigate serious safety events not being are subject to the requirements of to accompanied by orders or proposed civil able to perform its intended safety CFR part 21 regarding reporting of penalties.
function:
defects in basic components.
2. A licensed operator involved in the When inspections determine that XIll. Reopening Closed Enforcement violations of NRC requirements have Act2ons use, sale, or possession of illegal drugs or the consumption of alcoholic occurred, or that vendors have failed to If significant new information is beverages, within the protected area: or fulfill contractual commitments (e.g.,10 received or obtained by NRC which 3. A licensed operator at the control of CFR part 50. appendix BJ that could indicates that an enforcement sanction a nuc! ear reactor, or a senior operator adversely affect the quality of a safety was incorrectly applied, consideration directing licensed activities, involved in significant product or service, may be given. dependent on the procedural errors and who,'as a result of enforcement action will be taken.
circumstances, to reopening a closed subsequent testing, receives a confirmed Notices of Violation and civil penalties enforcement action to increase or positive test result for drugs or alcohol.
will be used, as appropriate. for licensee decrease the severity of a sanction or to C. Severity Level ///-Violations failures to ensure that their vendors correct the record. Reoperung decisions involving for example:
have programs that meet applicable will be made on a case-by-case basis.
1. A significant failure to comply with requirements. Notices of Violation will be issued for vendors that violate 10 are expected to occur rarely, and require the Action Statement for a Technical the specific approval of the appropriate Specihcation Limiting Condition for CFR part 21. Civil penalties will be Deputy Executive Director.
Operation where the appropriate action imposed against individual directors or responsible officers of a vendor was not taken within the required time, such as:
organization who knowiagly and consciously fail to provide the notice (a)In a pressurized water reactor. in required by 10 CFR 21.21(b)(1). Notices the applicable modes, having one high-of Nonconformance will be used for vendors which fail to meet commitments related to NRC activities.
8 The term " system" as used m these supplements. mcludes admmistraine and managenal control systems. as well as physical systems 8'" Intended safety function" means the total safety function. and is not directed toward a loss ut redundancy A loss of one subsystem does not defeat the miended safety function as long as the other subsystem is operable 0.07 Marr h t1 100't (roeott
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App. C Supp.1 App C Supp. II PART 2 o RULES OF PRACTICE FOR DOMCYii.: LICENSING PROCEEDINGS m
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pressure safety miection pump D. Severity Leve/ /V-Violations Supplement II-Part 50 Facility inoperable for a penod in excess of that involving for example:
Construction allowed by the action statement: or 1. A less significant failure to comply This supplement provides examples of (b)In a boiling water reactor, one with the Action Statement for a violations in each of the five severity primary containment isolation valve Technical Specification Limitin8 levels as guidance in determining the inoperable for a period in excess of that Condition for Operation where the appropriate severity level for violations allowed by the action statement.
appropriate action was not taken within in the area of part 50 facility 2. A system designed to prevent or the required time, such as:
construction.
mitigate a serious safety event:
(a) In a pressurized water reactor, a A. Severity Levell-Violations (a) Not being able to perform its Sa5 deficiency in the required volume of involving structures or systems that are intended function under certain g the condensate storage tank: or completed " in such a manner that they conditions (e g., safety system not 2 (b) In a boiling water reactor. one would not have satisfied their intended operable unless offsite power is g subsystem of the two independent MSIV safety related purpose.
i available: materials or components not g leakage control subsystems inoperable:
B. Severity Leve/ //-Violations environmentally qualified): or 2. A failure to meet the requirements involving for example:
(b) Fleing degraded to the extent that a of 10 CFR 50.59 that does not result in a 1. A breakdown in the Quality detailed evaluation would be required to Severity Level I. II. or III violation:
Assurance (QA) program as exemplified determine its operability (e.g.,
3. A failure to meet regulatory by deficiencies in construction QA component parameters outside requirements that have more than minor related to more than one work activity approved limits such as pump flow safety or environmental significance: or (e.g., structural, piping, electrical, rates, heat exchanger transfer 4 A failure to make a required foundations). These deficiencies charactenstics, safety valve lift Licensee Event Report.
normally involve the licensee's failure to setpomts. or valve stroke times):
E Severity Level V-Violations that conduct adequate audits or to take
3. Inattentiveness to duty on the part have minor safety or environmental prompt corrective action on the basis of 5 oflicensed personnel:
significance.
{ such audits and normally involve E
4. Changes in reactor parameters that e multiple examples of deficient M cause unanticipated reductions in E construction or construction of unknown margins of safety:
3 quality due to inadequate program 5. A sigmficant failure to meet the implementation; or requirements of 10 CFR 50.59, including 2. A structure or system that is q
a failure such that a required license completed in such a manner that it could y
amendment was not sought; have an adverse effect on the safety of 6. A licensee failure to conduct P ations adequate oversight of vendors resulting mv Iving i r example:
.
in the use of products or services that are of defective or indeterminate quality 1. A deficiency in a licensee QA and that have safety significance:
Program for construction related to a 7. A breakdown in the control of smgle work activity (e.g., structural,,
licensed activities involving a number of pipmg, electrical or foundations). This violations that are related (or, if significant deficiency normally m, volves the licensee,a failure to conduct isolated, that are recur:ing violations)
that collectively represent a potentially adequate audits or to take prompt c rrective action on the basis of such sigmficant lack of attention or carelessness toward licensed audits, and normally mvolves multiple examples f deficient construction or responsibilities: or construction of unknown quality due to 8. A licensed operator's confirmed inadequate program implernentation:
positive test for drugs or alcohol that 2. A failure to confirm the design does not result in a Severity Levell or 11 safety requirements of a structure or violation.
system as a result of inadequate 9. Equipment failures caused by preoperational test program inadequate or improper mamtenance implementatirm: or
.
that substantially complicates recovery from a plant transient.
I
" The term ' completed" as used m this supplement means completion of construction mcludma review and acceptance by the construction QA argamzauon March 31,1993 (reset)
2-98
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
_-_ __
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l
~
App. C &pp. II App.C Supp. III.
PART 2 o RULES OF PRACTICE FOR DOMESYlC Lic.INSlNds PROCEEDINGS m
^
.
.
3 8. iailure to make a required to CFR C Severity Level /ll-Violations 8. A breakdown in the security 50.55(el report.
involving for example:
program involving a number of D. Severity Level /V-Violations 1. A failure or inability to control violations that are related (or,if involving failure to meet regulatory access through established systems or isolated, that are recurring violations)
requirements including one or more procedures, such that an unauthorized that collectively reflect a potentially Quality Assurance Criterion not individual (i.e not authorized significant lack of attention or amounting to Severity Level I.11. or 111 unescorted access to protected area)
carelessness toward licensed violations that have more than minor could easily gain undetected access is responsibilities.
safety or environmental significance.
into a vital area from outside the D. Severity Level 1V-Violations E. Severity Level V-Violations that protected area:
involving for example:
have minor safety or environmental 2. A failure to conduct afiy search at 1. A failure or inability to control significance.
the access control point or conducting access such that an unauthorized Supplement III-Safeguards an inadequate search that resulted in individual (i.e., authorized to protected the introduction to the protected area of area but not to vital area) could easily This supplement provides examples of firearms. explosives, or incendiary gain undetected access into a vital area violations in each of the five seventy devices and reasonable facsimiles from inside the protected area or into a levels as guidance in determining the thereof that could significantly assist controlled access area:
appropriate severity level for violations radiological sabotage or theft of 2. A failure to respond to a suspected in the area of safeguards.
strategic SNM:
event in either a timely manner or with A. Severity Leve/ /-Violations 3. A failure, degradation, or other an adequate response force:
involving for example:
deficiency of the protected area 3. A failure to implement to CFR parts 1. An act of radiological sabotage in intrusion detection or alarm assessment 25 and 95 with respect to the which the security system did not systems such that an unauthorized information addressed under section 142 function as required and, as a result of individual who represents a threat could of the Act. and the NRC approved g the failure, there was a significant event, g predictably circumvent the system or security plan relevant to those parts:
m such as:
3 defeat a specific zone with a high degree 4. A failure to make. maintain, or e (a) A Safety Limit. as defined in to g of confidence without insider provide log entries in accordance with
& CFR 50.36 and the Technical
~ knowledge, or other significant to CFR 73.71 (c) and (d) where the
- Specifications, was exceeded:
- degradation of overall system omitted information (i) is not otherwise (b) A system designed to prevent or capability:
E available la easily retrievable records, mitigate a serious safety event was not 4. A significant failure of the e and (ii) Anificantly contributes to the able to perform its intended safety safeguards systems designed or used to E ability of either the NRC or the licensee function when actually called upon to prevent or detect the theft. loss, or y to identify a programmatic breakdown; work: or diversion of strategic SNM; 5. A failure to conduct a proper search (c) An accidental criticality occurred:
5. A failure to protect or control at the access control poini 2.The theft, loss, or diversion of a claseified or safeguards information 6. A failure to properly c are or formula quantity '8 of special nuclear considered to be significant while the protect classified er safegtards material (SNM): or information is outside the protected area information inside the protected area 3. Actual unauthorized production of a and accessible to those not authorized which could assist an individual in an formula quantity of SNM access to the protected area; act of radiological sabotage or theft of B. Severity Leve/ //-Violations 6. A significant failure to respond to strategic SNM where the information involving for example:
an event either in sufficient time to was not removed from the protected 1.The entry of an unauthorized provide protection to vital equipment or area; individual 88 who represents a threat strategic SNM. or with an adequate 7. A failure to control access such that into a vital area " from outside the response force:
an opportunity exists that could allow protected area: or 7. A failure to perform an appropriate unauthorized and undetected access 2. The theft, loss or diversion of SNM evaluation or background investigation into the protected area but which was of moderate strategic significance 88 in so that information relevant to the neither easily or likely to be exploitable; l
which the security system did not access detertWtion was not obtained 8. A failure to conduct an adequate I
function as required; or or considere(. and as a result a person.
search at the exit from a material access 3. Actual unauthorized production of who would likely not have been granted area:
SNM.
access by the licensee,if the required 9. A theft or loss of SNM of low investigation or evaluation had been strategic significance that was not performed, was granted access; or detected within the time period specified in the security plan, other relevant document, or regulation: or 10. Other violations that have more
" See to CFR n 2 for the dehmtion of " formula than minor safeguards significance.
- e er n " unauthorized indmdual" as used m
tions that this supplement means someerte who was not have minor safeguards signif1Cance,
.
methonzed for eeurance into the area m question. or not authonzed to enter in the manner entered
" The phrase " vital area" as uwd m this supplement mcludes vital areas and matenal access area..
In determmme whether access can be easily
" See 10 CFR M 2 for the dehmtion of "special sa ned. factors such as predictabihty. ident:Raihty, nuclear matenal of moderaie strategic sismhcance "
and ease of passage should be considered.
2 99 March 31,1993(reset)
..
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~
App. C Supp. IV App. C Supp. IV
,
'
PART 2 o RULES OF PRACTICE FC.i DOMESTIC LICENSING PROCEEDING 3...
.
Supplement IV-licalth Physics (10 CFR C. Severity Leve/ ///-Violations D. Severity Leve/IV-Violations
,
Part 20)
involving for example-involving for example:
This supplement provides examples of 1. A single exposure of a worker in 1. Exposures in excess of the limits of violations in each of the five severity excess of 3 rems of radiation to the 10 CFR 20.101 not constituting Seventy levels as guidance in detemining the whole body,7.5 rems to the skin of the level I 11. or 111 violations:
appropriate severity level for violations whole body, or 18.75 rems to the feet.
2. A radiation levelin an unrestricted in the area of health physics.10 CFR ankles, hands or forearms:
area such that an individual could part 20 ". Examples A through E are 2. A radiation levelin an unrestricted receive greater than 2 millitem in a one.
provided to accompany li 20.1-20.601.
area such that an individual could hour period or 100 millirem in any seven Examples F through j are provided to receive greater than 100 millirem in a consecutive days:
ake a
accompany li 20.1001-20.2401.
one hour. period or 500 millirem in any u[e o d
seven consecutive days:
Sections 20.1-20.801 4. A failure to make a follow-up
"
'
20 2b 0.408anf el. Seve ty Leve/l--Violations no if ca i n as e utred b to CFR o
invo ving r examp e.
.
20.403(b), or an immediate notification 5. Any other matter that has more 1. A single exposure of a worker in re9uired by to CFR 20 402(aj-than minor safety or environmental
-
excess of 25 rems of radiation to the 4. A substantial potential for an significance.
whole body,150 rads to the skin of the whole body, or 375 rads to the feet, exposure or release in excess of to CFR E. Severity Level V-Violations that ankles. hands, or forearms; part 20 whether or not such exposure or have mmor safety or environmental
""" ' " *
significance.
2. An annual whole body exposure of 5 Ar ase d oa. mat al t a member of the public in excess of 2.5 Sections 20.1001-20.2401 d
{
rems of radiation, limits of 10 CFR 20.106:
F. Seventy Leve/l-Violations 3. A release of radioactive material t 6. An improper disposal of licensed involving for example:
l an unrestncted area m, excess of n times the limits of 10 CFR 20.106 g:
g material not covered in Severity Levels 1 1. A radiation exposure during any
'
o, gg'.
year of a worker in excess of 25 rems s
g 4. Disposal of licensed materialin 7, An exposure of a worker in total effective dose equivalent. 75 rems e quantities or concentrations in excess of restricted areas in excess of the limits of to the lens of the eye, or 250 rade to the N
$ ten times the limits of to CFR 20.303: or 10 CFR 20.103:
E
skm, of the whole bour, or to the feet,
5. An exposure of a worker in 8. A release for unrestricted use of M ankles, hands or foreaans, or to any
- j restricted areas of ten times the limits of contaminated or radioactive material or cc ther organ or tissue
equipment that poses a realistic R
2. A radiation exposure over the B. Seventy Leveill-Violations potential for significant exposure to e gestation period of the embryo / fetus of involving for example:
members of the public, or that reflects a a declared pregnant woman in excess of 1. A single exposure of a worker in programmatic (rather than isolated)
2.5 rems total effective doae equivalent:
}
,
excess of 5 rems of radiation to the weakness in the radiation control 3. A radiation exposure dunng any year of a minor in excess of 2.5 rems whole body,30 rems to the skin of the program:
whole body or 75 rems to the feet.
9. A cumulative worker exposure total effective dose equivalent,7.5 rems ankles, hands or forearms:
above regulatory limits when such
'.the lens of the eye. or 25 rems to the i
2. An annual whole body exposure of cumulative exposure reflects a skm of the whole body, or to the feet, a member of the public in excess of 0.5 programmatic, rather than an isolated ankles. hands or forearms. or to any rems of radiation'.
weakness in radiation protection:
ot er organ or tissue, 3. A release of radioactive matenal t 10. Conduct of licensee activities by a 4. An annualexposure of a member of an unrestricted area in excess of five technically unqualified person:
the public in excess of 1.0 rem total times the limits of to CFR 20.106:
11. A significant failure to control effective dose eguivalent:
licensed material: or 5. A miease of radioactive material to 4. A failure to make an immediate 12. A breakdown in the radiation an unrestricted area at concentrations in excess of 50 times the limits for notification as required by 10 CFR 20.403 safety program involving a number of (a)(1) and (a)(2):
violations that are related (or,if members of the public as desenbed in to 5. A disposal of licensed material m isolated, that are recurring) that CFR 20.1302(b)(2)(i): or j quantities or concentrations in excess of collectively represent a potentially 6. Disposal of licensed material in five times the limits of to CFr120.303: or significant lack of attention or quantuke nr concentrations in excess of 10 times 11a lunits of 10 CFR 20.2003.
6. An exposure of a worker m carelessness toward licensed restricted areas in excess of five times responsibilities.
Seventy Leve/II-Vi lations the limits of to CFR 20.103.
inv Iving f r example:
1. A radiation exposure during any year of a worker in excess of 10 rems total effective dose equivalent. 30 rems to the lens of the eye, or 100 rems to the skin of the whole body, or to the feet, ankles, hands or forearms, or to any
Personnel overeuposures and associated other organ or tissue:
wolatens mcurred dunng a hfe-sevms or othe, 2. A radiation exposure over the emergency response effort wdl be treated on a case-gestation period of the embryo / fetus of bgase aErence to the hmas or o crR 20 m as a declared pregnant woman in excess of c
used m his supplement titems A 3 0 3. and C 5)
1.0 rem total effective dose equivalent:
does not apply to the EPA senerally apphcable environmental radiahon standards mentioned m i 20.10tNsl MIrch 31,1993 (reset)
2-100
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-
)
App, C Supp. W App. C Supp. V I
,
P,.o Te RULES OF PRACTICE FOR DOMESTIC LICENSING P : 'EEDINGS ~
.
3. A radiation exposure during any 7. A failure to make a 24-hour 3. A radiation dose rate in an
.
year of a minor in excess of 1 rem total notification required by to CFR unrestricted or controlled area in excess effective dose equivalent: 3.0 rems to the 20.2202(b) or an immediate notification of 0.002 rem in any 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> (2 millireml lens of the eye, or 10 rems to the skin of required by 10 CFR 20.2201(a)(1)(i):
hour) or 50 millirems in a year; the whole body or to the feet, ankles.
8. A substantial potential for 4. Failure to maintain and implement hands or forearms, or to any other organ exposures or releases in excess of the radiation programs to keep radiation or tissue:
applicable limits in 10 CFR part 20 exposures as low as is reasonably 4. An annual exposure of a member of Il 20.1001-20.2401 whether or not an achievable:
the public in excess of 0.5 rem total exposure or release occurs-5. Doses to a member of the public in effective dose equivalent; 9. Disposal of licensed material not excess of any EPA generally applicable S. A release of radioactive material to covered in Seventy Levels I or 11; environmental radiation standards, such an unrestricted area at concentrations in 10. A release for unrestricted use of as 40 CFR part 190; excess of to times the limits for contaminated or radioactive material or 6. A failure to make the 30-day members of the public as descnbed in to equipment that poses a realistic notification required by 10 CFR CFR 20.1302(b)(2)(i) (except when potential for exposure of the public to 20.2201(a)(1)(ii) or 20.2203(a):
operation up 10 0.5 rem a year has been levels or doses exceeding the annual 7. A failure to make a timely written approved by the Commission under dose limits for members of the public, or report as required by to CFR 20.2201(b).
l 20.1301(c));
that reflects a programmatic (rather than 20.2204. or 20.2206; or S. Disposal of licensed matenal in an isolated) weakness in the radiation 8. Any other matter that has more quantities or concentrations in excest of five times the limits of 10 CFR 20.2003-control program; than a minor safety, health, cr 11. Conduct of licensee activities by a environmental significance.
'
7. A faiNre to make an immediate technically unqualified person:
/. Severrty Level V-Violations tha t notification as required by to CFR 12. A sigmficant failure to control are of a minor safety health,or licensed material: or environmental significance.
20.2202 (a)(1) or (a)(21 H. Severity Leve/ ///-Violations 13. A breakdown in the radiation mvolving for example:
safet) program involving a number of Supplement V-Transportation
- v olations that are related (or,if This supplement provides examples of
_
1. A radiation exposure dunng any R solated. that are recurring) that
& violations in each of the five severity i
R year of e worker in excess of 5 rems e total effective dose equivalent.15 rems $ collectively represent a potentially 5 levels as guidance in determining the g to the lens of the eye, or 50 rems to the Z s gmficant lack of attention or
$ appropria'te severity level for violations o skm, of the whole body or to the feet.
- carelessness toward licensed e in the area of NRC transportation ankles. hands or forearms, or to any responsibilities.
requirements ",
other organ or tissue:
1. Severity levelINViolations A. Severity Leve/ /-Violations
. A radiation exposure over the nvolving for example:
involving for example:
gestation period of the embryo / fetus of 1. Exposures in excess of the limits of 1. Failure to meet transportation a declared pregnant woman in excess of to CFR 201201,20.1207, or 20.1208 not requirements that resulted in loss of 0.5 rem total effective dc=e eosivalen, constituting Severity 1.evel I 11. or !!!
control of radioactive material with a violations; breach in package integrity such that the l
P*
,p
- gns of 0.1 2. A release of radioactive matenal to material caused a radiation exposure to l
3. A radiation exposure during any an unrestncted area at concentrations in a member of the pubh,c and there was year of a minor in excess of 0 5 rem total excess of the limits for members of the clear potential for the public to receive effective dose equivalent: 1.5 rems to the public as referenced in 10 CFR more than.t rem to the whole body:
l lens of the ese, or 5 rems to the skin of 20.1302(b)(2)(i)(except when operation 2. Surface contamination in excess of l
the whole body, or to the feet. ankles.
Up to 0.5 rem a year has been approved 50 times the NRC limit; or hands or forearms or to any other organ by the Commission under i 20.1301(c));
3. External radiation levels in excess or tissue:
f to times the NRC limit.
4. A worker exposure above B. Sever /ty [ eve / //-Vjolations regulatory limits when such exposure involving for example:
reflects a programmatic (rather than an 1. Failure to meet transportation isolated) weakness in the radiation requirements that resulted in loss of control program:
control of radioactive material with a 5. An annual exposure of a member of breach in package integrity such that the public in excess of 0.1 rem total there was a clear potential for the effective dose equivalent lexcept when member of the public to receive more operation up to o.5 rem a year has been than.t rem to the whole body; approved by the Commission under 2. Surface contamination in excess of i 201301(c)l; 10 but not more than 50 times the NRC 6 A release of radioactive matenal to limit:
an unrestncted area at concentratmns m 3. External radiation levels in excess excess of two times the effluent of five, but not more than 10 times the concentration limits referenced m 10 NRC hmit: or CFR 20.1302(b}{2)(i)(except when operation up to 0.5 rem a > ear has been
- some iransporuhon requirem,nis ar, apph,o approved by the Commission under
' mm *an one hcenm mvolved m 'he same i 201301(c)):
achvHy such as a shipper and a carr;cr When a j
violahon of such a requirement occurs. enforcemeni action will be directed against the responsible hcensee which. under the circumstances of the case may be one or more of Ihe licensees nsched 9 161 s a g eek 11 1oO1 f en.nes
...
.
_
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_
._
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._ _. _
_
_
__.
.
_ _
_.
App. C Supp. V
.p.
O. p. C Supp. VI PART 2 e RULES CF 'RACTICE FOR DOMESTIC LICENSING PROCEEDINGE -
"
.
I 4. A Mire in make required imtial Supplement VI-Fuel Cycle and 7. A breakdown in the control of notifications assnciated with Seventy Materials Operations licensed activities involving a number of Level I or il violations.
'
a ns a am nlated k d This supplement provides examples of
,
'"
" " " "
"E
- "
'
C. Seventy Levellll-Violations violations m each of the five severity that coll'ectively represent a potentially intojving for examp1e:
levels as guidance in determm. ing the significant lack of attention or 1. Surface contamination in excess of appropriate seventy level for violations carelessness toward licensed five but not more than 10 times the NRC m the area of fuel cycle and matenals responsibilities:
,
timit; operations.
2. External radiation in excess of one A. Severity Levell-Violations 8. A failure. during radiographic
.l
.
but not more than five times the NRC involving for example:
perations, to have present or to use
)
limit:
1. Radiation levels, contamination radiographic equipment, radiation -
3. Any noncompliance with labeling.
levels, or releases that exceed 10 times sumy mstruments, and/or personnel placarding. shipping paper, packaging, the limits specified in the license:
momtorin devices as required by 10
,
loading or other requirements that could 2. A system designed to prevent or p
.
reasonably result in the following:
mitigate a serious safety event not being 9. A failure to submit an NRC Form (a) A significant failure to identify the operable when actually required to -
241 m accordance with the requirements type. quantity, or form of material; perform its design function; in i 150.20 of to CFR part 150: or (b) A failure of the carrier or recipient 3. A nuclear criticality accident; or 10. A failure to receive required NRC 4. A failure to follow the procedures of approval prior to the implementation of to exercise adequate controls: or
&
(c) A substantial potential for either g the quality management program, g a change m hcensed activities that has a: required by 6 35.32, that results in a e radiological or programmatic personnel exposure or contamination death or serious injury (e.g., substantial E significance, such as, a change in above regulatory limits or improper
. * Organ impairment) to a patient.
M ownership: lack of an RSO or transfer of material:
B. Seventy Leveill-Violations replacement of an RSO with an 4. A failure to make required initial involving for example:
unqualified individual: a change in the notification associated with Seventy 1. Radiation levels, contamination location where licensed activities are Level !!! violations; or
,
levels, or releases that exceed five times being conducted, or where licensed 5. A breakdown in the licensee's the limits specified in the license:
materialis being stored where the new
,
pprogram for the transportation of 2. A system designed to prevent or facilities do not meet safety guidelines:
l mlicensed material involving a number of mitigate a serious safety event being or a change in the quantity or type of
-
u. violations that are related (or,if j
Sisolated, that are recurring violations)
-inoperable: or radioactive material being processed or
'
that collectively reflect a potentially f~
used that has radiological significance.
significant lack of attention or l>3. A substantial programmatic failure D. Seventy LevellV-Violations s
carelessness toward licensed
& in the implementation of the quality involving for example:
,
responsibilities.
E management program required by 10 1. A failure to maintain patients D. Severity.Leve/IV-Violations E CFR 35.32 that results in a hospitalized who have cobalt-60, involving for example:
$ misadministration, cesmm-137, or iridium-192 implants or to
,
"
'
"9
- "" #
1. A breach of package integrity without external radiation levels c ntamination tests, or to use properly
.i
-
. C. Severity Le veilll-Violations calibrated equipment:
exceeding the NRC limit or without i v Ivi gi r example:
2. Other violations that have more contammation levels exceeding five 1. A failure t c ntrol access to than minor safety or environmental times the NRC limits:
licensed materials for radiation significance: or
,
2. Surface contamination in excess of purposes as specified by NRC but not more than five times the NRC req.irements, limit:
2. Possession or use of unauthorized 53. Failure to follow the quality 3. A failure to register as an equipment or materials in the conduct of management program locluding authorized user of an NRC-Certified E licensee activities which degrades pr cedures, whether or not a Transport package:
5 safety:
misadministration occurs, provided the 4. A noncompliance with shipping E
3. Use of radioactive matenal on failures are isolated, do not demonstrate pa pers. marking, labeling. placarding
% humans where such use is not
& a programmatic weakness in the
@ have limited consequences if aimpleme packaging or loading not amounting to a authonzed:
Seventy Level I !!. or til violation:
4. Conduct of licensed activities by a a-5. A failure to demonstrate that technically unqualified person:
$ misadministration is myolved; failure to packages for special form radioactive 5. Radiation leveis. contamination
- conduct the required program review: or material meets applicable regulatory levels, or releases that exceed the limits tailure to take corrective actions as i
requirements:
specified in the license:
Jequired by S 35.32; or 6. A failure to demonstrate that C
i packages meet DOT Specifications for p 6. Substantial failure to impiement l
4. A failure to keep the records 7A Type A packages; or the quality management program as i
7. Other violations that have more g required 15y $ 35.32 that does not result g required by il 35.32 or 35.33.
than minor safety or environmental 2 in a misadministration: failure to report E. Severity Level V-Violations that e
significance.
{ a misadministration; or programmatic E have minor safety or environmental E. Seventy Level V-Violations that g weakness in the implementation of the 3 significance, have minor safety or environmemal e quality management program that l
significance, results in a misadministration.
.
April 30,1993 2-102
+-d:-
-
.we-
_
App. C Supp. VII Arr. C Supp. VII
,
PART 2. RULE? OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGC...
.
Supplement VII-Miscellaneous Matters B. Severity Levelll-Violations C. Severity Level 11/-Violations
"
This supplement provides examples of involving for example:
involving for example:
.
violations in each of the five severity 1, inaccurate or incomplete 1. Incomplete or maccurate levels as guidance in determining the information that is provided to the NRC information that is provided to the NRC (a) by a licensee official because of (a) because of inadequate actions on the appropriate severity level for violations involving miscellaneous matters.
careless disregard for the completeness part of licensee officials but not or accuracy of the information, or (b)if amounting to a Seventy Level I or 11 A. Seventy Level 1-Violations the information, had it been complete violation, or (b) if the information. had it involving for example:
ard accurate at the time provided,likely been complete and accurate at the time 1. Inaccurate or incomplete
'i d have resulted in regulatory action provided, likely would have resulte -l in v.
information 20 that is provided to the sai is a show cause order or a a reconsideration of a regulatory NRC (a) dehberately with the different regulatory position:
position or substantial further inquiry knowledge of a licensee official that the 2. Incomplete or inaccurate such as an additional inspection or a information is incomplete or inaccurate, information that the NRC requires be formal request for information; or (b)if the information, had it been kept by a licensee which is (a)
2. Incomplete or inaccurate complete and accurate at the time incomplete or inaccurate because of information that the NRC requires be provided, likely would have resulted in careless disregard for the accuracy of kept by a licensee that is (a) incomplete regulatory action such as an immediate the information ca the part of a licensee or maccurate because of inadequate order reouired by the public health and,_ official or (b) if the information, had it actions on the part of licensee officials sa fety.
? been complete and accurate when 5; but not amounting to a Severity Level!
2. Incomplete or inaccurate
- reviewed by the NRC, likely would have E or !! violation, or (b) if the information.
- information that the NRC requires be resulted in regulatory action such as a E had it been complete and accurate when w
5 kept by a licensee that is (a) incomplete S show cause order or a different a reviewed by the NRC,likely would have
% or maccurate because of falsification by regulatory position:
resulted in a reconsideration of a or with the knowledge of a licensee 3. "Sigmficant information identified regulatory position or substantial further official. or (b) if the information, had it by a licensee" and not provided to the inquiry such as an additional inspection been complete and accurate when Commission because of careless or a formal request for information:
reviewed by the NRC,likely would have disregard on the part of a licensee 3. A failure to provide "significant resulted in regulatory action such as an official; information identified by a licensee" to immediate order required by public 4. An action by plant management the Commission and not amounting to a l
health and safety considerations:
above first-line supervision in violation Severity Level I or 11 violation:
l 3. Information that the licensee has f 10 CFR 50.7 or similar regulations 4. An action by first-line supervision identified as having sigmficant agamst an employee:
in violation of 10 CFR 50.7 or similar implications for public health and safety 5. A failure to provide the notice regulations against an employee:
or the common defense and secunty required by 10 CFR part 21:
5. An inadequate review or failure to ("sigmficant information identified by a 6. A failure to remove an individual review such that,if an appropriate licensee") and is deliberately withheld from unescorted access who has been review had been made as required, a 10 from the Commission; involved in the sale, use, or possession CFR part 21 report would have been 4. Action by senior corporate of illegal drugs within the protected area made; management in violation of 10 CFR 50.7 r take action for on duty misuse of 6. A failure to complete a suitable or similar regulations against an alcohol, prescription drugs, or over-the-inquiry on the basia of 10 CFR part 26.
employee:
counter drugs:
keep records concerning the denial of 5. A knowmg and intentional failure 7. A failure to take reasonable action access, or respond to inquiries to provide the notice required by 10 CFR when observed behavior within the concerning denials of access so that, as part 21: or protected area or credible information a result of the failure, a person 6. A failure to substantially implement concerning activities within the previously denied access for fitness.for-the required fitness-for-duty program.n pr tected area indicates possible duty reasons was improperly granted unfitness for duty based on drug or access:
alcohol use; or 7. A failure 'o take the required action 8. A deliberate failure of the licensee's for a person confirmed to have been Employee Assistance Program (EAP) to tested positive for illegal drug use or notify licensee's management when take action for onsite alcohol use: not EAP's staff is aware that an individual's amounting to a Severity Leveill condition may adversely affect safety violation:
related activities 8. A failure to assure, as required. that contractors or vendors have an effective
in applyins the. ampie, m ihi..uppiem,ni fitness-for-duty program; or regardma maccuraie or mcomplete mformahon and 9. A breakdown in the fitness-for-duty
,'*'danc e e i[on i[ in cIra'ean*[n['o*mpew program involving a number of
"
'
informano c and to the definitmn of "licens,.
Violations of the basic elements of the offical ' contained m Sertmn IV C-fitness for-duty program that 8' The exampie for violshone for feiness for duty collectively refleCl a signifir3nt lack of relaie to violeimne of 10 CFR part M attention Or Carelessness towards meeting the objectives of 10 CFR 26.10.
?.1rn March 31.1993 frenet)
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App. C Supp. VF App.C Supp. VIII PnH1 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROaEDINGS...
.
l.
D. Severity LevelIV-Violations A. Severity Level 1-Violations (
involving for example:
involving for example:
'
1. Incomplete or inaccurate in a general emergency, licensee information of more than minor failure to promptly (1) correctly classify significance that is provided to the NRC the event. (2) make required but not amounting to a Severity Level 1.
notifications to responsible Federal.
!! or III violation:
State, and local agencies, or (3) respond 2. Information that the NRC requires to the event (e.g., assess actual or be kept by a licensee and that is potential offsite consequences. activate
incomplete or inaccurate and of more emergency response facilities, and t
!
than minor significance but not augment shift staff.)
amounting to a Severity LevelI.11. or til B. Severity LevelII-Violations
violation:
involving for example:
i 3. An inadequate review or failure to in a site emergency, licensee failure to
review under 10 CFR part 21 or other promptly (1) correctly classify the event.
- procedural violations associated with 10 (2) make required notifications to CFR part 21 with more than minor safety responsible Federal. State, and local
& significance:
g agencies, or (3) respond to the event
4. lsolated failures to meet basic 3 (e.g., assess actual or potential offsite g elements of the fitness-for-duty program g consequences. activate emergency
~ not involving a Severity Level 1. II. or ill e. respor.se facilities, and augment shift
- iolation: or
- taff): or s
v 5. A failure to reprirt acts oflicensed 2. A licensee failure to meet or operators or supervisors pursuant to 10 implement one emergency planning CFR 26.73, standard involving assessment or E. Severity Level V-Violations notification: or involving for example:
C. Seventy LevelIII-Violations
!
1. Incomplete or inaccurate involvingfor example information that is provided to the in an alert. licensee failure to
,
Commission and the incompleteness or promptly (1) correctly classify the event.
inaccuracy is of minor significance:
(2) make required notifications to
<
2. Informatica that the NRC requires responsible Federal. State, and local be kept by a hcensee that is incomplete agencies, or (3) respond to the event or inaccurate and the incompleteness or (e.g., assess actual or potential offsite inaccuracy is of minor significance:
consequences, activate emergency e
3. Minor procedural requirements of response facilities, and augment shift e
'
10 CFR part 21: or staff):
'
4. Minor violations of fitness-for-duty 2. A licensee failure to meet or requirements.
implement more than one emergency planning standard involving assessment
Supplement VIII-Emergency r notification.
Prepmdmes 3. A breakdown m, the control of This supplement provides examples of licensed activities involving a number of violations in each of the five severity violations that are related (or. if levels as guidance in determining the i=olated, that are recurring violations)
appropriate severity level for violations that collectively represent a potentially in the area of emergency preparedness.
significant lack of attention or it should be noted that citations are not carelessness toward licensed normally made for violations involving responsibilities.
emergency preparedness occurring D. Severity LevelIV-Violations
during emergency exercises. However, involving for example-i where exercises reveal (i) training.
A licensee failure to meet or procedural, or repetitive failures for implement any emergericy planning which corrective actions have not been standard or requirement not directly taken, (ii) an overall concern regarding related to assessment and notification.
,
the licensee's ability to implement its E. Severity Level V-Violations that i
plan in a manner that adequately have minor' safety or environmental
,
l protects public health and safety, or (iii)
significance.
l poor self critiques of the licensee s j
exercises, enforcement action may be l
appropnate.
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