Information Notice 1979-20, NRC Enforcement Policy - NRC Licensed Individuals

NRC Enforcement Policy - NRC Licensed Individuals

ML031180160
Person / Time
Site:	05000000
Issue date:	09/07/1979
From:	NRC/IE
To:
References
IN-79-020, Rev. 1, NUDOCS 7908220108
Download: ML031180160 (3)

SSINS: 6870

Accession No:

7908220108 UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF INSPECTION AND ENFORCEMENT

WASHINGTON, D.C. 20555 September 7, 1979 -

IE Information Notice No. 79-20 Rev. 1 NRC ENFORCEMENT POLICY - NRC LICENSED INDIVIDUALS

Background:

In the past, NRC licensed individuals have been cited by the NRC for failure

to comply with the conditions of their licenses. These items of noncompliance

can generally be characterized as serious or repeated failures to follow

reactor operating procedures. Two recent events involving the radiation

overexposure of NRC licensed individuals through their violation of utility

procedures, facility Technical Specifications and the Code of Federal Regulations

have raised questions about the exercise of their responsibilities.

The purpose of this Information Notice is two-fold:

(1) To remind the NRC licensed individuals of their responsibilities, not only

in the proper operation of the facility controls, but in compliance with

the facility administrative procedures, and

(2) To summarize the enforcement sanctions available to the NRC for use

against licensed individuals.

Description of Circumstances

1. Responsibilities

Facility licensees are charged with the responsibility to design, construct and operate their plants in accordance with NRC requirements

to assure that public health and safety are protected. The role of

NRC licensed individuals is no less important in the overall Regulatory

scheme. The NRC recognizes that timely actions by NRC licensed indivi- duals are an important part of safety. Reliance on these actions is a

part of the defense-in-depth concept. Specifically, the NRC requires

that:

(1) Only licensed operators are permitted to manipulate the controls

that directly affect reactivity (10 CFR 50.54 (i))

(2) Licensed operators are required to be present at the controls at

all times during the operation of the facility (10 CFR 50.54 (k))

-IE Information Notice No. 79-20 Rev. 1 September 7, 1979 (3) Operation of mechanisms and apparatus other than controls which may

indirectly affect the power level or reactivity of a reactor shall

only be accomplished with the knowledge and consent of an operator

licensed in accordance with Part 55 (10 CFR 50.54 (j))

(4) Licensed senior operators are required to be present at the facility

during specified conditions, and available or on call at other times

during operation (10 CFR 50.54 (m))

(5) The NRC licensed individual shall observe all applicable rules, regulations and orders of the Commission, whether or not stated in

the license (10 CFR 55.31(d))

The above requires the NRC licensed individual to comply with the requirements

pertaining to the operation of the facility and manipulation of its controls

and to comply-with radiation safety procedures implementing 10 CFR 20.

NRC policy for the responsibility for safe operation of NRC licensed facilities

continues to be as follows:

(1) The facility licensee is responsible for assuring that the facility is

operated within the requirements of the license, Technical Specifica- tions, rules, regulations, and Orders of the NRC and for the actions of

their employees.

(2) NRC licensed individuals are responsible for taking timely and

proper actions so as not to create or cause a hazard to "safe opera- tion of the facility" (i.e. actions or activities, including failure

to take action, related to the facility which could have an adverse

affect on the health and safety of the public, plant workers or the

individuals).

2. Enforcement Sanctions

On December 31, 1974, the then AEC sent a letter to all facility licensees

containing the criteria for determining enforcement action and the categories

of noncompliance with AEC regulatory requirements. Those criteria and

categories are applicable to NRC licensed individuals as well as facility

licensees.

Paragraph 55.40(b) of Title 10 of the Code of Federal Regulations

prescribes that NRC issued operator licenses may be revoked, suspended or

modified for failure to observe any terms or conditions of any rule, regulation or Order of the Commission, or any conduct determined to be a

hazard to safe operation of the facility. These would generally involve

serious items of noncompliance where: (1) the individuals' action clearly

demonstrate inattention to duties or disregard for requirements including

technical specificatons and operating procedures; (2) the NRC licensed

individual fails to take a required action or takes an independent action

-that results insigniticant actual or potential safety consequences; or

(3) there is repetitive noncompliance with regulatory requirements.

IE tnformation Notice No. 79-20 Rev. 1 September 7, 1979 Examples of situations which could result in violations include:

(1) Noting a serious violation of procedural requirements and not taking

corrective action.

(2) Unauthorized bypassing of required reactor safety systems

(3) Defeating alarms which have serious safety significance

(4) Unauthorized abandoning of reactor controls

(35) Knowingly taking actions that violate TS Limiting Conditions for

Operation

The examples listed above involve the failure of an NRC licensed individual to

follow procedures and adhere to controls. These are violations of NRC require- ments. In the past the NRC has issued Notices of Violation, as provided for in

10 CFR 2.201, and suspended, modified or revoked the license, as provided for

in 10 CFR 55.40 (b), of NRC licensed individuals. The issuance of civil

monetary penalties, as provided for in 10 CFR 2.205 and 10 CFR 55.50, or

criminal charges, as provided for in 10 CFR 55.50, have not been previously

used against NRC licensed individuals but may be used if the circumstances

warrant such action.

The Commission will continue to monitor the performance of NRC licensed

individuals and will continue to take the appropriate enforcement action

against NRC licensed individuals.

No written response to this Information Notice is required. If you have

questions regarding this matter, please contact the Director of the appro- priate NRC Regional Office.