ML19264A764
| ML19264A764 | |
| Person / Time | |
|---|---|
| Issue date: | 06/30/1980 |
| From: | Stello V NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | Jennifer Davis, Harold Denton, Minogue R NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS), Office of Nuclear Reactor Regulation, NRC OFFICE OF STANDARDS DEVELOPMENT |
| Shared Package | |
| ML19264A762 | List: |
| References | |
| FOIA-80-533, REF-SSINS-6025 NUDOCS 8007250364 | |
| Download: ML19264A764 (39) | |
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JUN 3 01980 MEMORANDUM FOR:
Harold R. Denton, Director Office of Nuclear Reactor Regulation John G. Davis, Deputy Director Office of Nuclear Material Safety & Safeguards Robert B. Minogue, Director Office of Standards Development Robert J. Budnitz, Dr., Director Office of Nuclear Regulatory Research
=
Norman Haller, Director Office of Management and Program Analysis James J. Cummings, Director Office of Inspector and Auditor FROM:
Victor Stello, Jr., Director Office of Inspection and Enforcement
SUBJECT:
REVISED NRC ENFORCEMENT POLICY As you know, following IE's briefing of the Commission on March 19, 1980 (SECY 80-139), the staff was directed to revise the proposed statement of c
In the ensuing weeks, MPA compiled data on responses.
On May 27, we met with the EDO for a planning session on this matter, follow-ing which my staff, with assistance from ELD and MPA, completely revised the earlier policy statement. A copy of that revision is attached for your review and comment.
I would appreciate having your response by not later than July 14, 1980.
CONTACT:
D. Thompson, IE 49-28487 8007250 M
s JUN 3 01980 Multiple Addressees You will note that the forwarding Commission paper is not included in this package. Af ter we have the benefit of your response to the policy itself, we will, of course, seek your concurrence on the paper.
fn
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Victor Ste,ll,o', Jr.N,-
Director v Office of Inspection and Enforcement
Enclosure:
As stated cc:
H. D. Thornburg, RCI E. M. Howard, SI J. H. Sniezek, FFMSI N. C. Moseley, ROI D. Thompson, X005 L. I. Cobb, X0MA B. H. Grier, RI J. P. O'Reilly, RII J. G. Keppler, RIII K. V. Seyfrit, RIV R. H. Engelken, RV
INTRODUCTION AND PURPOSE A
This statement describes policies that are to be followed by the Nuclear Regulatory Commission staf f in taking enforcement actions and by the presiding officers, Atomic Safety and Licensing Boards and Atomic Safety Licensing Appeal Boards in reviewing such actions.
This statement is applicable to enforcement in matters involving public health and safety, national defense and security, and the environment. 1/
The fundamental goal of NRC's enforcement policy is to encourage continuing improvement in the excellence of licensee performance, thus enhancing the degree of protection of public health and safety.
When licensee performance is unacceptable, as reflected by noncompliance with regulatory requirements, NRC's enforcement actions are designed to achieve prompt corrective action and deter future aoncompliance.
The enforcement policies of the Commission are intended to:
(1) regulatelicensednuclearactiviffs"...soastoachieveandmaintain adequate protection of the public health and safety;"
(2)
"...obtain prompt correction of licensee weaknesses and deter future ns noncompliance through strong enforcement measures;"
1/ Hereafter the term "public health and safety" is intended to include these three functions.
Antitrust enforcement matters will be dealt with on a case-by-case basis.
"FY82-86 Policy, Planning, and Program Guidance," par. II.A.2a.
Op. cit., par. II.B.2i.
e (3)
... assure that licensees who cannot achieve and maintain adequate levels of protection will not be permitted to operate;"
and (4) promote the " meticulous attention to detail..."
and "high standard of compliance"3 that have been the goals of the Commission from its very beginning.
NRC safety regulations and license conditions reflect the Commission's judgments as to "the level of protection of the public health and safety that it deems adequate and is to be maintained by the nuclear industry."**
"In dealing with licensees who are unable or unwilling to c^mply with these require-ments, the NRC will emphasize prompt and vigorous enforcement."*** Moreover, the enforcement program will " assure that a licensee will not benefit by violating NRC requirements."***
II.
LEGAL FRAMEWORK The Commission's enforcement jurisdiction is drawn from the Atomic Energy Act of 1954, as amended (sections 161, 186 and 234) and the Energy Reorganiza-tion Act (section 206).
Section 161 of the Atomic Energy Act authorizes NRC to conduct necessary inspections and issue such orders that are "necessary or desirable to promote the common defense and security or to protect health or to minimize danger to Op. cit., par. IIA 2a.
2/ In the Matter of X-Ray Engineering Co., AEC 553, 555 (1960).
3/ In the Matter of Hamlin Testing Laboratories, Inc., 2 AEC 423, 428 (1964).
"FY 82-86 Policy, Planning and Program Guidance," par. IIAla.
- Op. cit., par. IIA 3b.
... Ns
life or property."
Section 186 authorizes NRC to revoke licenses under certain circumstances (e.g., for material false statements in response to conditions that would have warranted refusal of a license on an original application, for a licensee's failure to build or operate a' facility in accordance with terms of the permit or license, and for violation of a Commission regulation).
Licensees are to be given an opportunity to demon-strate or achieve compliance before a license is revoked or suspended (except in cases of willfulness or those in which the public health, safety, or interest so require).
Section 234 authorizes NRC to impose civil penalties for the violation of certain specified licensing provisions of the Act or to implement Commission rules or orders.
Section 206 of the Energy Reorganization Act authorizes NRC to impose a civil penalty in an amount equal to that authorized by section 234 of the Atomic Energy Act for certain failures to report known safety defects in licensed facilities or activities. 4
s The Atomic Energy Act (Chapter 28) also allows NRC to obtain injunctions in response to violations of the Act (or any rule or order issued under the authority of the Act).
In addition, the Act provides for criminal penalties for certain violations.
Suspected criminal violations of the Atomic Energy Act, such as willful violation of Commission requirements, are to be referred to the Department of Justice for possible investigation and criminal prosecu-tion.
The NRC Office of Inspector and Auditor is the focal point for such referrals, after consultation with the Office Directors involved.
4/
The preceding descriptions are summaries of the basic enforcement-provisions of the statutes; where important, the actual words of the statutes should be consulted.
The Commission has implemented the enforcement provisions of the Atomic Energy Act and the Erergy Reor ganization Act in 10 CFR Part 2, (Sections 2.201, 2.202, 2.204, and 2.205) and in 10 CFR Part 21.
Enforcement actions (such as modification, suspension or revocation of a license) based upon violations of existing requirements are to be preceded by notices of violation unless NRC determines that the public health, safety or interest requires that the action be made effective immediately or unless a willful violation is involved (see 10 CFR 2, Subpart B).
This subpart also sets for forth the procedures for:
(1) orders to show cause why licenses should not be amended, suspended, or revoked or why other action as may be proper should not be taken, and (2) orders modifying licenses.
Immediately effective actions must be based upon a finding that the public health, safety or interest requires such actions, or a finding that the violation was willful.
Enforcement actions may be taken in the absence of any violation of NRC requirements -- for example, when a newly-discovered safety problem not previously covered by a requirement is found.
NRC will not i apose civil penalties, however, unless a violation exists.
9 III. SEVERITY OF VIOLATIONS Regulatory requirements have varying degrees of safety, safeguards, or environmental significance.
This policy statement defines six severity levels that are intended to reflect the relative importance of any violation.
Severity Level I violations are the most significant; Severity Level VI viola-tions are the least significant.
Severity Levels I, II, and III comprise violations that are of signi-ficant regulatory concern.
In general, these violations involve actual or high potential impact on the public and are expected to occur infrequently.
Severity Level IV violations involve degradation of systems designed to assure proper construction or to prevent or mitigate an event.
While Severity Level IV violations in themselves are not cause for significant concern.. if left uncorrected they could lead to matters of significant concern.
Severity Level V covers violations that could lead to matters of concern if left uncorrected.
S'everity Level VI defines violations that are of minor concern.
Because of the considerable differences in the types of activities regulated by the NRC, separate severity levels are defined for each of seven areas of licensee activities.
Violations of regulatory requirements are scaled according to their relative importance within each of the seven areas and are set forth in Appendices I through VII as described below:
(3) Reactor Operations (Appendix I)
(2) Reactor Construction (Appendix II)
(3) Reactor, Fuel Cycle, and Transportation Safeguards (Appendix III).
(4) Health Physics (Appendix IV)
(5) Transportation (Appendix V)
(6)
Fuel Cycle Operations (Appendix VI), and (7) Nuclear Materials (Appendix VII).
Violations not specifically identified by a severity level will be placed at the level best suited to the significance of the particular violation.
IV.
ENFORCEMENT ACTIONS This section describes the enforcement sanctions available to NRC and specifies the conditions under which each would be used.
The basic sanctions are notices of violation, civil penalties, orders of various types, and other enforcement related actions.
A.
A Notice of Violation is a written notice setting forth one or more violations of specific regulatory requirements.
The notice requires the licensee to provide a written statement describing corrective actions taken (or planned), the results achieved, and the date full compliance will be achieved.
NRC uses the notice of violation as the st~andard method for formally recording the existence of a violation.
The notice may be the only enforcement action taken or it may be used as a basis for other enforcement actions such as civil penalties and orders.
Because the Commission wants to " encourage and support licensee 4
A initiatives for self-identification and correction of problems,"
NRC will not generally issue notices of violation for violations that:
(a) have been identified by the licensee, (b) are in Severity Levels V or VI, (c) do not result in a reportable event, and
?
O' (d) are corrected within a(reasonabl I
Licensees are not ordinarily cited for violations resulting from equipment failures that are not the result of inadequate design, procedures, quality assurance, communications, or personnel error.
3,
- %~-
A notice of violation is issued to a facility operator where a failure to comply with an operator's license contributes directly to violations of Severity Levels I, II or III (assum1.3 such failure to comply by an operator did not result from direction by a licensed supervisor with respect to the relevant action).
Generally, whenever a licensed operator is issued a notice of violation, the facility licensee also receives a notice of violation.
For recurring operator involvement in Severity Level I, II, or III violations, NRC also considers suspensions or revocations of the operator's license.
B.
A Civil Penalty is a monatary penalty for violation (s) of:
(1) specified regulatory requirement (s) under named sections of the "FY82-86 Policy, Planning, and Program Guidance," par. IIB 2a.
s 4
Atomic Energy Act, (2) any requirement for which a license may be revoked, and (3) a requirement to report defect (s) under section 206 of the Energy Reorganization Act (see 10 CFR 2.205).
Civil penalties are generally imposed in the following situations:
(1) Severity Level I, II, or III violations, (2) Severity Level IV and V violations that are similar to violations discussed in a previous enforcement conference, 5/
(3) knowing and conscious 5 violations of the reporting requirements of section 206 of the Energy Reorganization Act by a non-licensee, (4) willful 2! violations of requirements, including:
(a) those imposed under the National Environmental Policy Act.
5/ In applying this guidance, NRC normally considers civil penalties only for violations that occur within one year.
NRC also considers the licensee's success in dealing with previously identified concerns.
Enforcement conferences are to be conducted for all Severity Level I, II and III violations as well as for Severity Level IV and V violations that are considered programmatic (rather than isolated) concerns.
s/ The " knowingly and consciously" standard is established by section 206(b) of the Energy Reorganization Act.
Z/ The " willful" standard is established by Section 9B of the Administrative Procedures Act. (Expansion covering " callous disregard" to be furnished by ELD.)
(b) material false statements as described in section IP6 of the Atomic Energy Act.
(c) any other violation for which a license can be revoked under section 186 of the Atomic Energy Act.
In determining the amount of a civil penalty, the Commission believes the gravity of the item of noncompliance is of paramount concern.
However, NRC also considers duration of the noncompliance, how the problem was identified, financial impact nn the licensee, good faith of the licensee, and prior enforcement history.8/
As shown in Table I, NRC imposes different levels of penalties on various classes of licensees.
These distinctions are made primarily on the basis of risk.
Licensee classes toward the top of the table are penalized more heavily because their operations --
generally involving greater nuclear material inventories and greater threats to the public and licensee employees -- are considered to pose greater risks.
A secondary factor considered in Table I is the ability of various licensee classes to pay the costs of NRC penalties, 8/ These factors are derived from the Conference Report on the FY 80 NRC Authorization Bill.
With regard to " good faith" the NRC considers the timeliness and adequacy of corrective actions beyond regulatory require-ments completed by the licensee on his own initiative prior to NRC enforcement history and the totality of circumstances associated with the violation.
Good faith does not normally offset a poor prior cnforcement history nor will it normally be considered except where the licensee's corrective action has been exceptional.
_g-
since it is not the Commission's intent to have the economic impact of a civil penalty be such that it puts a licensee out of business or adversely affects a licensee's ability to safely conduct licensed activities.
The deterrent effect of NRC penalties is best served when their amounts correspond to a licensee's " ability to pay."
Penalties that are disproportionately large or small are not effec-tive in deterring future noncompliance.
Generally, the licensee classes toward the top of Table I comprise larger firms, while those toward the bottom tend to be smaller.
In determining the amounts of civil penalties for licensees for whom the table does not accurately reflect the ability to pay, NRC will consider necessary modifications on a case-by-case basis.
The dollar values shown in Table I are those normally imposed for violations at the Severity Levels and for the types of licensees indicated.
Civil penalties may be increased up to 25% of the values shown in Table I, if the licensee could reasonably have been expected to have had sufficient prior knowledge to have taken effective pre-ventive measures.
(e.g. - the licensee was aware of the problem because of prior issuance of Orders, Bulletins, Circulars, Informa-tion Notices, Generic Letters, or notices of violation.)
For those cases where the NRC concludes that the licensee deserves special mitigation for " good faith," a reduction of up to 25% of the values shown in Table I may be applied.
As shown in Table I, if a licensee identifies, corrects and
. reports, where required, a violation in a timely fashion, the civil penalty will be redu"ed by 50 percent.
It is expected that this significant reduction will provide an incentive to licensees to find and correct problems through their own management control systems.
In the case of violations at Severity Levels I, II or III, the amounts shown in Table I may be imposed for each violation.
However, in order to emphasize the focus on the specific event (s) or problems (s) of concern, generally the amounts shown in Table I will be the maximum for all violations related to the specific event or problem.
A greater civil penalty is also imposed if the violation continues for more than a day.
In general, the maximum civil penalty for a continuous violation of a given Severity Level is not to exceed the maximum civil penalty for a single violation of the next higher Severity Level (e.g., a continuing Severity Level III viola-tion for a reactor will not exceed $100,000, the maximum for a single Severity Level II violation).
A continuing violation for a Severity Level I or II viclation is generally not to exceed three
t-imes the maximum for a Severity Level I violation.
Civil penalties in excess of these limits would require specific Commission approval (see Section V).
The degree of good faith and enforcement history are considered in the determination of Severity Level IV and V violations because these factors are relevant to a decision to conduct an enforcement conference.
Failure by a licensee to improve regulatory performance following such a conference may lead to the assessment of a civil penalty.
C.
An Order is a written NRC directive to modify, suspend, or revoke a license; to cease and desist from a given practice or activity; or to take such other action as may be proper (see 10 CFR 2.202 and 2.204).
1.
License Modification Orders are issued when some change in the conduct of a licensed activity is necessary in the interest of the public health and safety.
These orders are made effective immediately, without prior opportunity for hearing, when NRC determines that the public health, safety, or interest so requires, or for actions involving willful violations.
Other-wise, the licensee has a prior opportunity for a hearing on the modification.
In addition, in cases where a basis could reason-ably exist for not modifying the license in the manner proposed, the licensee shall also be afforded an opportunity to show cause why the license should not be modified in the manner proposed.
2.
Suspension Orders may be employed:
(1) to remove a threat to the public health and safety or to allow for an adequate investigation and assessment of such a threat; (2) to stop reactor construction when:
(a) further work could preclude the identification and correction of an improperly constructed safety related system or component, or (b) the licensee's quality assurance program implementation is not adequate and effective to provide confidence that construction activi-ties are being properly carried out; (3) when the licensee has not responded adequately to other enforcement action; (4) to permit, where necessary, the conduct of an inspection or investigation; or (5) for any other reason for which the Commission may revoke the license.
Suspensions may apply to all or part of a licensed activity; they are to remain in effect until the problem is corrected.
Ordinarily, licenses are not suspended (nor are suspensions prolonged) for failure to comply with requirements where such failure is non-will ful and adequate corrective action has been taken.
The policies governing immediately effective suspension orders and the licensee's opportunities for hearings (and to s.
show cause) are the same as those described above for license modification orders.
3.
Revocation Orders may be employed when:
(1) a licensee is unable or unwilling to comply with NRC requirements, (2) a licensee refuses to correct a violation, (3) a licensee does not respond to a notice of violation, or (4) for any reason that the Commission may revoke a license under section 186(a) of the Atomic Energy Act.
4.
Cease and Desist Orders are typically used to stop an unauthor-ized activity that has continued despite NRC notification.
D.
Otner Enforcement Actions In addition to notices of violation, civil penalties, and orders, NRC also uses enforcement conferences, bulletins, circulars, information notices, generic letters, notices of deviation and inmediate action letters as part of its eniorcement program.
These actions create licensee obligations and commitments which may not in themselves be binding legal requirements.
However, NRC expects licensees to scrupulously adhere to these obligations and commitments and will not hesitate to use all available enforcement sanctions to make sure that they do so.
1.
Enforcement Conferences are meetings that NRC holds with licensee management to discuss safety, safeguards or environ-mental problems, licensee compliance with regulatory require-ments, the licensee's proposed corrective measures (including schedules for implementation), and enforcement opticr.s available to the NRC.
2.
Bulletins, Circulars, Information Notices and Generic Letters are written notifications to groups of licensees identifying specific problems and requesting or recommending specific actions on their part.
3.
Notices of Deviation are written notices describing a licensee's 3
or a vendor's failure to honor commitments or ccaform to the provisions of applicable codes, standards, guides, or accepted industry practices that are not regulatory requirements, per se, but which are endorsed by the Commission as applicable to a class of licensees.
The notice of deviation requests the licensee or vendor to provide a written explanation or statement describing corrective steps taken and the results achieved (or corrective steps that are planned), and the date of corrective action.
4.
Immediate Action Letters (IALs) are letters confirming a licensee's agreement to take certain actions to remove health and safety, safeguards, or environmental concerns.
E.
Referral to Department of Justice.
Potentially criminal violations of Federal statutes, including the Atomic Energy Act, are referred to the Department of Justice for consideration of investigation and possible prosecution.
Referral to the Department of Justice does not preclude NRC's taking other enforcement action under this General Statement of Policy.
F.
Escalation of Enforcement Sanctions NRC considers violations of Severity Levels I, II, or III very serious and expects them to occur infrequently.
If repetitive serious violations occur, NRC will consider issuing orders in conjunc-tion with civil penalties to achieve immediate corrective actions and/or to deter their further recurrence.
NRC carefully considers the circumstances of each case and uses considerable judgment-in selecting and applying the sanction (s) t7at are appropriate to that case.
Higher sanctions, such as civil penalties and revocation or suspension orders, are imposed in accordance with the criteria described in sections IV B and C.
Examples of the progression of enforcement actions that could be taken for Severity Level I, II or III violations are set forth in Table II.
The actual progression to be used in a particular case will depend on the totality of circumstances.
Similarly, civil penalties involving recurrences of Severity Level IV and V violations are handled on a case-by-case basis.
Normally the progression of enforcement actions for recurring violations will be based on violations under a single license (e.g.
a single power reactor unit)..
However, there may be circumstances dictating consideration of recurring violations under separate licenses held by a single licensee (e.g., multi-unit power reactor sites or multiple-site licensees).
Recurring violations involving transportation (See Appendix VI) will normally result in civil penalties and orders for modification of licenses.
V.
RESPONSIBILITIES The Director, Office of Inspection and Enforcement, as the principal enforcement officer of the Commission, is delegated the authority to issue notices of violations, civil penalties, and orders.
The Directors of the Offices of Nuclear Reactor Regulation and Nuclear Materials Safety and Safe-guards have also been delegated the authority to issue orders and civil penal-ties.
Each of these Directors exercises judgment and discretion in determining the Severity Level of the violations and the appropriate enforcement sanctions, including the decision to impose a civil penalty and the amount of such penalty, consistent with this general statement of policy and the technical merits of the case.
A Certain enforcement functions are reserved for the Commission.
Accordingly, the Directors will inform or consult with the Commission as follows:
A.
Informing the Commission The staff provides prior notification to the Commission on all elevated enforcement actions involving civil penalties or orders.
B.
Consultation with the Commission The staff will consult with the Commission prior to taking the following enforcement actions (unless the urgency of the situation dictates immediate action by the staff):
1.
Actions that appear likely to affect adversely the common defense and security and those that may deny a needed public service (e.g., need for power, or loss of sole source of needed medical isotopes);*
FY82-86 Policy, Planning and Program Guidance, par. IIA 2d.
2.
Civil penalties in amounts greater than the maximum values prescribed in section IV B; 3.
Actions in which the Commission asks to be involved, or 4.
Other actions that the Director believes warrant Commission involvement.
O n -
TABLE I Base Civil Penalties for Severity Levels Versus Types of Licensees I
II II IV V
Power Reactors
$80,000
$80,000 540,000 515,000 55,000 Test Reactors, 40,000 40,000 20,000 7,'500 2,500 Fuel Facilities Research Reactors, 16,000 16,000 8,000 3,000 1,000 Critical Facilities, Other Materials 8,000 8,000 4,000 1,500 500 Licensees and Responsible Offi-cials subject to 10 CFK 21
v TABLE II Examples of Progression of Escalated Enforcement Actions For Violations in the Same Activity Area Under the Same License Severity of Number of Similar Violations Within 1 Year Violation 1st 2nd 3rd I
a+b a+b+c d
II a
a+b a+b+c III a
a a+b a - Civil Penalty b - Suspension of affected operations until Director is satisfied that there is reasonable assurance that t' e licensee can operate in compliance with the applicable requirements; or modification of the license, as appropriate.
c - Show cause for revocation; or modification of the license, as appropriate.
d - Further action, as appropriate.
Appendix I Severity Categories Reactor Operations A.
Severity I - A violation which results in or constitutes:
1.
a Safety Limit, as defined in the Technical Specifications, being exceeded; 2.
a system designed to prevent or mitigate a serious safety event not able to perform its intended function when actually called upon to work; 3.
an accidental criticality; or 4.
a release of radioactivity in excess of ten (10) times the Technical Specification limit.*
B.
Severity II - A violation which results in or constitutes:
1.
a system designed to prevent or mitigate significant safety events not being able to perform its intended function; 2.
a release of radioactivity greater than five (5) times the Technical Specification limit *; or 3.
failure to make a required prompt report by telephone or other electronic means.
C.
Severity III - A violation which results in or constitutes 1.
a Technical Specification Limiting Condition for Operation being exceeded where the appropriate Action Statement was not satisfied; 2.
a system designed to prevent or mitigate a serious safety event not being able to perform its intended function under certain conditions (such as not operable unless offsite power is available);
3.
a release of radioactivity greater than the Technical Specification limit *;
4.
a violation of 10 CFR 50.59 such that an amendment was not sought; 5.
a failure to make a 10 CFR Part 21 report; or 6.
intimidation of employees leading to an extensive chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
- This does not apply to instantaneous release limit.
Appendix I D.
Severity IV - A violation which results in or constitutes:
1.
inadequate review or '5e failure to review in accordance with 10 CFR 50.59 or 10 CFR 21, ai.d which does not result in a severity category I, II, or III violation; 2.
any technical specification limit, not covered by severity categories I, II, or III, being exceeded; 3.
failure to follow requirements not covered in severity categories I, II, or III which measureably degrades the safety of operations; 4.
a failure to make a required 14-or 30-day report; or 5.
intimidation of employees leading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
E.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety or environmental significance.
F.
Severity VI - A violation which has minor safety or environmental significance.
Appendix II Severity Categories Reactor Construction A.
Severity I - A violation which results in or contributes to a structure of system being completed in such a manner that it would not have satisfied its intended safety related purpose.
B.
Severity II - A violation which results in or contributes to:
1.
significant lack of quality assurance program implementation as shown by multiple program implementation violations in more than one work activity (e.g., structural, piping, electrical, foundations),
where the violations were not identified and corrected until after intallation and inspection by quality assurance / quality control checkpoints which are relied upon to identify such violations; or 2.
part of a structure or system being compieted in such a manner that it could have an adverse affect on the safety of operations.
C.
Severity III - A violation which results in or contributes to:
1.
a lack of quality assurance program implementation related to a single work activity (e.g., structural, piping, electrical, founda-tions) as shown by multiple program implementation violations which were not identified and corrected by more than one quality assurance / quality control checkpoint; or 2.
pre-operational program implementation violations where the violations result in the completed failing to confirm the design safety requirements of the structure or system; 3.
a failure to make a required 10 CFR 50.55(c) or 10 CFR 21 report; or 4.
intimidation of employees leading to an extensive chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discriminatiun.
D.
Severity IV -
1.
A violation of one or more Quality Assurance Criteria not amounting to a Category I, II, or III violation; or 2.
intimidation of employees leading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or ot' r evidence of such discrimination.
Appendix II E.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety or environmental significance.
F.
Severity VI - A violation which has minor safety or environmental significance.
E
Appendix III Severity Categories Reactor and Fuel Facility Safeauards A.
Severity I - A violation which results in or constitutes:
1.
the actual entry of an unauthorized individual into a vital area or material access area from outside the protected area; l
"~
2.
the actual theft, loss, or diversion of SNM; or i
3.
failure to promptly report a theft or diversion of SNM or an act of industrial sabotage.
B.
Severity II - A violation which results in or constitutes:
1.
the breakdown of security systems designed or employed to prevent an unauthorized individual from entering a vital area or material access area from outside the protected area such that access could have been gained without detection; 2.
failure to operate the central (or secondary) alarm station; 3.
a failure to respond to unauthorized or unanticipated security alarm annunciations;
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v' J 4.
the breakdown of safeguards systems designed or employed to prevent the unauthorized removal of SNM from a material access area or other es area of authorized use ol(storage; or 5.
the breakdown of transportation security systems designed or employed to prevent the theft, loss of diversion of SNM such that theft, loss, or diversion could have occurred without detection.
C.
Severity III - A violation which results in or constitutes:
1.
a failure to provide protection or control of access into the protected area; 2.
a failure to provide prote. tion or control of access to a vital area or material access area; 3.
a failure to provide security systems to prevent unauthorized access to the transport vehicle or the SNM being transported; 4.
failure to provide an adequate response force; 5.
a failure to make a required 10 CFR Part 21 report; 6.
a failure to provide a system of control over SNM to prevent its unauthorized removal; or
Appendix III 7.
intimidation of employees leading to an extensive chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
D.
Severity IV - a violation which results in or constitutes:
1.
the degradation of barriers of protected or vital areas, the transportation security system, or the system of control over SNM and which does not result in severity category I, II, or III violations; 2.
the failure of the security orgarhation to follow procedures to cope with actual security incidents, not covered by severity categories I, II, or III; 3.
the failure of corporate or site security management to provide adequate direction or supervision of the security prtgram and which does not result in severity category I, II, or III violations; or 4.
intimidation of employees leading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
E.
Severity V - Any other violation, including failure to follow procedures or approved security plan commitments, which has other than minor safeguards significance.
F.
Severity VI - A violation which has minor safeguards significance.
Appendix V Severity Catecories Transportation A.
Severity I - A violation of NRC or D0T Transportation requirements which results in or constitutes:
1.
exposure of a member of the public in excess of 0.5 rem,; or 2.
a breach of package integrity resulting in surface contamination or external radiation levels in excess of ten (10) times the NRC or DOT limits.
B.
Severity II - A violation of NRC or DOT Transportation requirements which results in or constitutes:
1.
breach of package integrity resulting in surface contamination or external radiation levels in excess of NRC or DDT requirements; 2.
surface contamination or external radiation levels in excess of three times NRC or DDT limits which did not result from a breach of package integrity; or 3.
failure to make required initial notifications associated with Severity Level I or II violations.
C.
Severity III - A violation of NRC or DDT Transportation requirements which results in or constitutes:
1.
a breach of package integrity resulting in surface contamination or external radiation levels, even though the resultant levels are not in excess of NRC or DOT limits; 2.
surface contamination or external radiation levels in excess of, but less than a factor of-three above NRC or DOT requirements, and which did not result from a breach of package integrity; 3.
noncompliance with labelling, placarding, shipping paper, packaging, loading, or other requirements which could reasonably result in:
a.
improper identification of the type, quantity, or form of
- material, b.
the failure of the carrier or recipient to exericse adequate controls, or c.
a substantial potential for personnel exposure or contamination; 4.
failure to make required initial notification associated with Severity Level III violations; or
Appendix V 5.
intimidation of employees leading to an extensive chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
D.
Severity IV - A violation of NRC or 00T transportation requirements which results in or constitutes:
1.
any noncompliance involving package selection or preparation requirements which does not result in a breach of package integrity nor surface contamination or external radiation levels in excess of NRC or DOT requirements; 2.
involves failure to follow procedures or inadequate procedures, not covered in severity categories I, II, or III which reduces the
,r.argin of safety; or 3.
intimidation of employees leading to a limiting chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
E.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety or environmental significance.
F.
Severity VI - A violation which has minor safety or environmental significance.
Appendix IV Severity Cateoories Reactor, Fuel Facility and Materials (Health Physics - 10 CFR 20)
A.
Severity I - A violation which results in or constitutes:
1.
exposure of a worker in excess of 25 rems of radiation to the whole
.sody, 150 rems to the skin, of the whole body, or 375 rems to the feet, ankles, hands, or forearm; 2.
exposure of a member of the public in excess of 0.5 rems of radiation; 3.
the release of radioactive material tc an unrestricted area in excess of 10 times the limits of 10 CFR 20.106; 4.
radiation level-in an unrestricted area which exceeds 100 millirem / hour for a one hour period; 5.
disposing of ricensed material in quantities or concentrations in excess of 10 times the limits of 10 CFR 20; or 6.
exposure of a person in restricted areas in excess of 10 times the limits of 10 CFR 20.103.
B.
Severity II - A violation which results in or constitutes:
1.
exposure of a worker in excess of 5 rems of radiation to the whole body, 30 rems to the skin of the whole body, or 75 rems to the feet, ankles, hands, or forearm, 2.
exposure of a member of the public in excess of 0.1 rems of radiation; 3.
release of radioactive material to an unrestricted area in excess of 5 times the limits of 10 CFR 20.106; 4.
failure to make an immediate notification as required by 10 CFR 20.403(a)(1) and 10 CFR 20.403(a)(2);
5.
radiation level in an unrestricted area which exceeds 50 millirem /
hour for a one hour period; 6.
disposing of licensed material in quantities or concentrations in excess of 5 times the limits of 10 CFR 20; or 7.
exposure of a person in restricted areas in excess of 5 times the limits of 3^ CFR 20.103.
Appendix IV C.
Severity III - A violation which results in or constitutes:
1.
exposure of a worker to levels in excess of those specified in 10 CFR 20.101 or 20.104; 2.
radiation level in an unrestricttd area which exceeds 5 millirem /
hour for a one hour period; 3.
failure to make a 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> notification as required by 10 CFR 20.403(b) or an immediate notification required by 10 CFR 20.402(a);
4.
substantial potential for an exposure or release in excess of 10 CFR 20 where such exposure or release does not occur (e.g., entry into high radiation area without having performed an adequate survey, operation of a radiation facility with a nonfunctioning interlock system);
5.
release of radioactive material to an unrestricted area in excess of the limits of 10 CFR 20.106; 6.
disposing of licensed material in quantities or concentrations in excess of the limits of 10 CFR 20; 7.
exposure of a person in restricted areas in excess of the limits of 10 CFR 20.103; or 8.
intimidation of employees leading to an exteNive chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of st-h discrimination.
D.
Severity IV - A violation which results in or constitutes:
1.
failure to follow requirements (e.g., inadequate survey, incomplete dosimetry, improper posting), not covered in severity categories I, II, or III which substantially reduces the margin of safety; 2.
radiation levels in an unrestricted area such that an individual may receive greater than 2 millirem in a one hour period or 100 millirem in any seven consecutive days; 3.
failure to make a 30 day notification required by 10 CFR 20.405; or 4.
intimidation of employees laading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
E.
Severity V - A violation which results in or constitutes:
1.
failure to make a followup written report as required by 10 CFR 20.402(b), 20.408, and 20.409; or
~.
Appendix IV 2.
any other violation, including failure to follow procedures, which has other than.,inor safety or environmental significance.
F.
Severity VI - A viola; ion which has minor safety or environmental significance.
8 5
Appendix VI Severity Categories Fuel Facility Operations A.
Severity I - A violation which results in or constitutes:
1.
a nuclear criticality accident; or 2.
a system designed to prevent or mitigate a serious safety event not being operable when actually required to perform its design function.
B.
Severity II - A violation which results in or constitutes:
1.
a system designed to prevent or mitigate a serious safety event being inoperative; 2.
conduct of activities not authorized by the license which have a significant safety implication; or 3.
a failure to make an imr diate or prompt report required to be made by telephone or other electronic means.
C.
Severity III - A violation which results in or constitutes:
1.
a degraded systen designed to prevent or mitigate a serious safety event (e.g., confinement barriers or criticality controls);
2.
operation with unqualified, unauthorized, personnel resulting in a reduced margin of safety; i
3.
a failure to make a 10 CFR Part 21 report; 4.
a release for unrestricted use of contaminated material or equipment substantially in excess of licensed limits; or 5.
intimidation of employees leading to an extensive chilling effect on open communication with NRC, as evidenced by a finding by the Depart-ment of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
D.
Severity IV - A violation which 1.
involves inadequate review or the failure to review activities in accordance with 10 CFR 21 or involves management reviews required by the license which are not performed or are performed inadequately but which does not result in a severity category I, II, or III violation; 2.
causes or constitutes exceeding any operation limit not covered by severity categories I, II, or III;
Appendix VI 3.
involves failure to follow requirements not covered in severity categories I, II, or III which reduces the margin of safety; 4.
results in failure to make a required 30 day report; 5.
results in a release for unrestricted use of contaminated material or equipment in excess of licensed limits or the failure to decontaminate plant areas as required; or 6.
intimidation of employees leading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practice, under Section 210 of the Energy Reorganization Act, or other evidence of such discrimination.
E.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety or environmental significance.
F.
Severity VI - A violation which has minor safety or environmental significance.
Appendix VII Severity Categories Materials Licensee Operations A.
Severity I - A violation which results in or constitutes:
1.
technically unqualified or unauthorized personnel conducting a licensed activity which results in radiation levels, contamination levels or release which exceeds 10 times the limits specified in the license; 2.
utilization of unauthorized equipment which results in radiation levels, contamination levels, or releases which exceed 10 times the limits specified in the license; 3.
possession or utilization of unauthorized materials requiring a license which results in radiation levels, contamination levels or releases which exceeds 10 times the limits specified in the license; 4.
failure to perform required surveys, tests or evaluations, or instittte required safety precautions which results in radiation levels, contaminated levels or releases.hich exceed 20 times the limits specified in the license; or 5.
a system designed to prevent or mitigate a serious safety event not being operable when actually required to perform its design function.
B.
Severity II - A violation which results in or constitutes:
1.
technically unqualified or unauthorized personnel conducting a licensed activity which results in radiation levels, contamination levels, or releases in excess of license limits; 2.
possession or utilization of unauthorized equipment or material in conduct of licensed activities, which results in contamination ievels, radiation levels or releases which exceed license requirements; 3.
failure to perform required surveys, tests, or evaluations which-results in radiation levels, contamination levels or releases which exceed 10 times the limits specified in the license; 4.
failure to make required initial notifications associated with severity level I or II violations; or 5.
a system designed to prevent or mitigate a serious safety event being inoperative.
C.
Severity III - A violation which results in or constitutes:
.. i Appendix VII 1.
failure to perform required surveys, tests or evaluations, or institute required safety precautions which results in radiation levels or releases which exceed the limits specified in the license; 2.
failure to control access to licensed materials for radiation purposes as specified by NRC requirements; 3.
possession or utilization of unauthorized equipment or materials in conduct of licensee activities; 4.
procurement of radioactive drugs from an unauthorized supplier; 5.
conduct of licensed activities bv unqualified or unauthorized personnel; 6.
failure to make required initial notifications associated with severity level III violations; 7.
failure to make a 10 CFR Part 21 report; 8.
a degraded system designed to present or mitigate a serious safety event; or 9.
intimidation of employees leading to an extens#,e chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Reorganization Act, or other evidence or such discrimination.
D.
Severity IV - A violation which results in or constitutes:
1.
failure to follow requirements not covered in severity categories I, II, or III which reduces the margin of safety (e.g., failure to determine radiographic source is fully retracted after an exposure, failure to maintain patients containing cobalt-60, cesium-137, or
- - - - ~ ~~- --
iridium-192 implants hospitalized, failure to conduct required-leakage or contamination tests, utilization of improperly calibrated equipment);
2.
involves inadequate review or the failure to review activities in accordance with 10 CFR 21 or involves management reviews required by the license which are not performed or are performed inadequately but which does not result in a severity I, II, or III violation; or 3.
intimidation of employees leading to a limited chilling effect on open communication with NRC, as evidenced by a finding by the Department of Labor of discriminatory practices under Section 210 of the Energy Recrganization Act, or other evidence or such discrimination.
Appendix VII E.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety or s 4vironmental significance.
F.
Severity VI - A violation which has minor safety or environmental significance.
-