ML19309A695
| ML19309A695 | |
| Person / Time | |
|---|---|
| Issue date: | 03/13/1980 |
| From: | Stello V NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | |
| Shared Package | |
| ML19309A694 | List: |
| References | |
| REF-10CFR9.7, TASK-PS, TASK-SE SECY-80-139, NUDOCS 8004010017 | |
| Download: ML19309A695 (38) | |
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' O UNITED STATES NUCLEAR REGULATORY-COMMISSION.
WASHINGTON, D. c. 20555 SECY-80-139 March 13, 1980 POLICY SESSION ITEM FOR:
The Commissioners FROM:
Victor Stello, Jr., Director Q/
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Office of Inspection and Enforcement (,Gi %
THRU:
Executive Director for Operations
SUBJECT:
NRC ENFORCEMENT PROGRAM PURPOSE:
To request Commission approval of a General Statement of Enforcement Policy.
DISCUSSION:
After informal consultation with the Commission, the Staff provided all licensees with a general patement of its enforcement policy on December 31, 1974, This statement describes the various types of enforcement actions and sets forth examples of circumstances in which each type of action would be considered for use.
Existing enforcement policy has never been formally approved by the Commission.
For this reason, as well as j
because of the increasing emphasis on enforcement gener-ally and the pending legislation to increase the Commis-sion's civil penalty authority, the Staff has reassessed current enforcement policies.
The result of the Staff's reassessment of current enforce-mentpoliciesistheapachedpreposedGeneralStatement l
The rationale for the General Statement will be addressed at the Commission briefing on this paper.
However, in very broad terms the attached policy statement was developed with two basic ideas in mind.
" Criteria for Detemining Enforcement Action and Categories of Items y
of Noncompliance with AEC Regulatory Requirements." This document was noticed in the Federal Register at 40 FR 820 (January 3, 1975).
The criteria were supplemented on December 3, 1979 (44 FR 77135) to pro-vide guidelines for detemining enforcement actions for violations of requirements governing the transportation of nuclear materials.
The proposed General Statement of Enforcement Policy has been developed y
on the assumption that pending legislation increasing the present authority of $5,000 per violation with a $25,000 limitation for all violations in any thirty day period to S100,000 per violation without a cap will be enacted.
Contact:
Norman Moseley, IE
- This paper is currently scheduled for discussion at a Commission meeting on X28160 Wednesday, March 19, 1980.
2 og 7 8 0 0 4 0100rl etree w e;-
The Commissioners.-. - -_- - -. - -
The first idea is that the universe of enforcement actions available to the NRC can be divided for analy-tical purposes into two categories:
(a) fonnal actions of which there are three types (notices of violation, civil penalties, and orders) and (b) informal actions, such as enforcement conferences, bulletins, notices of deviation and immediate action letters.
The other basic idea is that enforcement actions are not always taken in response to a failure to comply with existing requirements.
Rather, on occasion, enforcement actions may also be taken in the absence of any failures to comply with existing requirements; for example, where a newly discovered safety problem not previously covered by any requirement is found to exist.
RECOMMENDATION:
I recommend that the Commission approve for publication in the Federal Register as a proposed general statement of enforcement policy the attached proposed General Statement of Enforcement Policy.
I further recommend that:
public comment be solicited on the statement, upon completion of the comment period the comments be evaluated, appropriate revision to the proposed statement of policy then be made and the statement then be republished as Commission policy and codified as Appendix C to P rt 2 of Title 10, Code of Federal Regulations.
NOTE: After Approval of the proposed General Statement of Enforcement Policy, the appropriate publication pack-age (i.e., Statement of Considerations, etc.) will be submitted for review and approval.
3J These recommendations are consistent with the recommendations of the Comptroller General of the United States in a report entitled " Higher
. Penalties Could Deter Violations of Nuclear Regulations", dated February 16, 1979, and Recommendation 79-3 " Agency Assessment and Mitigation of Civil Money Penalties" of The Administrative Conference of the United States.
Both of these recommendations suggested that public comment be solicited and considered in the adoption of enforce-ment policy. The GA0 recommended that the enforcement policy Le adopted through rulemaking. The Administrative Conference recommended that enforcement policy be adopted either through rulemaking or publication of a policy statement.
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The Comissioners. _ _ _
COORDINATION:
The Offices of Nuclear Reactor Regulation, Nuclear Material Safety and Safeguards, and Standards Develop-ment, concur with this paper.
The Office of Executive Legal Director contributed substantially to the develop-ment of the enclosed policy statement and has no legal objection. The Office of Management and Program Analysis agrees in principle with this paper but offers separate views attached.
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Victor Stello, Jr., Director Office of Inspection and Enforcement ED0 NOTE:
In order not to delay this paper, it is being forwarded to you in its present form.
I draw your attention to comments from the Office of Management and Program Analysis (MPA).
I have directed IE to respond further to these comments.
That response will be forwarded to you short.ly.
I
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.%4 William. Dircks Acting Executive Director for Operations
Enclosures:
1.
General Statement of Enforcement Policy 2.
Views of Office of Management and Program Analysis 3.
December 31, 1974 Criteria for Determining Enforcement Action DISTRIBUTION Comissioners Commission Staff Offices Exec Dir for Operations ACRS ASLBP ASLAP Secretariat l
Enclosura 1
,v TABLE OF CONTENTS GENERAL STATEMENT OF ENFORCEMENT POLICY I.
INTRODUCTION................................................
1 II.
LEGAL FRAMEWORK 1
III. SEVERITY OF VIOLATIONS......................................
4 IV.
TYPES AND USES OF ENFORCEMENT ACTIONS A.
INFORMAL ACTIONS' 1.
Enforcecent Conference.............................
5 2.
Bulletin...........................................
5 3.
No t i ce o f Devi a ti on................................
6 4.
Immediate Action Letter (IAL)......................
6 B.
FORMAL ACTIONS 1.
Notice of Violation................................
6 2.
Civil Penalty......................................
7 3.
Order..............................................
9 V.
RECURRENCE OF SEVERITY.. I, :II, OR III VIOLATIONS.............
12 Table I Basic Civil Penalties Table II Civil Penalties' for Groups of Licensees Table III Enforcement Action Table IV Enforcement Actions Against Licensed Operators t
Attachment A -
Reactor Operations Attachment B Reactor Construction
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Attachment C Reactor, Fuel Cycle, and Transportation Safeguards Health Physics - 10 CFR 20 (Reactor, Fuel Cycle and Materials)
Attachment D Attachment E Transportation Attachment F Fuel Cycle Operations Attachment G Nuclear Materials l
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GENERAL STATEMENT OF ENFORCEMENT POLICY I.
INTRODUCTION The following statement explains in detail the policies and procedures which the Nuclear Regulatory Commission expects to be followed by the staff in taking enforcement actions and by presiding officers, Atomic Safety and Licensing Boards and Atomic Safety and Licensing Appeal Boards in reviewing such actions.
This statement is not applicable to antitrust enforcement matters which will be dealt with on a case by case basis.
The enforcement policies of the Commission are intended to promote the
" meticulous attention to detail'O and "high standard of compliance'U which have been the goals of Commission regulation from its very beginnings.
Those policies are designed to assure the protection of the public health and safety, the common defense and security and the environment.
II.
LEGAL FRAMEWORK The Commission's enforcement jurisdiction stems essentially from three provisions of the Atomic Energy Actor 1954, as amended, sections 161, 186 and
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234, and section 206 of the Energy Reorganization Act.
The provisions of sec-tion 161 of the Atomic Energy Act authorize all necessary inspections and the issuance of such orders as may be "necessary or desirable to promote the common -
defense and security or to protect health or to minimize danger to life or property".
Section 186 authorizes the revocation of licenses under prescribed cir-cumstances such as for a material false statement in the' license application, if In the Matter of X-Ray Engineering Co., 1 AEC 553, 555 (1960).
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In the Matter of Hamlin Testing Laboratories, Inc., 2 AEC 423, 428 (1964).
.. the existence of conditions which would warrant refusal of a license on an original appitcation, the failure to build or operate a facility in accord-ance with terms of the pemit or license, or for violation of any regulation i
of the Commission.
Except in cases of willfulness or those in which the public health, safety or interest so requires, a licensee will be given an opportunity to demonstrate or achieve compliance before a license is revoked or suspended.
Section 234 authorizes the imposition of civil penalties for the viola-tion of certain specified licensing provisions of the Act or implementing Commission rules or orders.
Section 206 of the Energy Reorganization Act authorizes 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 facili-tiesoractivities.E In addition to the Commission's administrative enforcement jurisdic-tion, to which this policy statement is addressed, the Atomic Energy Act also provides (in Chapter 18 thereof; section 221 and following) for criminal penalties for certain violations and for the obtaining of injunctions against acts or practices which constitute violations of the A::t or any rule or l
order issued under the authority of the Act.
By regulation, the Commission has implemented the enforcement provisions 1
of sections 161, 186 and 234 of the Atomic Energy Act and section 206 of the
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The foregoing descriptions of the basic enforcement provisions of the 3]
statutes are summary in nature.
Where important, the actual words of the statutes should be consulted.
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. Energy Reorganization Act.
The implementing regulations are set forth in 10 CFR Part 2 sections 2.201, 2.202, 2.204 and 2.205 and 10 CFR Part 21.
Enforcement actions can be taken even in the absence of any violation of existing requirements; for example, where a newly discovered safety problem not previously covered by any request is found to exist.
Civil penalties, however, will not be imposed absent a violation of existing requirements.
When formal enforcement action such as modification, suspension or revocation of a license is based upon a violation of existing requirements, i
such action will be preceded by a notice of violation in accordance with 10 CFR 2.201 unless it is found that the public health, safety or interest requires that the action be made effective immediately or unless a willful violation is involved.
Section 2.202 of 10 CFR sets forth the procedures for an order to show cause why a license should not be amended, suspended, or revoked or why other action as may be proper should not be taken.
Section 2.204 contains the procedures for modifying a license by order.
In connection with enforcement actions under 2.202 and 2.204, provisior: is made for making the actions ime-diately effective upon a finding that the public health, safety or interest requires such action. Also, if a suspension, revocation or amendment action is based upon a willful violation, section 2.202 allows it to be made imme-diately effective for that reason.
The Director, Office of Inspection and Enforcement, as the principal enforcement officer cf the Commission, has been delegated the authority to issue notices of violation, cease and desist orders, orders modifying,
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. suspending, and revoking licenses and orders imposing civil penalties.
The Directors of the Offices of Nuclear Reactor Regulation and Nuclear Material Safety and Safeguards have also been delegated the authority to issue orders modifying, suspending, and revoking licenses and orders imposing civil penalties.O III. SEVERITY OF VIOLATIONS Regulatory requirements have varying degrees of safety, safeguards, or environmental significance.
To provide perspective as to the relative impor-i tance of any violation, six severity categories have been defined.
Sever-ity I embraces the most significant violations and severity VI the least significant.
Severity categories I, II, and III all embrace violations of signiff-cant regulatory concern.
Severity category IV embraces violations which degrade systems (including personnel and administrative systems such as training and procedures) designed to assure proper construction or to pre-vent or mitigate a health and safety, safeguards or environmental event.
They are not, in themselves, of significant concern, but if left uncorrected, could lead to a matter of significant concern.
Severity V category covers violations which, if uncorrected, could lead to a mattar of concern.
Sever-ity VI includes those violations which are of minor concern.
Because of the considerable differences in the types of activities regulated by the NRC, separate severity categories and examples have been 4)
This General Statement of Enforcement Policy does not prohibit the Directors from exercising their prosecutorial discretion in taking enforcement action within the area of their delegated authority.
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' defined for the following seven areas:
Reactor Operations; Reactor Con-struction; Reactor, Fuel Cycle, and Transportation Safeguards; Health Physics; Transportation, Fuel Cycle Operations; and Nuclear Materials.
Vio-lations of regulatory requirements have been scaled according to their rela-tive importance within each of the seven areas and the resulting severity categories are set forth in Attachments A th.ough G.
Violations not specifically addressed by a severity category will be placed in the category best suited to the significance of the particular' violation.
Material false statements may be placed in severity categories I, II, III, or IV depending on their significance and the circumstances surrounding the submission of the statement.
j IV.
TYPES AND USES OF ENFORCEMENT ACTIONS A.
INFORMAL ACTIONS 1.
Enforcement Conference - meeting between NRC and licensee management to discuss safety, safeguards or environmental problems or licensee i
compliance with regulatory requirements, the licensee's proposed corrective measures including schedules for implementation, and enforcement options available to the NRC.
2.
Bulletin - written notification to a group of licensees identifying a specific problem and requesting specific action by the licensees.E y
A Licensee's failure to follow the action requested in a Bulletin or stated in an Immediate Action Letter may result in issuance of an Order.
. 3.
Notice of Deviation - written notice describing a licensee's or vendor's failure to confonn to commitments, or to the provisions of appli-cable codes, standards, guides, or accepted industry practices which are not regulatory requirements, but which are generally endorsed by the Commission as applicable to a class of licensees.
This notice requests the licensee or vendor to provide a written explanation or statement describing corrective steps taken and the results achieved, corrective steps which will be taken, and the date of corrective action.
4.
Immediate Action Letter (IAL) - a letter confinning a licensee's agree-ment to take certain actions to remove health and safety, safe-guards, or environmantal concerns.
B.
FORMAL ACTIONS 1.
Notice of Violation - written notice setting forth violation (s) of specified regulatory requirement (s).
The notice requires a written explanation or statement describing (as applicable) corrective actions taken, the results achieved, corrective steps which will be taken, and the date full compliance will be achieved.
See 10 CFR 2.201.
General policy for use - A notice of violation is the standard method
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l for formally recording the existence of a violation of a regula-tory requirement.
Other enforcement actions such as civil penal-ties and orders may be taken in conjunction with the issuance of a notice of violation.
Notices of violation will not ordinarily be 1
. issued for violations which (a) have been identified by the licensee, (b) fall into severity categories V or VI, (c) did not result in a tY
>D reportable event, and (d) have been corrected and the correction documented or for which corrective action which will be completed within a reasonable time has been promptly initiated.
In addition, licensees are not ordinarily cited for violations resulting from equipment failure when such failure did not result from inadequate design, procedures, quality assurance, or communications or from any other fann of personnel error.
2.
Civil Penalty - monetary penalty for violation (s) of:
(1)specified regulatory requirement (s) under named sections of the Atomic Energy Act, (2) any requirement for which a license may be revoked, and (3) requirement to report defect (s) under section 206 of the
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Energy Reorganization Act.
See 10 CFR 2.205.
General policy for use - Civil monetary penalties will ordinarily be proposed for the following situations:
severity category I, II, or III violations severity category IV and V violations which are similar in nature to violations discussed at a previous enforcement conference _/
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For the purpose of applying this guidance the time frame for considering civil penalties for violations which occur following an enforcement con-ference is limited to one year.
The licensee's success in dealing with previously identified concerns will be considered in the determination to impose a civil penalty.
Enforcement conferences ~will be conducted for all Severity I, II and III violations.
They will also be conducted for Severity IV and V violations when these violations are viewed to be programmatic, rather than isolated, concerns.
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-g.
a knowing and conscious 2/ violation of the reporting require-ments of section 206 of the Energy Reorganization Act by a non-licensee.
The monetary amount of a civil penalty will be based primarily on the seriousness of the violation.
In the case of severity category I, II, or III violations, the amount of the civil penalty will be related to the relative seriousness of the specific event (s) or pro'olem(s) involved.
Civil penalties will not necessarily be levied for all violations involved in a specific problem or event.
Licensed activities have been categorized by groups and general size of operations.
The amounts of civil penalties per category are scaled accordingly.
Table I shows the amount of civil penalty for each category of violation for power reactors. Table II shows the groupings of the licensees by the type and size and scales of penalties for such types and sizes.
Two factors in addition to severity of the violation and type of activity are considered in determining the proper amount of civil penalty:
(1) the duration of the event and (2) whether the problem was found and corrected by the licensee.
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The " knowingly and consciously" standard is established by section 206(b) of the Energy Reorganization Act.
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. With respect to the first consideration, the duration of the event, a greater civil penalty will be imposed if the violation continues for more than one day.
Each day will be considered a separate violation for purposes of evaluating the appropriate civil penalty assessment.
The second consid-eration, identification and correction of a violation by the licensee, where present, will result in a 50 percent reduction in the amount of the penalty.
Civil penalties will not be imposed on operators licensed under 10 CFR Part 55 to manipulate the controls of a licensed facility although a notice of violation will be issued where a failure to comply with an operator's ifcense contributes directly to a severity category I violation (assuming such failure to comply by an operator did not result from a direction by a licensed supervisor with respect to the relevant action).
Moreover, in the event of recurring category I, II, 6r III violations which have been direct 1'y contributed to by an operator's failure to comply with his operator's license, suspensions or revocations of licenses will be considered.
See Table IV.
Generally, whenever a licensed operator is issued a notice of violation, the facility licensee will also receive a notice of violation.
3.
Order - written directive to modify, suspend, or revoke a license, to cease and desist from a given practice or activity, or to take l
such other action as may be proper. See 10 CFR 2.202 and 2.204.
General policy for use - Orders to modify licenses are issued when some I
change in the conduct of a licensed activity is necessary in the interest of the public health and safety, the common defense and security, or protection of the environment.
Such orders will be l
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.- made effective immediately, without prior opportunity for hearing, when it is determined that the public health, safety, or interest requires such action.
In all other cases an order modifying a license will be preceded by a prior opportunity for hearing on the modification.
In addition, in cases whe're 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.
Orders suspending licenses are typically employed for situations such as those set forth below.
(1) to remove a threat to the public health and safety, the common defense and security, or the environment or to allow for an ade-quate investigation and assessment; (2) to stop reactor construction to assure that, a) further work does not preclude the identification and correction of an improperly constructed safety related system or component, or b) the quality assurance program implementation is adequate and. effective to pro-vide confidence that construction activities are being properly carried out; (3) to assure that licensees have a program of adequate control over J
licensed activities; and (4) to permit, where necessary, the conduct of an inspection or investigation.
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Suspensions may apply to all or part of a licensed ' activity and shall remain in effect so long as may be necessary for the correction of the
. problem or violation which gives rise to the suspension.
Licenses will not ordinarily be suspended nor will suspensions be prolonged purely for the purpose of punishing a licensee for failure to comply with requirements where such failure is not willful.
Suspension orders may be made effective immediately, without prior opportunity for hearing, when it is determined that the public health, safety, or interest requires such action or wiien the suspension is based upon a willful violation of requirements.
In all other cases a suspension order will be preceded by an order affording the licensee a prior opportunity for hearing and opportunity to show cause why the suspension should not be orde red.
Orders revoking licenses are typically employed for situations such as those set forth below:
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(1) where licensee's performance demonstrates an inability or unwill-ingness to conduct licensed activities in compliance with require-ments.
(The use of revocation orders, in combination with other enforcement sanctions, is described in Tables III and IV) or (2) where a licensee refuses to correct a violation.
Revocation orders may be made effective immediately, without prior opportunity for hearing, when it is determined that the public health, safety, or interest requires such action or when revocation is based upon a willful violation of requirements.
In all other cases a revocation order will be preceded by an order affording the licensee a prior opportunity for hearing and opportunity to show cause why revocation should not be ordered.
. l Ordere to cease and desist are typically used when a person is conducting an unauthorized activity, has been notified of the need to obtain authorization and yet fails to terminate the activity.
RECURRENCE OF SEVERITY I, II, OR III VIOLATIONS The criteria for enforcement actions to be taken for recurring Severity I, II, or III violations are set forth in Tables III and IV.
Attachments:
1.
Tables I through IV 2.
Attachments A through G w
a M
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TABLE I Basic Civil penalties Violation Severity Categories Basic Monetary Amount per Violation I
$100,000 II 100,000 III 50,000 IV 15,000 V
5,000 VI b
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Civil penalties will be reduced by 50% for violations which were identified, reported, and corrected by the Licensee in a timely manner.
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TABLE II Civil Penalties for Categories of Licensees Types of Licensee
% of Basic Penalty Applicable Power Reactors 100%
Test Reactors, Fuel Cycle Operations 50%
(includes Uranium Recovery Operations, Uranium Hexaflouride Production Plants, Fuel Processing and Fabrication Plants, Reprocessing Facilities and Away from Reactor Spent Fuel Storage Operations) and Materials Licensees employing more than 500 people *
((
Non-university Research Reactors, Critical 20%
Experiment Facilities, Waste Burial Firms, i
and Materials Licensees employing more than 50 people
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Materials Licensees enploying more 10%
than 10 people
- Medical, Academic, and other Materials Licensees 5%
and individuals
- Refers to the total number of employees in the licensee's organization.
TABLE III Enforcement Action Severity Number of Violations Within Any Period of 1 Year of Violation 1st 2nd 3rd I
a+b a+b+c d
II a
a+b a+b+c III a
a+e a+b a - Civil Penalty b - Immediately effective suspension of affected operations until Director is satisfied that there is
%f reasonable assurance that the nicensee can operate,in compliance with the applicable requirements.
c - Show cause for revocation.
d - Immediately effective revocation order (i.e., immediate suspension and order to revoke).
e - Show cause for suspension.
For the purposes of applying this table, a violation in any severity category (I, II, or III) shall be con-sidered a second or third violation if it was preceded by one or two violations of any severity category (s)
(I, II, or III) whether or not an inspection intervened between the violations.
For example, in the case of a severity II violation occurring after a severity III violation the sanction prescribed in a+b.
Recurrences of civil penalties involving severity IV and V violations will be handled on a case-by-case basis.
a
TABLE IV Enforcement Actions Against Licensed Operators Severity Number of Violations Occurring Within the Term of of an Operators License Violation 1st 2nd 3rd I
a+b c
e II a
afb c
III d
a a+b E
%E a - Notice of Violation.
b - Order to show cause suspending operator's license (not immediately effective).
c - Order to show cause revoking operator's license (not immediately effective).
d - Letter of reprimand.
e - Immediately effective revocation order (i.e. immediate suspension and order to revoke).
T
Attachment A Reactor Operations Severity Categories Severity I -
A violation which results in or constitutes:
a safety limit, as defined in the Technical Specifications, being exceeded; or a system designed to prevent or mitigate significant safety events not being able to perform its intended function when actually called upon to work; or an accidental criticality; or i
a release of radioactivity greater than ten (10) times the Technical Specification limit.*
Severity II - A violation which results in or constitutes.
a system designed to prevent or mitigate significant safety events not being able to perform its intended function; or This does not apply to instantaneous release limits.
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Attachment A a release of radioactivity greater than five (5) times the Technical Specification limit;* or i
failure to make a 1equired prompt report by telephone or other electronic r.eans.
Severity III - A violation which results in or constitutes:
a Technical Specification Limiting Condition for OperEtion being exceeded where the appropriate Action Statement was not satisfied; or 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); or a release of radioactivity greater than the Technical Specification limit;* or a violation of 10 CFR 50.59 such that a required amendment was not sought; or a failure to make a 10 CFR Part 21 report.
This does not apply to instantaneous release limits.
Attachment A Severity IV - A violatior, which results in or constitutes:
an inadequate review or the failure to review in accordance with 10 CFR 50.59 or 10 CFR 21, and which does not result in a severity category I, II, or III violation; or r
any technical specification limit, not covered by severity cate-l gories I, II, or III, being exceeded; or a failure to follow requirements not covered in severity categories I, II, or III which measurably degrades the safety of operations; or a failure to make a required 14-or 30-day report.
Severity V -
Any other violation of safety concern, including failure to follow procedures.
Severity VI - A violation which has minor safety significance.
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O Attachment B Reactor Construction
. Severity Categories 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.
Severity II - A violation wnich results in or contributes to:
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 installation and inspection by quality assurance / quality control checkpoints which are relied upon to identify such violations; or part of a structure or system being completed in such a manner that it could have an adverse effect on the safety of operations.
Severity III - A violation which results in or contributes to a lack of quality assurance program implementation related to a single work activity (e.g., structural, piping, electrical, foundations) as,nown by multiple program implementation violations which.were not iJentified and corrected by more than one quality assurance / quality control check-point; or
Attachment B 21.
pre-operational program implementation violations where the violations result in the completed testing failing to confirm the design safety requirements of the structure of system; or a violation which results in failure to make a required 10 CFR 50.55(c) or 10 CFR 21 report.
Severity IV - A violation of one or more Quality Assurance Criteria not amounting to a Cate-gory I, II, or III violation.
Severity V - Any other violation, including failure to follow procedures, which is of safety concern.
Severity VI - A violation which has minor safety significance.
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Attachment C Attachment C Reactor, Fuel Cycle, and Transportation Safeguards Severity Categories Severity I - A violation which results in or constitutes:
the actual entry of an unauthorized individual into a vital area or material access area from outside the protected area; or the actual theft, loss, or diversion of SNM; or a failure to promptly report a theft or diversion of SNM or an act of industrial sabotage.
Severity II - A violation which results in or constitutes:
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; or a failure to operate the central (or secondary) alarm station; or a failure to respond to unauthorized or unanticipated security alarm annunciations; or
Attachment C the breakdown of safeguards systems designed or employed to prevent the unauthorized removal of SNM from a material access area or other area of authorized use or storage; or 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.
Severity III - A violation which results in or constitutes:
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a failure to provide protection or control of access into the protected area; or j
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a failure to provide protectio 5 or. control of access to a vital area or material access area; or a failure to provide security systems to prevent unauthorized access to the transport vehicle or the SNM being transported; or a failure to provide an adequate response force; or a failure to make a required 10 CFR Part 21 report; or a failure to provide a system of control over SNM to prevent its unauthorized removal.
9 Attachment C Severity IV - a violation which results in or constitutes:
the degradation of barriers of protected or vital areas, the trans-portation security system, or the system of control over SNM and which does not result in severity category I, II, or III violations; or the failure of the security organization to follow procedures to cope with actual security incident:s, not covered by severity categories I, II, or III; or the failure of corporate or site security management to provide ade-quate direction or supervision of the security program and which does not result in severity category I, II, or III violations.
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Severity V - Any other violation, including failure to follow procedures or approved security plan commitments, which has safeguards significance.
Severity VI - A violation which has minor safeguards significance.
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Attachment D Attachment D Health Physics - 10 CFR 20 (Reactor, Fuel Cycle and Materials) t' Severity Categories Severity I -
A violation which results in or constitutes:
exposure of a worker in excess of 25 rems of radiation to the whole body,150 rems to the skin, of the whole body, or 375 rems to the feet, ankles, hands, or forearm; or exposure of a member of the public in excess of 0.5 rems of radiation; or the release of radioactive material to an unrestricted area in excess of 10 times the limits of 10 CFR 20.106; or radiation level in an unrestricted area which exceeds 100 millirem /
hour for a one hour period; or disposing of licensed material in quantities or concentrations in excess of 10 times the limits of 10 CFR 20; or exposure of a person in restricted areas in excess of 10 times the limits of 10 CFR 20.103.
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9 Attachment D,
Severity II - A violation which results in or constitutes:
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; or exposure of a member of the public in excess of 0.1 rems of radiation; or release of radioactive material to an unrestricted area in excess of 5 times the limits of 10 CFR 20.106; or failure to make an immediate notification as required by 10 CFR 20.403(a)(1) and 10 CFR 20.403(a)(2); or radiation level in an unrestricted area which exceed,s 50 millirem /
hour for a one hour period; or disposing of licensed material in quantities or concentrations in excess of 5 times the limits of 10 CFR 20; or exposure of a person in restricted areas in excess of 5 times the limits of 10 CFR 20.103.
Severity III - A violation which results in or constitutes:
exposure of a worker to levels in excess of those specified in 10 CFR 20.101 or 20.104; or
radiation level in an unrestricted area which exceeds 5 millirem /
hour for a one hour period; or 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); or 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, opera-tion of a radiation facility with a nonfunctioning interlock system).
release of radioactive material to an unrestricted area in excess of 4
the limits of 10 CFR 20.106; or~'
disposing of licensed material in quantities or concentrations in excess of the limits of 10 CFR 20; or exposure of it person in restricted areas in excess of the limits of 10 CFR 20.103.
~.
Attachment D.
Severity IV - A violation which results in or constitutes:
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; 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; or failure to make a 30 day notification required by 10 CFR 20.405.
Severity V -
A violation which ris'ults in or constitutes:
failure to make a foliosup written report as required by 10 CFR 20(402(b) 20.408, and 20.409; or any other violation, including failure to follow procedures, which reduces the margin of safety.
Severity VI - A violation which has minor safety significance.
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P f 49 e--
Attachment E Attachment E Transportation Severity Categories
. Severity I -
A violation of NRC or DOT Transportation requirements which results in or constitutes:
exposure of a member of the public in excess of 0.5 rems; or a breach of package integrity resulting in surface contamination or external radiation levels in excess of ten (10) times the NRC or DOT limits.
Severity II - A violation of NRC or DOT Transportation requirements which results in or constitutes:
breach of package integrity resulting in surface contamination or external radiation levels in excess of NRC or DOT requirements; surface contamination or external radiation levels in excess of three times NRC or DOT limits which did not result from a breach or package integrity; or failure to make required initial notifications associated with Severity Level I or II violations.
Attachment E Severity III - A violation of NRC or DOT Transportation requirements which results in or constitutes:
a breach of package integrity resulting in surface contamination or external radiation levels, even though the resultant levels are not
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in excess of NRC or DOT limits; 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; noncompliance with labelling, placarding, shipping paper, packaging, loading, or other requirements which could reasonably result in:
improper identification of the type, quantity, or form of material, the failure of the carrier or recipient to exercise adequate con-trols, or j
a substantial potential for personnel exposure or contamination; or failure to make required initial notification associated with Severity Level III violations.
' Severity IV - A violation of NRC or DOT transportation requirements which results in or constitutes:
Attachment E any noncompliance involving package selection or pr*eparation reouire-ments which does not result in a breach of package integrity nor sur-face contarination or external radiation levels in excess of NPC or DOT reouirements; or involves failure to follow procedures or inadequate procedures, not covered in severity categories I, II, or III which reduces the maroin of safety.
Severity V -
Any other violation, including failure to follow procedures which has safety significance.
Severity VI - A violation which ha~s less safety significance than a cate-gory V violation.
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Attachment F Attachment F Fuel Cycle Operations Severity Categories Severity I -
A violation which results in or constitutes:
a nuclear criticality accident; or a system designed to prevent or mitigate a serious safety event not being operable when actually required to perform its design function.
Severity II - A violation which results in or constitutes:
a system designed to prevent of mitigate a serious safety event being inoperative; conduct of activities not authorized by the license which have a signifi-cant safety implication; or a failure to make an immediate or prompt report required to be made by telephone or other electronic means.
Severity III - A violation which results in or constitutes:
a degraded system designed to prevent or mitigate a serious safety event (e.g., confinement barriers or criticality controls);
Attachment F operation with unqualified or unauthorized personnel resulting in a reduced margin of safety; a failure to make a 10 CFR Part 21 report; a release for unrestrict.ed use of contaminated material or equipmentf substantially in excess of licensed limits; or Severity IV - A violation which 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 seve'rity category I, II, or III violation; causes or constitutes exceeding any operation limit not covered by.
severity categories I, II, or III; involves failure to follow requirements not covered in severity cate-gories I, II, or III which reduces the margin of safety; results in failure to make a required 30 day report; or l
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Attachment F 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.
' Severity V -
Any other violation, including failure to follow procedures, j
which has other than minor safety significance.
Severity VI - A violation which has minor safety significance.
O b
Attachment G Attachment G Nuclear Materials
' Severity Categories Severity I -
A violation which results in or constitutes:
technically unqualified or unauthorized personnel conductEnq a licensed a.cti.vity which results in radiatiqn levels, contamination levcis or release which exceed 10 times the limit: specified in the license; or utilization of unauthorized equipment which results in radiation levels, contamination levels, or releases which exceed 10 times the limits specified in the license; or 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; or failure to perform required surveys, tests or evaluations, or institute required safety precautions which results in radiation levels, con-taminated levels or releases which exceed 20 times the limits speci-fied in the license; or a system designed to prevent or mitigate a serious safety event not being operable when actually required to perform its design function.
Attachment G Severity II - A violation which results in or constitutes:
technicallyunqualifiedorunauthorize'dpersonneiconductina.alicantariI
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~ activity whi'ch results'in radiation levels, contamination levals, nr
- - -releas~es in ~ excess.of' license' ~ limits :
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or possession or utilization of unauthorized equipment or material in conduct of licensed activities, which results in contamination levels, radiation levels or releases which exceed license requirements; or 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; or failure to make required initial notifications associated with severity level I or II violations; or a system designed to prevent or mitigate a serious safety event being inoperative.
Severity III - A violation w! fch results in or constitutes:
failure to perform required surveys, tests or evaluations, or insti-tute required safety precautior... which results in radiation levels or releases which exceed the limits specified in the license; or l
1 1
l Attachment G failure to control access to licensed materials for radiation purposes as specified by NRC requirements; or pnssession or utilization of unauthorized equipment or materials in conduct of licensee activities; or procurement of radioactive drugs from an unauthorized supplier; or conduct of licensed activities by unqualified ~ or unauthorized personnel; or failure to make required initial notifications associated with severity level III violations; or failure to make a 10 CFR Part 21 report; or a degraded system designed to present or mitigate a serious safety event.
Severity IV - A violation which results in or constitutes:
failure to follow requirements not covered in severity categories I, II, or III which reduces the margin of safety (e.g., failure to deter-mine 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 contamina-tion tests, utilization of improperly calibrated equipment); or
' Attachment G 38 -
4 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.
Severity V - Any other violation, including failure to follow procedures, which has other than minor safety significance.
Severity VI - A' violation which has minor safety significance.
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