ML19309A698
| ML19309A698 | |
| Person / Time | |
|---|---|
| Issue date: | 03/13/1980 |
| From: | NRC OFFICE OF INSPECTION & ENFORCEMENT (IE) |
| To: | |
| Shared Package | |
| ML19309A694 | List: |
| References | |
| REF-10CFR9.7 SECY-80-139, NUDOCS 8004010022 | |
| Download: ML19309A698 (17) | |
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O PR0 POSED NRC ENF0RCEMENT P0LICy 80040100W 30/2
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BASES FOR ENFORCEMENT e VIOLATION OF REGULATORY REQUIREMENTS FULL RANGE OF ACTIONS
- FEDERAL REGULATIONS i
- TECHNICAL SPECIFICATIONS
- LICENSE REQUIREMENTS e SAFETY ISSUES WITHOUT SPECIFIC REQUIREMENTS ORDERS, BULLETINS, NOTICE OF DEVIATION AND IMMEDIATE ACTION LETTERS O
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TYPES OF ENFORCEMENT ACTIONS i
e FORMAL NOTICE OF VIOLATION i
CIVIL PENALTY ORDER e
INFORMAL ENFORCEMENT CONFERENCE BULLETIN r' NOTICE OF DEVIATION IMMEDIATE ACTION LETTER O
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CURRENT ENFORCEMENT PRACTICE e CRITERIA PUBLISHED DECEMBER 31, 1974 e THREE SEVERITY LEVELS FOR NONCOMPLIANCE e GENERAL BASES FOR CIVIL PENALTIES AND ORDERS i
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d WEAKNESSES IN CURRENT PROGRAM e NO CLEAR CRITERIA FOR RELATIONSHIP BETWEEN CIVIL PENALTIES AND OTHER ENFORCEMENT e NO CLEAR CRITERIA FOR ENFORCEMENT AGAINST LICENSED OPERATORS (IN 79-20 REVISED SEPTEMBER 7,1979) e UNIFORMITY PROBLEMS
- INSUFFICIENT SEVERITY CATEGORIES
- INADEQUATE C0VERAGE OF SOME PROGRAMS (CONSTRUCTION, TRANSPORTATION)
- CP CEILING RESULTED ON FOCUSING ON NUMBER OF NONCOMPLIANCES
- HIGHER RELATIVE PENALTIES FOR SMALLER LICENSEES e
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1 G0ALS OF PROPOSED PROGRAM e
IMPLEMENT PROPOSED $100,000 CP AUTHORITY i
e TOUGHER ENFORCEMENT l
e GREATER UNIFORMITY OF APPLICATION l
e BETTER DEFINED COVERAGE OF ALL NRC LICENSED ACTIVITIES i
e FOCUS ON S/GNIFICANCE OF EVENT OR ACTION I
e CLARIFY RELATIONSHIP AMONG ENFORCEMENT 1
ACTIONS
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4 HIGHLIGHTS OF PROPOSED PROGRAM e PUBLICATION IN FEDERAL REGISTER e BROADENED SEVERITY CATEGORIES 1
e RECOGNITION OF DIFFERENT NRC LICENSED ACTIVITIES e CRITERIA FOR ESCALATED ENFORCEMENT (TABLEIII) e UNIFORMITY AND FAIRNESS I
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i SEVERITY CATEGORIES SIX CATEGORIES:
I - III -MAJOR SIGNIFICANCE VI - V LESSER SIGNIFICANCE VI
-MINOR SIGNIFICANCE h
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DIFFERENT NRC LICENSED ACTIVITIES i
e REACTOR OPERATIONS e REACTOR CONSTRUCTION e REACTOR, FUEL CYCLE AND TRANSPORTATION SAFEGUARDS e HEALTH PHYSICS - 10 CFR 20 (REACTOR, FUEL CYCLEANDMATERIALS) e TRANSPORTATION e FUEL CYCLE OPERATIONS e NUCLEAR MATERIALS e OPERATOR LICENSEES
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i CRITERIA FOR ESCALATED ACTION 1
e STRUCTURED j
e EVENT OR ACT ORIENTED e SUSPENSION ORDER FOR SEVERITY '
I e CIVIL PENALTIES FOR SEVERITY I, II, III i
e SECOND CHANCE BEFORE CIVIL PENALTY FOR SEVERITY IV AND V l
e NO CIVIL PENALTY FOR OPERATORS i
e PLANNED SEQUENCE FOR RECURRING ESCALATED ACTIONS e MODIFYING AND MITIGATING FACTORS e N0 UPPER LIMIT i
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TABLE III ENFORCEMENT ACTION 1
SEVERITY OF NUMBER OF VIOLATIONS WITHIN ANY PERIOD OF ONE YEAR VIOLATION lst 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 REASONABLE ASSURANCE THAT THE LICENSEE CAN OPERATE IN COMPLIANCE WITH THE APPLICABLE REQUIREMENTS.
C - SHOW CAUSE FOR REVOCATION D - IMMEDIATELY EFFECTIVE REV0 CATION ORDER (i.e., IMMEDIATE SUSPENSION AND ORDER TO REV0KE)
E - SHOW CAUSE FOR SUSPENSION ~
RECURRENCES OF CIVIL PENALTIES INVOLVING SEVERITY IV AND V VIOLATIONS WILL BE HANDLED ON A CASE-BY-CASE BASIS
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4 UNIFORMITY AND FAIRNESS 4
e KEYED TO SEVERITY LEVELS I, II AND III o CIVIL PENALTY PROP 0RTIONAL TO SEVERITY
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o GPADUATION OF CIVIL PENALTIES RELATED i
TO SIZE AND TYPE OPERATION 1
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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 Civil' penalties will be reduced by 50% for fiolations $hich were identified, reported, and corrected by the Licensee in a timely manner.
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TABLE II Civil Penalties for Categories of Licensees Types of Licensee
% of Basic Penalty Applicable Power Reactors 100%
Test Reactors, Fuel Cycle Operations 50%
(includes Uranium Recovery Operations, Uranium Hexaflouride Production Plants, Fuel Processing and Fabrication Plants, Reprocessing Facilities and Awa Spent Fuel Storage Operations) y from Reactor and Materials Licensees employing more than 500 people
- Non-university Research Reactors, Critical 20%
i Experiment Facilities, Waste Burial Firms,,,
and Materials Licensees employing more.than 50 people
- Materials Licensees employing more 10%
than 10 people
- Medical, A'cademic, and other Materials Licensees 5%
and individuals
- Refers to the total number of employees in the licensee's organizati on.
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No Escalated Action Taken Type of Proposed Program Licensee Problem Action Taken Severi ty/Act' ion Power Reactor Diesel generators were not Notice'of Violation III/$ 50,000 operable under condition of loss of off-site power Power Reactor Containment spray systems Notice of Violation II/$850,000 valved out of service for 17 days; identified, report-ed and corrected by licensee Power Reactor Whole boJy exposure greater Notice of Violation III/$ 50,000 than 3 rem / quarter Power Reactor Breakdown in QA multiple Notice of Violation II/$100,000 (Construction) items of noncompliance Power Reactor Failure to control access Notice of Violation III/$ 50,000 to a protected area Power Reactor Vital area doors not locked Notice of Violation III/$ 50,000 Radiographer Whole body exposure greater Notice of Violation III/$ 5,000 than 1.25 rems t
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Escalated Action Taken Type of Proposed Program Licensee Problem Action Taken Severity / Action Power Reactnr Accidental criticality
$ 15,000 I/$100,000 and Order Suspending Operations Power Reactor Exposure of 10 rems plus 20,000 II/$100,000 management weaknesses Power Reactor Breakdown in HP controls 27,500 IV & V/$80,000 (previous management meeting)
Power Reactor Containment integrity 450,000 II/$21,200,000 breached Power Reactor Inspector gained undetected 18,000 II/$100,000 access to protected area Well Logger Unshielded source fell from 1,000 I/$5,000 and Order truck and was temporarily Suspending Operations lost Radiographer Exp3sure of greater than 25 6,000 I/$10,000 and Order (assume greater rems to the head of an Suspending Operations than 10 people) individual Radiographer Extremity exposure of greater 5,000 II/$20,000 (assume greater than 75 rems than 50 people)
Distributor of Distribution of smoke detectors 6,000 and III/$10,000 and same order byproduct mater-without proper license order to cease as issued under existing ials (assume and desist program greater than 50 further distri-people) bution G
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Recurrence of Severities I, II, or III Type of Proposed Program Licensee Problem Action Taken Severity / Action Power Reactor Person entered vital area
$5,000 I/$100,000 and Order undetected from outside of for Suspension facility Excessive radiation from
$5,000 III/$50,000 and show cause transportation package orrer for suspension Power Reactor Breakdown in QA in one flotice of Violation III/$50,000
'(Construction) construction area Breakdown in QA in multiple Order to suspend con-construction areas struction and show cause order modifying construction permits Test Reactor Vital area and material
$6,000 II/$50,000 access area not protected by two barriers Exposure over Part 20 limits
$6,500 III/$25,000 and show cause order for suspension Radiographer Whole body exposure greater
$2,000 11/$50,000 (assume greater than 5 rems than 500 people employed)
Extremity exposure greater
$7,000 I/$50,000 and order for than 375 rems immediate suspension and order to show cause for revocation O
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