ML20052G982

Notice of Violation from Insp on 820409.Noncompliance Noted:Sealed Source Containing 10 Mci Cs-137 & 50 Mci Am-241 Not Leak Tested from 780908 to 811002

ML20052G982
Person / Time
Issue date:	04/27/1982
From:	Skov D NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION V)
To:
Shared Package
ML20052G977	List: ML20052G976 ML20052G982
References
NUDOCS 8205190213
Download: ML20052G982 (11)

Text

.

Aopendix A il0TICE OF VIOLATIO1 g

1 Department of Health, Education and Welfare License No. 02-16270-01 Navajo Area Indian Health Service Office of Environmental Health P. O. Box G Window Rock, Arizona 86515 As a result of the inspection conducted April 9,1982, and in accordance with the llRC Enforcement Policy (10 CFR Part 2, Appendix C), 47 FR 9937 '

_(liarch 9,1982), the following violations were identified:

l 4

A.

License Condition 14.A. states, in part,' that each sealed source containing licensed materials, other than hydrogen-3, with a half-life greater than thirty days, and in any fonn other than gas, shall be tested for leakage and/or contamination at intervals not to exceed twelve months.

Contrary to the above requirement, a sealed source, containing 10 millicuries of cesium-137 and 50 millicaries'of americium-241, was last leak tested on Septenber 3,1973 and had not been leak tested again until October 2, 1981, a period in excess of 36 months.

This is a Severity Level IV Violation (Supplement VI).

B.

License Condition 15. states, in part, that a physical inventory shall be conducted every six nonths to account for all sealed sources and devices received and possessed. - Records of the in-t ventories shall be maintained for inspection by the Commission, and shall include the quantities and kinds of byproduct material, location of sources, and the date of the inventory.

Contrary to the above requirements, physical inventories of the sealed source containing 10 millicuries of cesium-137 and 50 utilicuries of maericiun-241 had not been conducted during the 19 month period between the date of license issuance, Septenber 8,1980, and the' L

date of the inspection, April'9, 1982.

This is a Severity. Level V Violation (Supplement VI).

4 C..

10 CFR 19.11(a) requires that each licensee shall post' current l

copies of the following documents:

(1) The regulations in-this part and in Part 20 of this chapter;-(2) the license, license i

conditions,,or documents -incorporated into a license by reference,.

and ' amendments thereto; (3) the operating / procedures applicable to licensed activities..10 CFR 19.11(b)-states that if posting of a-

[

. document specified in paragraph (a)(1), (2) or ~(3) of this section l

i l

0205190213 820427 NMS LIC30 02-16270-01 PDR p

-.-e

-r.

e u

,4 a

3.,

p.., -., -

-..W,e

-g,.

' Appendix A '

is not practicable, the licensee may post a notice which describes the document and states where it may be exauined.

Contrary to the above requirements, at the time of the inspection, the above documents were neither posted in the warehouse facility at Fort Defiance Arizona, where licensed material is stored, nor was there a notice which describes the documents and states where they may be examined.

This is a Severity Level V Violation (Supplenent VI).

D.

10 CFR 19.11(c) requires that Form flRC-3, "tiotice to Enployees,"

shall be posted by each licensee wherever individuals work in or frequent any portion of a restricted area.

Contrary to the above requirement, at the time of the inspection, a Form NRC-3 was not posted in the warehouse facility where licensed material is stored.

This is a Severity Level V Violation (Supplement VI).

Pursuant to the provisions of 10 CFR 2.201, llavajo Area Indian Health Service is hereby required to submit to this office within thirty days of the date of this flotice, a written statenent or explanation in reply, including:

(1) the corrective steps which have been taken and the results achieved; (2) corrective steps which will be taken to avoid further iteas of nonco:apliance, and (3) the date when full compliance will be achieved.

Consideration may be given to extending your response time for good cause shown.

gavidD.Skovriginal signed by 3

APR 2 71982 dated David D. Skov, Radiation Specialist Radiological Safety Branch

Federal Regi:ter / Vol. 47. No. 46 / Tuesday March 9,1982 / Rules and Ressi;ti:ns 9967

~

'fm'al NRC decision thirty (30) d:ys cftIt bring staff s!nc3 thzt guidanca w:s publish:d (45 FR 06754). A serils of five public

'made and only in the event that the in October 1980; and (2) comments meetings was announced on October 17 Commission has not exercised sua sponte received during and following public 1980 (45 FR 60077) and copies of both meetings on the policy.The policy those Federal Register items were l'the Director of Nuclear Reactor statement is intended to inform mailed to all NRC licensees and to Regulation or the Director of Nuclear licensees and the public of the bases for identified public interest and intervenor Material Safety and Safeguards. as taking various enforcement actions.The groups, soliciting their participation in appropriate, concludes that significant changes have occurred since the completion policy, which provides guidance,is the meetings.

of the previous antitrust review in connection being codified as Appendix C to Part 2 Results of Meetings with the construction permit, then the of Title 10 of the Code of Federal provistons of I 2.102(d) shall opply.

Regulations.

Public meetings were held in early (c)(11 Except ae provided in paragraph EFFECTIVE DATE: March 9,1982.

December 1980, as scheduled,in Philadelphia. PA. Atlanta. CA, Chicago.

Nr f FOR FURTHER INFORMATION CONTACT:

u er

11. Dallas.TX. and Oakland. CA.

R gula ton r he!

Material Safety and Safeguards, as James Lieberman. Acting Director, Attendance at the meetings varied from appropriate. Shall refer and transmit a copy Enforcement Staff. Office of Inspection of each application for a construction permit and Enforcement. U.S. Nuclear about 35 (at the Dallas and Oskland or an operating license for a utdization or Regulatory Commission. Washington, meetings) to a little over 100 (at the production facility under section 103 of the DC 20$55 (301-492-4%3).

Philadelphia and Chicago meetings). All Act, to the Attorney General as required by SUPPt.EMENTARY INFORM ATION:The meetings were transcribed, and transcripts are available in the NRC's Nuclear Regulatory Commission is Public Document Room at 171711 Street the torn y ner1 1 n

reasonable time, but in no event to exceed revising its enforcement policy to NW. Washington, DC 20555.

teo days after receipt. render such advice to respond to comments provided on an In addition to comments received at the Commission as is determined to be earlier version published in October appropriate in regard to the findmg to be 1980 and to reflect experience gained in the public meetings. written ecmments made by the Commission as to whether the use of the interim policy.The revised were submitted by 162 individuals and/

describes the general bases on or groups. All comments were carefully activities under the license would create or polick various enforcement sanctions considered by the staffin its revision of whic are to be used as part of the NRC*a the policy, and where appropriate, the nti s la op c fled a su sec n 15a of (2) He resiew by the Attorney General regulatory program. The statement of po!!cy was revised to accommodate the Act.

described in paragraph (c)(1) above is not general policy set forth below (as them.The nature of both verbal and required for apphcations for operating Appendix C to Part 2)is intended to written comments ranged from highly licenses for production or uulization facilities serve as Commission guidance, rather critical to enthusiastically supportive. In under section 103 of the Act for which the than as rigid requirements.

general, however, the thrust of the construction permit was also issued under comments was unfavorablJ.with section 103. unless the Director of Nuclear

Background

criticism most often directed at: (1) %e The criteria twed by the Commission's generally perceived adversarial tone of I '

staff to determine categories of the policy;(2) the lack of more explicit faterialSafety and a egu as appropriate, determines, after consultation noncompliance and enforcement actions consideration of extenuating conditions with the Attomey General and in accordance arising therefrom (referred to hereafter as they might apply to individual cases, with ! 2.101(el, that such review is advisable on the ground that significant changes in the as " Criteria") were first published on thus a:guing for more flexibility for the licensee's activities ur peoposed activities October 17,1972 (37 FR 21%2).These staff to apply judgment and discretion in have occurred subsequent to the previous Criteria were subsequently modified on enforcement decisions; (3) inadequate review by the Attorney General and by the January 3.1975 (40 FR 820) and on recognition of effective licensee audit Commission under section 105c of the Act in December 3.1979 (44 FR 77135). In late programs designed to identify and connection with the construction permit.

1979, the Commission directed the staff correct problems internally;(4) to prepare a comprehensive statement of inconsistency among the severity levels Dated at Washington, DC this 3d day of enforcement policy.This staff effort assigned to violations in the various received added urgency with the activity areas: (5) lack of clarity in the l

htarch.198-For the Nuclear Ryulatory Conudasion-enactment of Pub. L 90-295 (signed June examples of violations in the Samuel Chilk.

30,1980), that, among other things, supplements; and (0) inadequate Secntaryofthe Commission.

amended Section 234 of the Atomic distinction?. between severity levels.

Energy Act to raise the maximum civil particularly for the less serious In h am ra.m42. e 4s.,,4 penalty the NRC can impose from $5.000 violations.

sinneo com nu-=

to $100.000 per violation and eliminated Representative concerns (as the provision limiting the total civil paraphrased by the staff) fiequently 10 CFR Part 2 penalties for any 30-day period to expressed in both the public meetings un w ern comments, ad de General Statement of Policy and d eptember 4,1930, the sta esp nsest em am ut Procedure for Enforcement Actions Commission npproved a proposed

"* " U * "" "

general statement of policy on

" u we*e*n'"c "na"n"ts, and sM fn AGENCY: Nuclear Regulutory enforcement, and tlirected the stuff:(1) mp nsa to Wrm has been prepared Commission.

To impicment the proposed noticy as and will be made available soon in the ACTION: Revised general statement of interim guidance:(2) to publish the NRC Public Document Room and policy.

proposed policy for public comment; and thr ugh the NationelTechnical l

(3) to conduct a series of public meetings Information Service (NTIS). Springfield,

SUMMARY

The NRC is revising its to obtain and consider public comments VA. as an NRC report (NUREG-0738).

l enforcement policy based on:(1) e d p0!i Many of 6e oral presentadons at de i

i experience gained in the implementation "g opQ*ed p9 cy was published in public meetings were reiterated in the i

['

of the proposed 8eners! guidance to the the Federal Register en October 7.1080 l

l l

N 9988 Feder:1 Register / Vol. 47, No: 40 / Tuesday, March 9.1982 / Rules and Regulati:ns

}

written comments, and the general period of at least six weeks to prepare noncompliance should be more j A thrust of all the oral presentations for the meetings.

expensive than compliance.

f *N closely paralled the written comments.

Comment: Insufficient time has been Comment:ne language used in the n

Comment The Coramission should be allowed for written comments.

introduction and purpose invites a L

involved in any decisions deviating from Response All comments received counterproductive adversarial the stated enforcement policy, whether before lune 1931 wece considered in the relationship.

that deviation results in a greater or policy modification, although the formal Response:The language in the 1

lesser civil penalty, closing date for receipt of comments introduction and purpose has been Response: The Commission is notified was December 31,1980, which provided changed to address this concern.

s before proposing each civil penalty.

almost three months from date of Comment 'ihe requirement to submit i

llowever, requiring the Commission to publication in the Federal Register for responses to Notices of Violation under M

rule on each deviation would create en preparation of written comments.

nath or affirmation is unnecessary and l

undue burden on the Commlenion.

Comment: The policy should be contributes to an adversarial tone. lt J

Currently the policy calls for withdrawn until an assessment can be should not be required for all responses.

q Commission review when:

made as to the necessity of new

' Response: The across.the-board a.The proposed action may in itself regulations.

requirement has been eliminated for i

involve pubhc health and safety risks:

Response This policy does not add other than escalated enforcement f

b. The Commission feels it is any new requirements. Rather, it actions, bu* the decision to require such !

l desir6ble:

announces how the NRC will enforce I sworn responses re nains an NRC optionj c.The Director feels it is appropriate; existing requirements.

under Section 182 of the Atomic Energy l q

or Comment:The Office Directors should Act. The Commission continues to i

f

d. A civil penalty for a single violation have more discretion.

expect accurate, complete and timely i

ti esceeds 3.75 times the base amount of a Response:The Office Directors have information from licensees. The t

i severity level I violation.

broad discretion.The policy allows for elimination of the oath requirement will -

Comment:In implementing this policy discretion while ensuring that sufficient not prevent the Commission from taking NRC should follow the requirements of guidance is present for its even enforcemant action for responses that the Regulatory Flexibility Act of1980.

applicatinn.

do not meet that expectation.

r Response:This policy is not subject to Comment: Any civil penalties imposed Comment: Civil penalties should not M Quir the Regulatory Flexibility Act.

on nonprofit hospitals or other nonprofit be imposed for the same violation which Comment:The size of a fine should be institutions would have to be paid by is the basis for a license revocation or j based on hazard, not the abihty to pay, increasing charges to the public.

euspension.

Response: The Icgislative history of Response: Table 1 has been modified gg,poc,,;ne Atomic Energy Act 4

expressly provides for civil p section 234 indicates that abihty to pay to address this concern.The is a factor to be considered in assessing Commission does not desire to increase be assessed for any violation which civil penalties. The structure of Table 1 consumer costs. Nevertheless, the would warrant license revocation.The 's does reflect generally the nature of Commission believes that civil penalties decision as to whether both revocation a w

hazard involved in licensed activities. A provide both profit. making and (or suspension) and civil penalties civil penalty is not designed to put a nonprofit institutions incentives for should be applied for the same violation *-

licensee out of business. Where it is safety through comph,ance with its is made on a case.by-case basis.

6 appropriate to terminate licensed requirements.

A cos, activities, an order, rather than a civil Comment: What criteria were used to C#***!U h maWng of semity penalty, is used.

place particular violations in their levels to civil penalties may make it i

easier for the NRC to determina a civil.

U " '"

Comarent It should not be NRC policy corresponding severity levels?

to fine individual operators licensed Response The actual or potential penalty and/or any other sanction, butII takes away from the hcensee any i

under 10 CFR Part 55.

Impact on the health and safety of the Ord"i RcSPonse Enforcement actions for public is the fundamental basis for this chance of proving the existence of licensed opeators will be determined on determination within each activity area.

m tigating circumstances.

1 a caseby. case basis, as specified in It is inappropriate, however, to compare Response: Prior to imposing civil d

Section IV.A. of the Policy Statemynt.

severity levels between activity areas.

penalties, licensees are given the 1

@*[T (tamp Comment: Inadvertent errors must be Con 9ent:Are the supplements for opportunity to raise any mitigating I

accepted as a distinct possibility and guidance only or are they mandatory?

circumstances unique to the case. Theseq c rcumstances are taken into o

cha v i severe penalties should be reserved for response:The supplements are for consideration when the decision is mad jjj willful violations only, guidance, as is the entire pohey Response NRC expects. and has statement.

whether or not to order the imposition o,

Ord r P required. e high standard of licensee Comment: The aggressive use of civil penalties. Mitigation or remission,

compliance; this policy is designed to monetary civil penalties v ill not ensure of civil penalties based on such licenseej ensure that this high standard is compliance with NRC regulations.

responses is not uncommon when p

t$

maintained. Clearly, willful viola tions Response While not ensuring c mpelling arguments are presented.

s should be treated more harshly. A compliance, civil penalties are strong Comment Provisions for escalated i willful violation may be a criminal incentives to comply. Enforcement action set forth in Table 2 are not b

violation under the Atomic Energy Act actions are almost exclusively appropriate.

i and may be referred to the Department retrospective in nature, of course, and Re8Ponse: Table 2 is advisory, not of lustice for appropriate action.

thus address past noncompliance rather' mandatory.

1 1

Comment: Insufficient time was than guaranteeing compliance.

Comment Severitylevels need to be L allowed to prepare for pubic meetings.

Nevertheless, the deterrent effect of revised to more clearly reflect health.g Catf l l

Response:The meetings were enforcement, including civil penalties, is and safety concerns.

s yg announced cn October 17.1980 and considered to be substantial. In Response:The numbr of severity 4 lll were held in early December.1980; a addition. it is Commission policy that levels has been reduced to five, with PLEAS:

I k'

4

Federal Register / Vcl. 47. N:. 46 / Tu:sd;y M:rch 9.1982 / Rul s and Rigulati ns 9989 additional guidance in expanded five: (2) provision that severity level !!!

sec. s. Pub. L 91-580, s4 Stat.1472 (42 U.S.C.

violations be considered for civil 2135).

~'

supplements.

_ penalties. re!her than normally

2. Part 2 is amended by adding a new Comment:Immedicte Action Letters should be ce!!cd Confirmatory Action assessing civil penalties for them:(3)

Appendix C to read as follows:

Letters.

elimiration of civil penalties for Response: Adopted.

violations identified, corrected and Appendix C--General Policy and Procedure f r NRC Enforcement Actions Comment Is the Enforcement Policy a reported by licensees under certain General Statement of Policy or a conditions: (4) elimination cf specific The following statement of general policy regulation?

criteria for enforcement actions against and procedure explains the enforcement Response An underlying basis of this licensed operators: (5) modification of policy and procedures of the U.S. Nuclear policy that is reflected throughout it is the tone of presentation to avoid an f,y;",1'p,y,$,j, yc',[,("a a f

,i that the determination of the unnecessarily adversarial character: (6) presiding officers. the Atomic Safety and appropriate sanction requires the changes in the base civil penalty values Licensing Appeal aoards. and the exercise of discretion such that each to better differentiate among different Commission in reviewing these actions.This enforcement action is tailored to the types oflicensees;(7) clarification of a statement is applicable to enforcement in partir:ular factual situation. In view of number of passages and of several terms matters involving the public health and the discretion provided, the enforcement used in the policy;(8) addition of a new safety the common defense and security, and policy is being adopted as a statement supplement containing guidance on the environment.'

of general policy rather than as a miscellaneous matters, including I. Introduction and Purpose regulatfors. notwithstanding that the violations involving material false statement has been promulgated with statements. willful violations and The purpose of the NRC enforcement program is to promote and protect the notice and comment procedures. A reporting failures: and (9) combination radiological health and safety of the public, general statement of policy will permit of the supplements applicable to fuel including employees' health and safety, the the Commission maximum flexibility in cycle operation and materials activities common riefense and security. and the revising the policy statement and it is into one supplement.

environment by:

expected that the statement, especially Pursuant to the Atomic Energy Act of

. Ensuring compliance with NRC regulations the supplements, will be revised as 1954. as amended. the Energy and license conditions:

necessary to reflect changes in policy Reorganization Act of 1974, as amended.

• Obtaining prompt correction of and direction of the Commission.

and Section 552 of Title 5 of the United noncompliance:

In drafting the statement it was States Code. the following statement of

• Deterring future non.:ompliance; and expected that the specific enforcement policy is published as Appendix C to 10

• Encouragingimprovement oflicensee criteria should pruvide adequate CFR Part 2 as a document subject to P* g thIpr n pt 3,dus

.lu guidance and be applied in the majority codificatica to be effective Afarch C.

Identification and reporting of potential of circumstances requiring enforcement 1982.

safety problems.

p actions. The policy, as indicated above.

PART 2-IkULES OF PRACTICE FOR Consistent with the purpose of this does provide discretion to take pmgram, pmmpt and vigorous enforcement DOMESTIC LICENSING PROCEEDINGS appropriate action if. after considering action wdl be taken when deshng with the policy statement. the Director 1.The authority citation for Part 2 licensees who do not achieve the necessary determines that application of the continues to read as follows:

meticulous attention to detail and the high standard of compliance which the NRC criteria is inappropriate. For example.

Authority: Secs.181.181. 68 Stat. 948. 953 expects of its licensees. Each enforcement there may be cases where more than a (42 U.S.C 2201. 2231): sec.191. as amended.

ection is dependent on the circumstances of 25% increase in civil penalty is Pub. L 87-615,76 Stat. 409 (42 U.S C. 2241);

the case and requires the exercise of appropriate based on prior enforcement sec. 201. pub. L 93-438. 88 Stat.1242, as discretion after consideration of these history.

amended by Pub. L 94-79,89 Stat. 413 (42 policies and procedures. In no case. however.

U.3.C 5841): 5 U.S.C. 552.

will licensees who cannot achieve arid P

pa Changes Section 2.101 also issued under m. 53,62, maintain adequate levels of pr *ection be The fundamental basls of the rev[ sed 81.103.10a.105. 88 Stat. 930. 932. 15. 938 permitted to conduct licensed activities.

poIicy remains the same ae that 937. 938 as amended (42 U.S.C 2.,73. 2093, 2111. 2133. 2134. 2135): sec.102. Pub. L 91-II. Statutory Authority and Procedural '

atticulated in the interim policy. That is.

190. 83 Stat. 853 (42 U.S.C. 4332); sec. 301,88 Framework violations are categorized by severity Stat 1248 (42 U.S.C 58711. Sections 2.102,

1. D levelin accordance with guidance 2.104,2.105.2.721 also issued under secs.102 incorporated in the policy statement.

103.104.105.183.189. 88 Sta t. 936. 937. 938 The NRC's enforcement jurisdiction is Based on that severity level, the 954. 955, as amended (42 U.S.C 2132. 2133.

drawn from the Atomic Energy Act of 1954.

enforcement eanction to be applied is 2134. 2135. 2233,2239). Sections 2.200-2.206 as amended, and the Energy Reorganization then determined. Depending on the also issued under sec.188. 88 Stat. 955 (42 Act of 1974. as amended, nature of thelicensed activity nvolved*

U.S.C. 2236): sec. 200. 88 Stat.1248 [42 U.S.C.

Section 181 of the Atomic Energy Act i

5840). Sections 2.600-2.808. 2.730,2.772 also authorizes NRC to conduct inspections and the size of any base civil penalty that issued under sec.102. Pub. L 91-190. sa Stat.

Investigations and to issue orders as may be may be ca' led for is then determined nsa (42 U.S.C 4332). Sections 2.700a. 2.719 necessary or desirable to promote the l

i und adjusted upward or downward also issued under 5 lt S C. 554. Sections 2.754 common defense and security or to protect based on the circumstances of the 2.700. 2.770 also issued under 5 U.S.C. 537.

health or to minimize danger to hfe or specific case.

Section 2.790 also issued under sec.103,88 property. Section 180 authorizes NRC to In spite of these basic similaritles.

Stat. 930. as amended (42 U.S.C. 2133).

revoke licenses under certain circumstances substantial changes have been made in Sections 2.800-2.807 also issued under 5

[e.g.. for material false atatements. in U.S.C. 553. Section 2.808 also issued under 5 response to conditions that would have how the steps are accomplished and in U.S.C. 553 and sec.102. 83 Stat. 853 (42 U.S.C warranted refusal of a license on an original clarifying the language used to present 4332). Section 2.809 also issued under 5 U.S.C application. for a licensee's failure to build or the policy.The most sigmficant of these 553 and sec. 29. Pub. L 85-258. 71 Stat. 579. as m

changes include: (1) Reduction in the amended by Pub. L 95-209. 91 Stat.1483 (42

' AnHtrust enforcement matters wPl be dealt with

~

I number of severity levels from six to U.S.C. 2039). Appendix A is slso issued under or case-by. case basis, d

~

Fed:rd Regist:r / Vol. 47 No. 40 / Tu:sday, March 9.1982 / Rules and Regulations 9990 operste a facili'y in accordance with the III. Severity of Violations requirements. deception, or other indications of willfulness. The term " willfulness" as used

, terms of the permit or license, and for Regulatory requirements 'have varying here embraces a spectrum of violations violation of a NRC regulation). Section 234 degrees of safety, safeguards, or ranging from deliberate intent to violate or s

authorizes NRC to impose civil penalties not environmental significance. Therefore, it is falsify to and including careless disregard for to exceed $100.000 per violation per day for essential that the relative importance of each requirements. Willfulness does not the violation of certain specified licensing violation be identified as the first step in the comprehend acts which do not rise to the enforcement process.

level of careless disregard. In determining the provisions of the Act, rules, orders. and Consequently, violations are categorized in specific seventy level cf a violation involving license terms implementing these provisions.

terms of five levels of seventy to show their willfulness consideration will be given to and for violations for which licenses can be

"'ative importance within each of the such factors as the position of the person revoked. Section 232 authorizes NRC to seek following seven activity areas:

involved in the violation le g., first line injunctive or other equitable relief for Reactor Operations:

supervisor or senior manager). the

/c..,

. violation of regulatory requirements.

Facihty Construction; significan:e of any underlying violation. the

-o Section 206 of the Energy Reorganization Safeguards:

intent of the violator (i.e., negligence not Act authorizes NRC to impose civil penalties liealth Physics:

amounting to careless disregard, careless for knowing and conscious fadures to provide Transportation; certain safety information to the NRC.

Fuel Cycle and Afaterials Operations: and disregard, or dehberateness), and the economic advantage. if any. gained by the Atiscellaneous Afatters.

Chapter 18of the AtomhEnergy Act Within each activity area Severity Level I violation.The relative weight given to each of provides for varying levels of criminal has been assigned to violations that are the these factors in arriving at the appropriate penalties (i.e monetary fines and mest signmcant and Severity level V severity level will be dependent on the imprisonment) for willful violations of the act vi lati ns are the least significent. Severity circumstances of the violation.

and regulations or orders issued under LeselI ha iIl violations are of very The NRC expects licensees to provide full.

Sections 65,161(b).161(i), or 161(o) of the Act significar.t regulatory concern. In general, complete. timely, and accurate information Section 223 provides that criminal penalties violations that are included in these severity and reports. Accordingly, unless otherwise may be imposed on certain individuals categories involve actual or high potential categorized in the Supplements, the severity employed by firms constructmg or supplying impact on the public. Severity level III level of a violat.on involving the failure to basic components of any utdization facility if violations are cause for significant concern.

make a required report to the NRC will be the individual knowingly and willfully Severity levelIV violations are less serious based upon the sigmficance of and the violates NRC requirements such that a basic but are of more than minor concern:i.e., if left circumstances surrounding the matter, component could be significantly impaired.

ancorrected, they could lead to a more flowever, the severity level of an untimely y

serious concern. Severity Level V violations report. in contrast to no report, may be s

Section 235 provides that criminal penalties are of minor safety or environmental concern. reduced depending on the circumstances may be imposed on persons who interfere

'Ihe relative seriousness of violations at the surrounding the matter.

with inspectors. Section 236 provides that several severity levels applies within each criminal penalties may be imposed on activity area. but comparisons between This section desenbes the enforcement persons who attempt to or cause sabotage at activity areas are inappropriate. For example. sanctions available to NRC and specifies the a nuclear facility or to nuclear fuel. Alleged while the immediacy of any hazard to the or suspected en,minal violations of the public associated with Severity LevelI conditions under which each may be used.

'(

Atomic Energy Act are referred to the violations in Reactor Operations is greater The basic sanctions are notices of violation.

s i

Department of justice for appropriate action.

than that associated with Severity levell civil penalties, and orders of various types, vi lations in Reactor Construction, both Additionally, related administrative B. /Wcedum/fmmework areas have violations which cover the full mechanisms such as bu!!etins and to CFR part 2. Subpart B, of NRC's range of severity levels. This disparity in confirmatory action letters are used to I

il regulations sets forth the procedures the NRC relative seriousness of violations in different supplcment the enfortement program. In uses in exercising its enforcement authority.

activity areas is due to the diversity of selecting the enforcement sanctions to be to CFR 2.201 sets forth the procedures for licensed activities regulated by NRC and the apphed. NRC will consider enforcement issuing notices of violatior.

need for continuing improvement in licensee actions taken by other Federal or State The procedure to be used in assessing civil performance of certain activities.

regulatory bodies having concurrent While examples are provided in jurisdiction. such as in transportation penalties is set forth in to CFR 2.205. This Supplements I through Vll for determining the matters.

4 regulation provides that the appropriate NRC 8ppMpriate severity level for violations in With very limited exceptions, whenever Office Director initiates the civil penalty es.h of the seven activity areas, the noncompliance with NRC requirements is identified. enforcement action is taken. The

,]

process by issuing a notice of violation and examples are neither exhaustive nor nature and extent of the enforcement action' proposed imposition of a civil penalty. The controlling.These examples do not create tended to reflect the seriousness of the licensee is provided an opportunity to contest new requemen y te ct b isy#"

• • • '"' # Y I in writing the proposed imposition of a civil Y

8"'"

'9" penalty. After evaluation of thelicensee's Each of the examples in the supplements is violations. action by an NRC regional office

'~

response, the Director may mitigate, remit, or predicated on a violation of a regulatory is appropriate in the form of a Notice of Violation requiring a formal response frorn impose the civil penalty. An opportunity is requirement.

provided for a hearing if a civil penalty is In each case, the severity of a violation will the licensee desenbing its corrective actions.

Imposed.

be characterized at the level best suited to The relatively small number of cases ne procudure for issuing an order to show the sigmficance of the particular violation.

involving elevated enforcement action cause why a hcense should not he modified.

Licensed activities not directly covered by receives substantial attention by the public.

nnn of the above listed arene, e r, esport and may have signficant impart on the suppended, or revoked or why em h other action should not be taken is set forth in to lit.cnno activities, mil be placed in the litennis operettun.1hese elevaled activity area must suitable in light of the enfori ement actions include uul penalties; CFR 2.202.The mechanism for mmhfying u particular violation inbolved.

orders modifying, su=pendmg nr revoking license by order is set forth in to CFR 2.204.

The severity level of a violation may be licenses; or orders to cease sad deost trom nese sections of part 2 provide an increased if the circumstances surrounding designated activities.

opportunity for a hearing to the affected the matter involve careless disregard of A. Notice of Violation licensee. llowever, the NRC is authorized to make orders immediately effective if the A notice of violation is a wntfen notice public health, safety or interest so requires

','. " [ *

l' setting forth one or more violations of a

'Y or,in the case of an order to show cause,if st atute. regulation. hcense conation, technal legally binding requirement. The notice normally requires the licensee to provide a the elleged violation is willful.

speutication, or ortter.

i

)

i l

I l

~

~ ~ '

Feder:1 Regi:ter / Vcl. 47. No. 40 / Tuesd:y, March 9.1982 / Rults cnd Regul ti:ns 9991 written statement describing (1) corrective to violations discussed in e previous On the other hand. ineffective licensee steps which have been taken by the licensee enforcement conference, and for which the programs for problem identification or and the results achieved;(2) corrective steps enforcement conference was ineffective in correction are unacceptable. In cases which will be taken to prevent recurrence:

achieving the required corrective action.

involving willfulness, flagrant NRC-identified

(

and (3) the date when full compliance will be in applying this guidance for Severity Level violations or serious breakdown in achieved. NRC may require responses to IV violations. NRC normally considers civil management controls. NRC intends to apply notices of violation to be under oath, penalties only for similar violations that its full enforcement authority where such Normally. responses under oath will be occur after the date of the last inspection or action is warranted, including issuing required only in connection with civil within two years, whichever period is appropriate orders and assessing civil penalties and orders.

grester. Enforcement conferences are penalties for continuing violations on a per g

NRC uses the notice of violation as the normally conducted for all Severity level L II.

day basis, up to the statutory limit of $100.000 standard method for formalizing the and 111 violations and for Severity level IV existence of a violation. A notice of violation violations that are considered symptomatic of Per violation, per day.

~ la normally the only enforcement action program deficiencies. rsther than isolated NRC reviews each proposed civil penalty taen, except in cases where the criteria for concerns. lJcensees will be put on notice case on its own merits and adjusts the base civil penalties and orders. as set forth in when a meeting is an enforcement r.lvil psnelty values upward or downward Sections IV.D and IV.C respectively, are met, conference.

appropriately. Tables 1A and 1D identify the In such cases, the notice of violation will be Civil penalties will normally be assessed base civil penalty values for different issued in conjunction with the elevated for knowing and conscious violations of the severity levels, activity areas, and classes of actions.

reporting reg'uirements of Section 206 of the licensees. After considering a!! relevant Because the NRC wants to encourage and Energy Reorganization Act, and for any circumstdnces, adjustments to these values support licensee initiative for self-willful violation, including those at any may be made for the factors described below:

Identification and ccrrection of problems, severity level

1. Prompt Identificadon and Reporting.

NRC will not generally issue a notice of NRC imposes different levels of penalties Reduction of up to 50% of the base civil violation for a violation that meets all of the for different severity level violations and penalty may be given when a licensee following tests:

different classes of licensees. Tables 1 A and identifies the violation and promptly reports (tllt was identified by the licensee:

1D show the base civil penalties for various the violation to the NRC. In weighing this (2)lt fits in Severity Level!V or V; reactor. fuel cycle, and materials programs.

factor, consideration will be given to, among (3)It was reported. if required; ne structure of these tables generally takes other things, the length of time the violation (4) It was or will be corrected. including into account the gravity of the violation as a existed prior to discovery, the opportunity measures to prevent recurrence, within a primary consideration and the ability to pay available to discover the violetion, and too reasonable time; and as a secondary consideration. Generally, promptness and completeness of any (5) h was not a violation that could operations involving greater nuclear material reasonably be expected to have been inventories and greater potential required report. %Is factor will not be prevented by the licensee e corrective action consequences to the public and licensee

,pP g g

for a previous violation.

employees receive higher civil penalties.

identified as a result of overexposures, Licensees are not ordinarily cited for Regarding the secondary factor of ability of unplanned relaases of radioactivity or other violations resulting from matters not within various classes oflicensees to pay the civil specific, self. disclosing incidents. In addition, their control, such as equipment failures that penalties. it is not the NRC's intention that no consideration will be given to this factor if were not avoidable by reasonable licenses the economic impact of a civil penalty be the licensee does not take immediate action quality assurance measures or management such that it puts a licensee out of business to correct the problem upon discov?ry.

(

controls. Generally, however. licensees are (o;ders, rather than civil penalties, are used

2. Corrective Action to Prevent Recurrence.

held responsible for the acts qf their when the intent is to terminate licensed Recognizing that corrective action is always employees. Accordingly, this policy should activities) or adversely affects a licensee's required to meet regulatory requirements, the not be construed to excuse personnel errors.

ability to safely conduct licensed activities.

promptness and extent to which the licensee Enforcement actions involving individuals.

The deterrent effect of civil penalties is best takes corrective action, including actions to including licensed operators, will be served when the amounts of such penalties prevent recurrence, may be considered in determined on a case-by-case basis.'

take into account a licensee's " ability to modifying the civil penalty to be assessed.

B. CivilPenalty pay."In determining the amounts of civil Unusually prompt and extensive corrective penalties forlicensees for whom the tables action may result in reducing the proposed A civil penalty is a monetary penalty that do not reflect the ability to pay. NRC will civil penalty as much as 50% of the base may be imposed for violation of (a) certain consider as necessary an increase or value shown in Table 1. On the other hand, specified licensing provisions of the Atomic decrease on a case-by-case basis.

the civil penalty may be increased as much Energy Act or supplementary NRC rules or NRC attaches great importance to as 25% of the base value ifinitiation of orders. (b) any requirement for which a comprehensive licensee programs for corrective action is not prompt or if the

~

l license may be revoked, or (c) reporting detection, correction, and reporting of corrective action is only minimally requirements under Section 200 of the Energy - problems that may ccnstitute, or lead to, acceptable.!n weighing this factor Reorganization Act. Civil penalties are violation of regulatory requirements. This is c nsideration will be given to, among other l

designed to emphasize the need for lasting emphasized by giving credit for effective things, the timeliness of the corrective action, I

remedial action and to (eter future violations. licensee audit programs when licensees find, degree flicensee initiative, and l

Generally. civil penalties are imposed for correct. and report problems expeditiously C mprehensiveness of the corrective action-Severity level I and II violations, are and effectively. To encourage licensee self-considered and usually imposed for Severity identification and correction of violations such as whether the action is f,ocused Level III violations, and may be imposed for and to avoid potential concealment of narrowly to the specific violation or broadly Severity LevelIV violatkms that are similar

• problems of safety significance, application to the general area of concern.

of the adjustment factors set forth below may

3. Enforcement History. The base civil

'Section 234 of the Atomm. Energy Act gives the result in no c!vil penalty being assessed for penalty may be increased as much as 25%

Commission authority to irrpose civil penalties fee violations which are identified, reported (if depending on the enforcement history in the violations on "any person." Terson" is broadly required), and effectively corrected by the general area of concern. Specifically, failure defined in Section its of the AEA to include licensee, provided that such violations were to implement previous corrective action for individuals, a variety of orsenizations, and any

.not disclosed as a result of overexposures or prior similar problems may increase the civil representauves or agents. This gives the unplanned releases of radioactivity or other penalty value.

em I ees ofI c es or n separa e ent ti s w en specific, self-disclosing incidents.

4. Prior Notice ofSimilar Events. The base a violation of a requirement directly ir7osed on civil penalty may be increased as much as them is committed.

reasonably expected to have been prevented by the 25% for cases where the licensee had prior

• The word "similar." as used ln this polic'y. refers licensee's corrective action for the previous knowledge of a problem as a result of a to those viole tions which could have been violation.

licensee audit, or specific NRC or industry

?

A

L.

I 9992 Federal Register / Vol. 47. No. 40 / Tuesday, March 9.1982 / Rules and Regulations notification, and had failed to take effective have been aware of the condition or had an (d) When the licensee interferes with the preventive steps, opportunity to correct the condition, but conduct of an inspection or investigation; or

5. Multiple Occurrences. The base ciul failed to do so. Civil penalties in excess of (c) For any reason not mentioned above for penalty may be increased as much as 25%

315 times the maximum civd penalty for a w hit.h license resocation is legally where multiple examples of a particular single Severity Level I violation for each type an thonred.

violation are identified durmg the inspection of brensee require specific Commission Suspensions may apply to all or part of the

, penod. This factor is applicable only where approval in accordance with guidance set bcensed activity. Ordinarily, a licensed NRC identifies the tiolation or for violations fos th in Section Vi below, activity is not suspended (nor is a suspension associated with self. disclosing incidents.

NRC statutory authority permits the prolonged) fur failure to comply with ne above factors are additive so that the assessment of the maximum civil penalty for requirements where such failure is not willful civil penalty for any severity level may range each violation. The Tables and the mitigating and aJequate corrective action has been from plus or minus 100% of the base value.

factors determine the cisil penalties which taken.

Ilowever,in no instance will a civil penalty may be assessed for each violation. llowever.

(3) Revocation Orders may be used; j

for any one violation exceed $100.000 per to emphasize the focus on the fundamental (a) When a licensee is unable or unwilling day.

underlying causes of a problem for which to comply with NRC requirements.

The duration of a violation may also be.

enforcement action appears to be warranted.

(b) When a hcensee refuses to correct a considered in assessing a civil penalty. A

• the cumulative total for all violations which violation.'

greater civil penalty may be imposed if a contributed to or were unavoidable (c) When a licensee does not respond to a violation continues for more than a day.

consequences of that problem will generally notice of siolation where a response was Generally,if a licensee is aware of the be based on the amount shown in the table-

required, existence of a condition wh ch results in an as adjusted. If an evaluation of such multiple (d) When a licensee refuses to pay a fee ongoing violation and fails to initiate violations shows that more than one required by 10 CFR part 170. or corrective action, each day the condition fundamental problem is involved, each of (e) For any other reason for which existed may be considered as a separate which,if viewed independently. could lead to revocation is authorized under Section 186 of violation and. as such, subject to a separate civil penalty action by itself. then separate the Atomic Energy Act (e g., any condition additional civil penalty.

civil penalties may be assessed for each such which would warrant refunal of a license on Generally, for situations where a licensee fundamental problem. In this regard the an original application).

4 is unaware of a condition resulting in a failure to make a required report of an esont (4) Cease and Desist Orders are typically

?

continuing violation, a separate violation and requiring such reporting is considered a used to stop an unauthorized activity that has attendant civil penalty may be considered for separate problem and will normally be crintinued after notification by NRC that such each day that the licensee clearly should assessed a separate civil penalty.

activity is unauthorized.

Orders are made effective immediately.

TABLE 1 Am8ASE CIVIL PENALTIES without prior opportunity for hearing.

tror sw waiions, w henever it is determined that the pub!!c health. interest. or safety so requires, or when n pw sa'ewards Tran portawn the order is responding to a violation oc+rm.

involving willfulness. Otherwise, a prior

' ~

sgn

'O N Lo*

opportunity for a hearing on the order is Ca'sY Noncate.

sory 1

• • J'i

.Tc afforded. l'or cases in which the NRC owm fum '

beheves a taasis could reasonably exist for not taking the action as proposed, the a Pc or Reactors

$80.000 5a0.000 S40.000

$30.000 55.000 licensee will ordinarily be afforded an

a. Test Reactors.

10.000 10.000 5.000 10.000 2.000 opportunity to show cause why the order

c. Research Reactors arwt Crecal Facetses 5.000 S.000 2.500 s.000 1.000 d Fuse Facshtsee 40.000 so.000 40.000 40 000 5.000 should not be issue.a the proposed manner. ;

e emsew users as umen*

• s ooo s.000 2.000 t wam o,.cosa ucensees s000 e.0oo 3.000 D. Escalation of Enforcement Sanctions 1

g. Academec or uescalinstitutionsa 4.000 2.500 1,000 e=

vt om. usens ucensees 1.000 2.500 1.000 NRC considers violations of Severity c

Levels I. II or !!! to be serious. If serious

'ceeoory i mooneses are rese aumonzed so possess sormuia wanmies of semegic spece nucwar ensions 00 CFR violations occur. NRC will, where necessary.

j

".#$ e pacsage, issue orders in conjunction with civil i

u[es een s.,nuc ar pharmaces, e*stn* processors and arms easaged a manu'ackmns or {""

',to achieve mmediate ecti e neoor j

• inis apones ir, noreram ossa.none not otrer se categorved under a evougn e e=s tab

• serious viola tions. NRC carefuliy considers y the circumstances of each case in selecting TAsLE 18.-DASE CnNL PENALTIES issued in lieu of, or in addition to. civil and applying the sanction (s) appropriate to penalties, as appropriate.

the case in accordance with the criteria e m c~s (1) License Modification Orders are insurd described in Sections IV.D and IV.C. above.

/m*o*u*,7 when some change in licensee equipment.

Examples of enforcement actions that j

l l

procedures. or management cor trols is could be taken for similar Severity Level I, II. J s

100 necessary, or III violations are set forth in Table 2. He j

s 80 (2) Suspension Orders may be used; actual progression to be used in a particular i (al To remove a th eat to the public health case will depend on the circumstances.

yv' Z....

s and safety common defense and security or llowes er, enforcement sanctions wdl 4

the environment; normally escalate for recurring similar 8 P. cent o%st kmd in tabe R (b) To stop facility construction w ten (i) violations.

further work could preclude or signif cantly Normally the progression of enforcement hinder the identification or correction of an actions for similar violations will be based on.

C Orders improperly constructed safety-related eystem violations under a single license. When more or component, or (ii) the licensee's quaity than one facility is covered by a single An order is a written NRC directne to assurance program implementation is not license, the normal progression wdl be based modify. suspend. or revoke a license; to cea se adequate to provide confidence that on *imilar violations at an individual facility n

/

and desist from a given practice or activity; construction activities are being properly and not on similar violations under the same or to take such other action as may be proper carried out; license. Ilov.ever, it should be noted that (see 10 CFR 2.202 and 2.204). Orders may Le Ic) When the licensee has not responded under some circumstances. e g., where there issued as set forth below. Orders may also be adequately to other enforcement action; is common control over some facet of facility

, numa

.. _ _.. _ _. _ _. _ _ _. - _ _., _ ~.----

Feder:I R: gist:r / Vol. 47. No. 40 / Tuesday, March 9.1982 / Rules and Regulations 9993 operations, similar violations may be charged NRC from taking other enforcement action

1. A Safety 1.imit. as defined in to CFR sven though the eecond violation occurteo at under this General Statement of Policy.

50.36 and the Technical Specifications, being a different facility or under a different flowever. such actions will be coordinated exceeded; heense. For example, a physical security with the Department of justice to the extent

2. A system ' designed to prevent or violation at Unit 2 of a dual unit plant that practicable.

mitigate a serious safety event not being able repeats an earlier violation at Unit 1 might be V. Public Disclosure of Enforcement Actions to perf rm its intended safety function ' when considered similar.

actually ca!!ed upon to work:

In accordance with to CFR 2.790, all

3. An accidental criticality;or TABLE 2.-EXAMPLES OF PROGRESSION OF ES-enforcement actions, inspection reports, and

4. Release of radioactivity offsite greater CALATED ENFORCEMENT ACTIONS FOR $1MI.

Iicensees responses are publicly available thaa ten (10) times the Technical t.AR VIOLATIONS IN THE SAME ACTivtTV AREA for inspection. In addition, press releases are Specif cations limit.'

UNDER THE SAME LICENSE generally issued for civil penalties and orders. In the case of orders and civil D. Severity II-Very significant violations Neter of swMar modawns froen the dve of penalties related to violations at Severity involving:

3,m inegagtg tggs 2 Levels I. II. or III press releases are issued at

1. A system designed to prevent or mitigate s

f events not being able to

.me the time of the order or the proposed tm ed 3d imposition of the civil penalty. Press releas'es perform its intended safety function: or are not normally issued for Notices of

2. Release of radioactivity.offsite greater I

a + it a+b+c e

Viola tion.

than in e (5) times the Technical e.

u a

a + n.

e, b + r.

Specifications hmit.

m_

aa a

a+e-VI. Responsibilities C. Severity til-Significard violations a che pen,.y The Director. Office ofInspection and involving:

e susosas.on ce anected operenons una tne on.c. o ec-Enforcement. as the principal enforcement

1. A Technical Specification Limiting reae cen operaIM'. or moecano"c

. EnYeop,'j.'"'

officer of the NRC. has been delegated the Condition for Oper. tion being exceeded N

m n ce ine hcense, es aporoorse authority to issue notices of violations, civil where the appropriate Action Statement was

,J,,,f#,"g7 * '"'" "

'"C** '"' "' pen 31 ties and orders.'In recognitic,n that the not satisfied that resulted in:

d Fwmer ocean. as sopropneia regulation of nuclear activities in many cases (al Loss of a safety function;or

' cons e mona' does not lend itself to a mechanistic (b) A degraded condition, and sufficient treatment, the Director must exercise information existed which should have E. RelatedAdministrotive Actions judgement and discretion in determining the alerted the licensee that he was in an Action In addition to the formal enforcement severity levels of the violations and the Statement condition:

mechanisms of notices of violation. civd appropriate enforcement sanctions, including

2. A system designed to prevent or mitigate penalties, and orders. NRC also uses the decision to impose a civil penalty and the a serious safety event not being sble to administrative mechanisms, such as amount of such penalty, after considering the perform its intended function under certain enforcement conferences. bulletins. circulars, geacral principles of this statement of policy conditions (e g. safety system not operable information notices. generic letters. notices of and the technical significance of the unless offsite power is available; materials or deviation, and confirmatory action letters to violations and the surrounding components not environmentally qualified):

supplem ent its enforcement program. NRC circumstances.

expects licensees to adhere to any The Commission will be provided written

3. Serious dereliction of duty on the part of obligations and commitments resulting from notification of all enforcement actions personnel involved in licensed activities:

e

( Changes in reactor parameters which these processes and will not hesitate to issue involvi,ng civil penalties or orders. The appropriate orders to make sure that such Commission will be consulted prior to taking cause unanticipated reductions in margins of commitments are met.

enforcement action in the following situations

,37,gy, (1) Enforcement Conferences are meetings (unless the urgency of the situation dictates

5. Release of radioactivity offsite greater held by NRC with licensee management to imrnediate action):

than the Technical Specifications limit: or 6.10 CFR 50.59 such that a required license (t n ac on a discutt safety, safeguards ur environmental ope),f9n,,,,e ui problems, licensee's compliance with I cigt a public amendment was not sought, regulatory requirements, a licensee s health and safety or common defense and D. Seventy IV-Violations olving-proposed corrective measures (including security implicauons of not operating with 1.10 CFR 50.59 that do not usult in a schedules for implementation) and the potential radiological or other hazards Severity Level I. II. or III violation:

enforcement options available to the NRC.

associated with contmued operation:

2. Failure to meet regulatory requirements (2) Bulletins. Circulars. Information Notices p) proposals to impose civil penalties in that have more than minor safety or and Generic Iatters are written notifications amounts greater than 3.75 times the Severity environmental significance; or to groups oflicensees identifying specific i.evell values shown in Table 1A:

3. Failure to make a required Licensee problems and recommendmg specific actions.

(3) Any proposed enforcement action on Event Report when the reported matter does (3) Notices of Deviation are written notices which the Commission asks to be consulted; not constitute a violation.

des binga e e a a ve f lure to E. Severity Level V-Violations that have or (4) Any action the Office Director believes minor safety or environmental significance.

warrants Commission involvement.

involved has not been made a legally binding Supplement !!-Severity Categories requirement.The notice of deviation requests Supplement I-Severity Categories Part 50 facihty Construction the licensee or vendor to provide a written explanation or statement describing Reactor Operations A. Severity I-Very significant violations enrrec.tive steps taken (or planned), the A. Severity I-Very sigmficant violations involvmg a structure or system that is results achieved, and the date when invuhing:

e orrective action will be completed.

• %.icni9s used in the.e suppiamania. tm ind.s (41 Confirmatory Action Lettrrs nie leitets a a he, nin.rtme of the Othces of Nue.h r Hr m.tur adannioimim and mmcel control spiems, se e nnfirming a licensen*a aNrecment to take Itrgul.lism and Nurlear Malettel Hafely unit M e ph en.1 epienis.

certain actions to remove significant haferuards have e!ao been delegated similar 0 Intend d safety function" menne the total concerns about health and safety. safeguards, authonty. but it is expected that normal use of this sa'ety function, and is not directed toward a loss of or the environment.

authonty by NRR and NMSS wdl be confined to redundancy. For example. considenna a BWR's high actions necessary in the interest of pubbc health pressure ECCS capabihty, the violation must result E. Referruls To Department offustice and safety.The Director, office of Administration, in complete invshdation of both I{pCI and ADS Alleged or sasPected criminal violations of has been delegated the authonty to issue orders subsystems. A loss of one subsystem does not the Atomic Energy Act (and of other relevant where hcensees violate Commission regidations by defeat the mtended safety function as long as the nonpayment of license fees. It is planned to other subsystem is operable, Federal laws) are referred to the Department consider redelegation of some or all of these

. *The Techmcal Specification limit as used in this of Justic for investigation. Referral to the authonties to the Administrators of the NRC Supplement (!! ems A 4. B.2 and C.5) does not apt y l

Department of justice does not preclude the Regional Offices over the next several yews.

to the instanla'icous release lamit.

b

f 09M Fed:r:I Regist;r / Vol. 47. No. 40 / Tuesday, March 9.1982 / Rules and Regul:tions comp 12tal 'in such a menner that it would designed or used to prevent tny unauthorized

5. Exposura of a workrr in restricted tras

-ret h:v3 ottisfitd its intindrd safety related individual from entering a vital area or of ten times the limits of to CFR 20.103.

purpose, material access area from outside the IL Severity II-Very significant violations B. Severity I-Very significant violations protected area (i.e. entry through two involving:

Involving-barriers) so that access could have been

1. Single exposure of a workerin excess of k

w

1. A breakdown in the quality assurance gained without detection:

5 rems of radiation to the whole body 30 program as exemplified by deficiencies in

3. Failure to implement approved rems to the skin of the whole body, or 75 construction QA related to more than one compensatory measures when the central (or rems to the feet, ankles, hands or forearms:

work activity le g., structural, piping.

secondary) alarm etation is inoperable:

electrical, foundations). Such deficiencies

4. Fadure to establish or maintain

2. Annual whole body exposure of a normally involve Ae licensee a failure to safeguards systems designed or used to member of the public in excess of 0.5 rems of conduct adequate a.dits or to take prompt prevent or detect the unauthor: zed removal of 1).

'"'9 corrective action on the basis of such audits a formula quantity of SSNM from areas of 3.

ase of radioactive material to an and normally involve multiple examples of authorized use or storase: or unrestricted area in excess of five times the '

deficient construction or construction of

5. Failure to use established transportation

" "N @ *

• unknowr. quality due to inadequate program security systems designed or used to prevent

4. Failure to make an immediate implementation; or the theft. loss, or diversion of a formula notification as required by 10 CFR

2. A structure or system that is completed quantity of SSNM or acts of radiological 20.403(a)(1) and to CITt 20.403(a)(2):

in such a manner that it could have an sa botage.

5. Disposal oflicensed materialin adverse effect on the safety of operations.

C. Severtty lli-Significant violations quantities or concentrations in excess of five C. Severity III-Significant violations involvin::.

times the limits of to CFR 20.303. or involving:

4

1. Failure to control access to a vital area

6. Exposure of a worker in restricted areas

1. A deficiency in a licensee quality or material access area from inside the in excess of five times the limits of to CFR assurance program for construction related to protected area or failure to control access to 20.103.

a single work activity (e g. strictural, piping.

electrical or foundations). Such sigmficant a protected area from outside the protected C. Seventy III-Significant violations deficiency normally involves the licensee's area: (i.e., such that only a single security involvmg element remained):

1. Sing e exposure of a worker in excess of failure to conduct adequate audits or to take

2. Fadure to control access to a transport 3 rems of radiation to the whole body,7.5 prompt corrective action on the basis of such schicle or the SNM being transported that rems to the skin of the whole body, or 18.75 audits, and normally involves multiple examples of deficient construction or does not constitute a Severity I or 11 violation: rems to the feet, ankles, hands or forearms:

3. Failure to establish or maintain

2. A radiation levelin an unrestricted area construction of unknown quality due to inadequate program implementation:

ufeguards systems designed or used to that exceeds 100 millirem / hour for a one hour I

detect the unauthorized removal of SNM of period:

2. Failure to confirm the design safety requirements of a structure or system as a moderate strategic significance from areas of

3. Fadure to make a 24-hour notification as authorized use or storge: or P

U" l

required by 10 CFR 20.403(b) or an immediate rog am imp eme t] ion.or

4. Failure to properly secure or protect notification required by to CFR 20.402(a);

U "I

8P" 8

3. FaiLre to make a required to CFR L Substantial potential for an exposure or 50 55(e) re ort'V-Violations invoh mg failure release in excess of 10 CFR 20 whether or not D. Sever ty I 8% b "8 "V 4

such exposure or release occurs (e.g entry to meet regulatory requirements includmg d

"ds into high radiation areas, such as under s

u to one or more Quahty Assurance Criteria not amounting to Severity Lesell. ll, or L11 detect the unauthorized removal of SNM of reactor vessels orin the vicinity of exposed violations that have more than mmor safety low strategic sigmficance from areas of M

or environmental significance.

authoiized use or storage:

P"'I"'*"d "". adequate survey, operation of a

'. Fa:!ure to implement to CFR Faits 25 and [adiation facnity wien a nonfunctioning E. Severity V-Violations that have mm.or safety or environmental significance.

95 and information addressed under Section "I"I 'k 8I5**h 142 of the Act, and the NRC approved

5. Release of radioactive material to an Supplement !!I-Severity Categories secunty plan relevant to those parts: or unrestricted area in excess of the hmits of 10 4

N4" d#

3. Other violations, such as fauure to follow CFR 20.106:

an apnroved secur.ty plan, that base more

6. Improper disposal of licensed material A. Severity I-Very significant violations than minor safeguards significance.

not casered in Seventy Levels I or 11:

lavolving:

E. Severity V-Violations that have minor

7. Exposure of a workerin rest;icted areas

1. An act of radiological sabotage or actual safeguards significance.

in excess of the limits of to CFR 20.103:

theft. loss, or diversion of a formula q of strategic special nuclear material i.uantity Supplement IV-Severity Cate: lodes fl. Release for unrestricted use of contammated or radioactive material or (SSNM];

ffgalth Physics 10 CFR Part N 's equipment whicn poses a realistic potential

2. Actual entry of an unauthorized area from outside the protected area (i.e

. A. Seven.ty I-Very significant violations for significant exposure to members of the individual into a vital area or material access IVi"8 public, or which reflects a programmatic

'"V penetration of both barriers) that was not

1. Single exposure of a wmier in excess of (rather than isolated) weakness in the g

g detected at the time of entry; or 25 rems of radiation to the whole body.150

3. Failure to promptly report knowledge of rems to the skin of the whole body, or 375 en actual or attempted theft or diversion of roms to the feet, ankles, hands, or forearms:

SSNM or an act of radiological sabotage.

2. Annual whole body esposure of a nposum reHects a programmatic, rather than D. Seventy II-Very significant violations m niber of the pubhc in excess of 23 : ems of an isniakd mkness in radiation protection:

involving:

radiation:

10. Conduct oflicensee actisities by a

1. Actual theft loss or diversion of special 1 Release of radioactive matenal to an b ' hnic.dly unqualified person: or

?

nuclear material (SNM) of moderate strategic unrestucted area m escens of ten times the IL Nmficant fadure to controllicensed significance. "

hmits of to Cl-R 20 tun;

'H d h WI-

2. Failure to use established security

4. thsposal of licensed materiallii l) Snerity IV-Violations involving:

systems (includmg compensatory measures) quantities or concentrations in excess of ten

1. Esposures in evcess of the limits of 10 times the limits of to CFR 20.303. or CFR 20.101 no' constituting Severity level J.

. Completed" means completion of constr tiimt II. or ill siolations; includmg review and acceptance by the "See to CI'R 73 2(y}.

2. A radiation levelin an unrestricted area exinstruchon QA organizahon.

Personnel overesposures and associated such that an individual could receive greater "See 10 CFR 73.2thb).

vml..tmns, mcurred durms a hfe savmg effort, will than 2 millirem in a one hour period or too "See 10 CFR 732(s).

be treated on a case-by-case basis.

millirem in any seven consecutive days:

1 l

l l

l l

' { lh Q t

Fedml R2 gist 2r / Vol. 47. No. 40 / Tuesday. March 9.1982 / Rules and Regulations 9995

~ stquired by to CFR 20.405'.

Supplement VI-Segerity Categories

3. litiberate action by management to 3F ure to make a 30-day notification discriminate (in violation of Section 210 of Cyde odMaWiols Opnonons the l'RA) against an employee for attempting e

4. Failure to make a followup written report as required by 10 CFR 20.402(b). 20.408, A. Severity I-Very significant violations to communicate or actua!!y communicating cnd 20.409; or involving:

with NRC.

5. Any other matter that has more than

1. Radiation levels, contamination levels, or D. Severity ll-Very significant violations releases that exceed ten times the limits involving:

minor safety or environmental significance.

F. Severity V-Violations that have minor specified in the license:

1. A MFS or a reporting failure, involving

2. A system designed to prevent or mitigate information which, had it been available to safety or environmental significance.

a serious safety event not being operable the NRC and accurate at the time the Supplement V-Severity Categories when actually required to perform its design information should laave been submitted.

function: or would have resulted in regulatory action or N N ###N#" u

3. A nuclear criticality accident.

would likely have resulted in NRC seeking A. Severity 1-Very significant violations D. Severity !!-Very significant violations further information:

of NRC transportation requirements invclving'

2. A MFS In which the false statement was involving *

1. Radiation levels, contamination levels or made with careless disregard:

1. Annual whole body radiation exposure releases that exceed five times the limits

3. Discrimination (in violation of Section cf a member of the public in excess of 0.5 specified in the license: or 210 of the ERA) by management at any level rems of radiation: or

2. A system designed to prevent or mitigate abos e first-line supervision. against an

2. Breach of package Integrity resultingin a serious safety event being inoperable.

employee for attempting to communicate or surf ace contamination or external radiation C. Severity III-Significant violations actually communicating with NRC: or levels in excess of ten times the NRC limits.

involving:

4. A failure to provide the notice required D. Severity ll-Very significant violations

1. Failure to control access to licensed by Part 21.

of NRC transportation requirements materials for radiation purposes as specified C. Severity III-Significant violations involving-by NRC requirements; involving:

1. Breach of package integrity resulting in

2. Possession or use of unauthorized

1. A MFS not amounting to a severity level surface contamination or external radiation equipment or materials in the conduct of I or !! violation; levels in excess of NRC requirements; licensee activities:

2. Discrimination (in violation of Section

2. Surface contamination or external

3. Use of radioactive material on humans 210 of the ERA) against aa employee for f

radiation levels in excess of three times NRC where such use is not authorized:

attempting ta communicate or actually limits that did not result from a breach of

4. Conduct oflicensed activities by a communicating with the NRC: or package integrity; or technically unquahfied person:

3. Inadequate review or failure to review

3. Failure to make required initial

5. Radiation levels, contamination levels, or such that,if an appropriate review had been notifications associated with Severity Level l releases that exceed the limits specified in made as required, a Part 21 report would or 11 violations.

the hcense; or have been made.

C. Severity III-S!gnificant violations of

6. Medical therapeutic misadministrations.

D. Severity IV-Violations involving:

NRC transportation requirements involving:

D. Severity IV-Violations involving:

1. Inadequate review or failure to review

1. Breach of package integrity:

1. Failure to maintain patients hospitalized under Part 21 or other procedural violations

2. Surface contamination or external who have cobalt.co, cesium.137 or iridium-assoc ated with Part 21 with more than minor radiation levels in excess of, but less than a 192 implants or to conduct required leakage safety significance: or factor of three above NRC requirements, that or contamination tests, or to use properly

2. A false statement caused by an did not result from a breach of package cabbrated equipment:

inadvertent clerical or similar error involving

2. Other violations that have more than information which, had it been available to integrity:

3. Any noncomph,ance with labelling.

minor safety or environmental significance:

SRC and accurate at the time the information placarding. shipping paper, packaging.

or should have been submitted. would probably loading, or other requireme nts that could

3. Medical diagnostic misadministrations.

not have resulted in regulatory action or NRC reasonably result in the following:

E. Severity V-Violations that hase minor seeking additional in'ormation.

a. Improperidentification of the type.

safety or environmental significance.

E. Severity V-Violations of minor b.

a !ure of h c er o recipient to Supplement VII-Severity Categories procedural requirements of Part 21.

Dated at WasMngton. E. Ws 3d day of exercise adequate controls; and Miscellaneous Matters,,

y stan a po ent

, A. Severity I-Very significant violations Fort Nuclear Regulatory Commission.

pe

,t o or in{lving Samuel l. Chilk, transfer of material; or erial False Statement (MFS) 58in

4. Failure to make required initial which the statement made was deliberately Secretary of the Commission.

notification associated with Severity Level!!!

7 violations.

2. A failure to provide the notice required sittino coog isso.ot_ss D. Severity IV-Violations of NRC by Part 21 under circumstances for which a

\\

transportation requirements involving:

civil penalty may be imposed under section

1. Package selection or preparation

'tX4b) of the Energy Reorganization Act requirements which do not result in a breach DEPARTMENT OF ENERGY

[ ERA): or of package integrity or surface contamination or external radiation levels in excess of NRC 10 CFR Part 1004 a As noted in section III. in de+ermimns the requirements; or

2. Other vioIations that have more than smJ.c sewnty levet of a violanon. con.idnamn will te amn to sm.h factors as the position of the Freedom of Information; Schedule of minor safety or environmental sigmficance.

pnwn mvolved in the violation te R. hrst hne Fees IL Severity V-Violations that have minor supneur or senior mansant. the sigmficance of safety or environmental significance.

any underlying violation. the intent of the violator AGENCY: Department of Energy.

(i e neghgence not amountirq to careless disregard.

"Some transportation requirements are applied careless disregard. or debberateness). and the ACTION: Final rule.

to more than one licensee involved in the same economic advantage,if any, gained by the violation.

activity such as a shipper (to CFR 73.20) and a The relatwe weight given to each of these factors in

SUMMARY

The Department of Energy carrier (to CFR To.20s). When a violation of such a arriving at the appropriate severity level will b*

(DOE) is adopting final regulations to requirement occurs. enforcement action wdl be dependent on the circumstances of the violation.

revise the schedule of fees for j

directed against the responsible licensee whu.h "in essence, a Material False Statement is a processing requests submitted under the.

l under the circumstances of the car. may be one or statement that is false by omission or commission more of the hcensees involved.

and is relevant to the regulatory proccu.

Freedom ofInformation Act (FO!A)(5 l

l 1

l

"