ML20058D457

Notice of Violation & Proposed Imposition of Civil Penalty in Amount of $25,000.Noncompliance Noted:Licensee Personnel Did Not Perform Adequate Survey After Each Radiographic Exposure

ML20058D457
Person / Time
Issue date:	11/05/1993
From:	NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION V)
To:
Shared Package
ML20058D277	List: IR 015000004/1993011 ML20058D271 ML20058D457
References
EA-93-201, NUDOCS 9312030159
Download: ML20058D457 (28)

Text

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NOTICE OF VIOLATION AND PROPOSED IMPOSITION OF CIVIL PENALTIES Richardson X-Ray, Inc.

Docket No.

15000004 Downey, California California License No.

0373-70 i

EA 93-201 i

i During an NRC inspection conducted on July 29 and 30, 1993, violations of NRC requirements were identified.

In accordance with the " General Statement of Policy and Procedure for NRC Enforcement Actions," 10 CFR Part 2, Appendix C, the Nuclear Regulatory Commission proposes to impose civil penalties pursuant j

to Section 234 of the Atomic Energy Act of 1954, as amended (Act), 42 U.S.C.

2282, and 10 CFR 2.205.

The particular violations and associated civil penalties are set forth below I.

Violations Assessed a Civil Penalty A.

10 CFR 34. 43 (b) requires, in part, that the licensee ensure that a survey with a calibrated and operable radiation survey instrument is made after each radiographic exposure to determine that the sealed 1

source has been returned to its shielded position.

The survey must include the entire circumference of the radiographic exposure device and any source guide tube.

Contrary to the above, on July 29, 1993, at Vandenburg Air Force Base, California, licensee personnel did not perform an adequate survey after each radiographic exposure to determine that the sealed source had been returned to its shielded position, in that the survey did not include the entire circumference of the radiographic exposure device and the source guide tube.

(01013)

B.

10 CFR 34.44 requires that whenever a radiographer's assistant uses radiographic exposure devices, uses sealed sources or related source handling tools, or conducts radiation surveys required by 10 CFR 34.43 (b) to determine that the sealed source has returned to the shielded position after an exposure, he shall be under the personal supervision of a radiographer.

The personal supervision shall include:

the radiographer's personal presence at the site where sealed sources are being used; the ability of the radiographer to give immediate assistance if required; and the radiographer's watching the assistant's performance of the above operations.

Contrary to the above, on July 29, 1993, a licensee radiographer's assistant conducted radiation surveys without the personal supervision of a radiographer at Vandenburg Air Force Base, in that the radiographer did 9312030159 931105 PDR STPRO ESGCAPDR;

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- not watch or provide assistance during the assistant's performance of radiation surveys to determine that the i

sealed source had returned to the shielded position.

(01023)

I Violations I.A and B. have been categorized as a Severity Level III problem (Supplement VI).

Civil i

Penalty-$12,500

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C.

10 CFR 34.33 (a), with exceptions inapplicable in this case, requires that the licensee not permit any individual to act as a radiographer or a radiographer's assistant unless, at all times during radiographic operations, the individual wears a direct reading pocket dosimeter, a film badge or a thermoluminescent dosimeter, and an alarm ratemeter.

Contrary to the above, on July 29, 1993, at Vandenburg Air Force Base, California, a licensee radiographer's helper, who was performing the functions of an i

assistant radiographer, did not wear an alarm ratemeter j

during radiographic operations.

(02013)

This is a Severity Level III violation (Supplement VI).

Civil Penalty-$12,500 II.

Violations Not Assessed a Civil Penalty i

A.

10 CFR 34.42 requires, notwithstanding any provision in 10 CFR 20.204 (c), that areas in which radiography is being performed be conspicuously posted as required by 10 CFR 20.203(b) and (c) (1).

10 CFR 20.203 (b) requires that each radiation area be conspicuously posted with a sign or signs bearing the radiation caution symbol and the words " CAUTION RADIATION AREA."

10 CFR 20.203 (c) (1) requires that each high radiation area be conspicuously posted with a sign or signs bearing the radiation caution symbol and the words

" CAUTION HIGH RADIATION AREA."

Contrary to the above, on July 29, 1993, during radiography performed at vandenburg Air Force Base, the I

licensee did not conspicuously post the radiation area and did not post the high radiation area in which industrial radiography was being performed.

(03014)

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

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. B.

10 CFR 34.31(b) requires, in part, that the licensee not permit any individual to act as a radiographer's assistant until such individual:

has received copies of and instruction in the licensee's operating and emergency procedures; has demonstrated competence to use, under the personal supervision of the radiographer, the radiographic exposure devices, sealed sources, related handling tools, and radiation survey instruments that the assistant will use; and has demonstrated understanding of the instructions in this paragraph by successfully completing a written or oral test and field examination on the subjects covered.

Contrary to.the above, on July 29, 1993, the licensee permitted an individual to act as a radiographer's assistant without the above requirements being fulfilled, in that the individual had not received any instruction in radiation safety requirements for radiography with sealed sources or demonstrated competence in the required areas.

(04014)

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

C.

10 CFR 71.5(a) requires, in part, that a licensee who transports licensed material outside the confines of its plant or other place of use, comply with the applicable requirements of the regulations appropriate to the mode of transport of the Department of Transportation (DOT) in 49 CFR Parts 170 through 189.

49 CFR 177.842 requires in part that each shipment of radioactive material be blocked and braced so it cannot change position during conditions normally incident to transportation.

Contrary to the above, on July 29, 1993, at Vandenburg Air Force Base, California, the licensee transported a 91 curie iridium-192 source in a Spec-2T exposure device without securing the device from movement during transport.

(05014)

This is a Severity Level IV violation (Supplement V).

Pursuant to the provisions of 10 CFR 2.201, Richardson X-Ray, Inc., is hereby required to submit a written statement or explanation to the Director, Office of Enforcement, U.S.

Nuclear Regulatory Commission, within 30 days of the date of this Notice of Violation and Proposed Imposition of Civil Penalties (Notice).

This reply should be clearly marked as a " Reply to a Notice of Violation" and should include for each alleged violation: (1) admission or denial of the alleged violation, (2) the reasons for

-4 the violation if admitted, and if denied, the reasons why, (3) the corrective steps that have been taken and the results achieved, (4) the corrective steps that will be taken to avoid further violations, and (5) the date when full compliance will be achieved.

If an adequate reply is not received within the time specified in this Notice, an order or an additional Demand for Information may be issued as to why the right to conduct activities in NRC jurisdiction should not be modified, suspended, or revoked or why such other action as may be proper should not be taken.

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

Under the authority of Section 182 of the Act, 42 U.S.C.

2232, this response shall be submitted under oath or affirmation.

Within the same time as provided for the response required above under 10 CFR 2.201, the Licensee may pay the civil penalties by letter addressed to the Director, Office of Enforcement, U.S.

Nuclear Regulatory Commission, with a check, draft, money order, or electronic transfer payable to the Treasurer of the United States in the amount of the civil penalties proposed above, or the cumulative amount of the civil penalties if more than one civil penalty is proposed, or may protest imposition of the civil penalties, in whole or in part, by a written answer addressed to the Director, Office of Enforcement, U.S.

Nuclear Regulatory Commission.

Should the Licensee fail to answer within the time specified, an order imposing the civil penalties will be issued.

Should the Licensee elect to file an answer in accordance with 10 CFR 2.205 protesting the civil penalties, in whole or in part, such answer should be clearly marked as an " Answer to a Notice of Violation" and may:

(1) deny the violations listed in this Notice, in whole or in part, (2) demonstrate extenuating circumstances, (3) show error in this Notice, or (4) show other reasons why the penalties should not be imposed.

In addition to protesting the civil penalties, in whole or in part, such answer may request remission or mitigation of the penalties.

In requesting mitigation of the proposed penalties, the factors addressed in Section VI.B.2 of 10 CFR Part 2, Appendix C should be addressed.

Any written answer in accordance with 10 CFR 2.205 should be set forth separately from the statement or explanation in reply pursuant to 10 CFR 2.201, but may incorporate parts of I

the 10 CFR 2.201 reply by specific reference (e.g., citing page and paragraph numbers) to avoid repetition.

The attention of the Licensee is directed to the other provisions of 10 CFR 2.205, regarding the procedure for imposing a civil penalty.

Upon failure to pay any civil penalty due which subsequently has been determined in accordance with the applicable provisions of 10 CFR 2.205, this matter may be referred to the Attorney General, and the penalty, unless compromised, remitted, or

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mitigated, may be collected by civil action pursuant to Section l

234c of the Act, 42 U.S.C. 2282(c).

The responses noted above (Reply to Notice of Violation, letter with payment of civil penalties, Answer to a Notice of Violation, and Response to Demand for Information) should be addressed to:

Director, Office of Enforcement, U.S.

Nuclear Regulatory Commission, ATTN: Document Control Desk, Washington, D.C.

20555 with a copy to the Regional Administrator, U.S. Nuclear Regulatory Commission, Region V.

Dated at Walnut Creek, California this 5* day of November 1993 a

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PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

a[dIt raotnotes:

Appendiz C-General Statement of he i ndboo no e ener

' C'P*' of NUREC/BR-0053. NUREC/8R.

Popey and Procedure for NRC scheduling advice that proposed rules to 0058 and NUREC/CR-3585 may be purchased Enforcement Actions

[,

grant pctitions should be published in 6-through the U S Govemment Printmg Office A

12 months after acceptance and by unma 1202) 275-2000 or by wntmg to the U S Coternment Printma Office P O. Box publication for comment. Proposed rules 370a2. Washmaton. DC 20019082. Copies

-k will be forwarded to the Commission on may also be purchased from the National a (Lmonth schedule to the extent Technical Information Service. U.S.

Table of Contents permitted by resource limits the nature Department of Commerce. 5185 Port Royal and extent of public comments, and Road. Springf. eld, V A 22161. Copies are Pre ace internal Control of Rulemakin8s a ailable for inspect on and/or copyms for a a

procedures. Rulemakings involving fee in the NRC Pubhc Document Room.1717

1. Introduction and Purpose it Street NW. Washington. DC 20555.

Il S 'YAuth "'I I

power reactors must be reviewed by the

'ICRP Pubhcation 46.

• Radiahon A. Statutory Authority Committee on Review of Generic Protection Prmeiples for the Disposal of Solid B. Procedural Framework Requirements prior to publication.

Radioactwe Waster adopted July 1985

!!1. Responsibilities Proposed rules involving reactors will

'lCRP Publecation 26. ~ Recommendations thenfore be furnarded to the of the inimahonal Commission on IV. Seventy of Violations a

e n ad p anua 17 A. Aggregation of Violations Commission on a 7-month schedule to RadjlQa f

r the extent permitted by resources.

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B. Repetitive Violations

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comments, and approval procedures. In of Radionuchdes by Workers? adopted)uly C. Willful violations to a.

both cases, esery effort will be made to D. Violations of Reporting Requirements

• Copies of the United Kingdom's document V. Enforcement Conferences publish proposed rules no later than 12 are assilable for inspection as enclosures to months after noticing for public SECY-85-147A [ relating to 10 CFR Part 20)

VL Enforcement Actions comment.

dated lufy 25.1985 in the Commission's A. Notice of Violation Although the procedes in Part 11 of Pubhc Document Room.1717 H Street NW.

B. Civil Penalty NUREC/BR4053 include fast track washmgton. DC 20555. ne United Kingdom

1. Base Civil Penalty document processing, the nature of the anticipated

.yg,g. s are available for sale from-Her 2' Civil Penalty Adjustment l' actors petitions do not fully comply with the s Stationery Office. P.O. Box 509.

decision cr teria to follow this London SE19NH. United Kingdom as Advice I"

C' - ".

document ASP-7 and a related technical (b)Cmctin Action alternative.

report. The Significance of Small Doses of

[c) Licensee Performance h Some of the key features of the Radiation to Members of the Public." NRPB-(d) Prior Opportunity to Identify handling procedures include the R175.

o (e) Multiple Occurrences i

o

$ following steps for complete and fully

" Copies of the Canadian document are

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[f) Duretion

{ supporfed petitions.

esailable for inspection as an enclosure to

1. Petitioners may confer on SFCY-45-147A trelating to 10 CFR Part 2o)

E C. Orders e

procedural matters with the staff before deed July 25.1985 in the Commission's e

D. Related Administrative Actions Pubhc Document Room.1717 H Street NW.

VIL Exercise of Discretion filing a petition for rulemaking. Requests Washmston DC 20555 ne Canadian to confer on procedural matters should document was issued as Consultative A. Escalation of Enforcement Sanctions be addressed to: The Director. Division Document C-es. *The Basis for Exempting the p.;) p,gjg;,,

i of Rules and Records. Office of Disposal of Certain Radioactive Materials (2) Orders Administration. U.S. Nuclear Regulatory imm mensing Oy the Atomic Emgy (3) Daily Civil Penalties Commission. Washington DC 20555.

Control Board. P.O. Bos los6. Otta n a.

B. Mitigation of Enforcement Sanctions l

Attention: Chief. Rules and Procedures On.tario. Canada. K1P 5S9.

(1) Severity level V Violations

Branch, lCRp/85/C-01 Statement from the 1985 par,s Me,ims of the International (2) Ucensee Identified Severity Level V &

I

2. Petitions should be addressed to:

Commission on Radiological Protect? 1989 IV Violations The Secretary U.S. Nuclear Regulatory ous.

(3) Violations identified During Extended l

Commission. Washington. DC 20555.

Attention: Docketing and Service Shutdowns or WorL Stoppages i

Dranch. In Leepir:g with to CFR 2 802(ft (4) Violations involving Old Design !ssues i

(5) Violations identified Due to Previous petitioners will be promptly informed if the petition meets the threshold Escalated Enlorcement Action i

requirements for a petition for (6) Violations Involving Special rulemaking in 10 CFR 2 802(c) and can Circumstances be processed in accordance with this C Exercise of Discretion for an Operating 7

implementation plart Ordinarily this Facility i

determination wi!! be made within 30 VIIL Enforcement Actions Involving days after receipt of the petition.

Individuals 3 Followmg this determination. the IX. Inaccurate and Incomplete Informa tion j

petition wdl be noticed in the Tederal X. Enforcement Action Against Nonlicensees i

Register for a public comment period of XL Referrals to the Department of justice i

at least 60 days.

XII. Public Disclosure of Enforcement Actions t

4. The petitioner will be provided XIIL Reopening Closed Enforcement Actions copies of all comrnents received.

Supplements scheduling information, and periodic status reports.

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The procedures in NUREC/BR-0053 also include the process for denial and withdrawal of petitions.

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k-a March 31,1993 2-82

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l App. C APP.COI) l 1

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS "-

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case and requires the exercise of violates NRC requirements such that a p'

discretion after consideration of these basic component could be significantly The followmg statement of general policies and procedures In no case.

impaired. Section 235 provides that s

pobcy and procedure explains the however, willlicensees who cannot criminal penalties may be imposed on i

enforcement policy and procedures of achieve and maintain adequate levels of g ersons who interfere with inspectors, i

p the U.S. Nuclear Regulatory Commission protection be permitted to conduct g Section 236 provides that criminal and its staff in initiating enforcement licensed activities.

E penalties inay be imposed on persons actions, and of the presiding officers and the Commission in resiewing these II. Statutory Authority and procedural 2,*.

,,$*g" I tY or to nuclear fu 7'85 *. 'g actions This statement is applicable to Atleged or suspected criminal violations enforcement in matters insolving the A. Statutory A uthority of the Atomic Energy Act are referred to pubhc health and safety the common The NRC's enforcement junsdiction is the Department of Justice for j

defense and security. and the drawn from the Atomic Energy Act of

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environment.1 This statement of general 1954. as amended, and the Energy j

pohey and procedure is published in the Reorganization Act (ERA) of1974, as i

Code of Federal Regulations to proside amended.

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widupread dissemination of the Section 161 of the Atomic Energy Act Commission's Enforcement policy.

authorizes NRC to conduct inspections However. this is a pohcy staternent and and investigations and to issue orders as not a regulation. The Commission may may be necessary or desirable to j

deviate from this statement of policy promote the common defense and and procedure as appropriate under the security or to protect health or to i

circumstances of a particular case.

minimize danger to life or property.

I j j

I. Introduction and Purpose Section 186 authorizes NRC to revoke 5 The purpose of the NRC enforcement licenses under certain circumstances

% program is to promote and protect the (e g, for material false statements. in l

E radiolegical health and safety of the response to conditions that would have g public. mcludmg emplo3ees' health and w arranted refusal of a license on an safety, the common defense and original application. for a licensee's failure to build or operate a facihty in i

security. and the environment by:

E accordance with the terms of the permit

• Ensunng compliance with NRC I

.a or license, and for violation of an NRC regulations and hcense conditions:

E regulation). Section 234 authorizes NRC violanons and adsers quahtY E to impose civil penalties not to exceed

,i

• Obtaining prompt correction of cond.tions which may affect safety;

$100m0 per violation per day for the

• Deterring future violations and v o!ation of certain specified licensing l4 u

occurrences of conditions adserse to provisions of the Act. rules, orders and quahty. and license terms implementing these

. Encouraging improsement of provisions, and for violations for which licensee and vendar ' performance. and licenses can be revol ed. In addition to by ex a rtple, that of industry. includin8 the enumerated provisions in section the prompt ident:fication and reporting 234, sections 84 and 147 authorize the of poteat.al safety problems-imposition of civil penalties for Corsis'ent with the purpose of this violations of regulations implementing those provisions. Section 32 authorizes program. prompt and sigorous enforcement action wdl be taken when NRC to seek injunctive or other deahng with licensees. sendors-equitable relief for violation of regulatory requirements.

contractors, and emplo3ees of any of them. who do not achiese the necessary Section 206 of the Energy meticulous attention to detail and the Reorganization Act authonzes NRC to t

high standard of compliance which the impose civil penalties for knowing and NEC expects? Each enforcement action conscious failures to provide certain is dependent on the circumstances of the safdy information to the NRC.

Chapter 18 of the Atomic Energy Act provides for varying levels of criminal

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'^ '"' "d"**'"' "' "'I3 l* d' '!' ""h penalties (i.e. monetary fines and imprisonment) for willful violations of e1, the Act and regulations or orders issued n or as ned m the pones me n, a swe or poduts or sevicco, tre wee m an under sections 65,161(b),161(i). or NPC htened tatihty or actwity 161{o) of the Act. Section 223 provides

' N Pact pnmarily addres e. ihe acimiies of that criminal penalties may be imposed SRC kerices Therefwe the term %ecsee'is on certain individuals employed by

}r ten determ es t e a

e rms construCling or supplying basic take er. fort + ment atteen agamst a non hterisee or components of any utilization facility if indmoual oe smdana m $1s pokry will be ned as appl.cstie Vc&c gmdence regedmg the individual knowingly and willfully entwament schon egemst mdmdats and non.

k' '*

titerates is addressed a Secbons VM and X j

respe:tne!y.

2-83 April 30,1992

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PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

B huced.;rn/Tromework Ill. Responsibilities in recognition that the regulation of Subpart B of to CFR part 2 of NRC's The Executis e Director for Operations 7 j','nd i regulanons sets forth the procedures the (EDO) and the principal enforcement osm an tc NRC ues in exercising its enforcement officers of the NRC. the Deputy treatrnent. judgment and discretion mus -

authomy.10 CFR 2201 sets forth the Executive Director for Nuclear Material be exercised in determining the seserity levels of the violations and the procedures for issuing notices of Safety Safeguards and Operations viola tion.

appropriate enforcement sanctions.

Support (DEDS) and the Deputy including the decision to issue a Notice The procedure to be used in assessing Executive Director for Nuclear Reactor of Violation. or to propose or impose a civil penalties is set forth in 10 CFR Regula tion. Regional Opera tions, and c,vil penalty and the amount of this 2205 This regulation provides that the Research (DEDR). have been delegated penalty, after considering the general cisit pena!!) process is irutiated by the authority to approve or issue all pnnciples of this statement of policy and issums a Notice of Violation and escalated enforcement actions.' The the technical significance of the Propcsed Imposition of a CNil Penalty.

DEDS is responsible to the EDO for the viofations and the surrounding The licensee or other person is provided NRC enforcement programs. The Of' ice circumstances.

an opportanity to contest in writing the of Enforcement (OE) exercises oversight Unless Commission consultation or proposed imposition of a civil penalty.

of and imp!cments the NRC enforcement notification is required by this policy.

After es a'_ation of the response, the programs. The Director. OE. acts for the the staff may depart, where warranted cml penalty may be mitigated, remitted.

Deputy Executive Directors in in the public's interest from this policy or imposed. An opportunity is provided enforcement matters in their absence or with the approval of the appropriate for a hearng if a civil penalty is as delegated. Subject to the oversight Deputy Executive Director and impos-d. If a civil penalty is not paid and direction of OE. and with the consultation with the EDO as felleming a hearing or if a hearing is not approval of the appropriate Deputy warranted. (See also Section VII.

_ requested the matter rnay be referred to Executise Director, where necessary.

Exercise of Discretion.")

R the U.S Department of justice to R the regional offices normally issue The Commission will be prouded

$ inshtute a civil action in District Court.

y Notices of Violation and proposed civil written notification of all enforcement I The prccedure for issuing an order to g penalties. Ilowever, subject to the same actions involving civil penalties or mstitute a proceeding to modify, os ersight as the regional offices the orders. The Commission will also be e

suspend. or res ok e a license or to take Office of Nuclear Reactor Regulation

$ provided notice in those cases where other action against a licensee or other (NRR) issues Notices of Violation and discretion is exercised and discussed in person subject to the jurisdiction of the pr posed civil penalties to sendors and g Section Vil Bq In addition, the Comm;ssion is set forth in 30 CHL 2202.

suppliers and the Office of Nuclear Commission will be consulted prior to The !ia nsee or any other person Material S,afety and Safeguards (NMSS) taking action m the following situations adversely affected by the order may issues Notges of Violation and (unless the urgency of the situation request a hearmg The NRCis proposed cml penalties to certificate dictates immediate action):

authorized to make orders immediately holders and to fuel cycle facilities for (1) An action affecting a licensee's effecta e if required to protect the pubhc violations involving meterial control and operation that requires balancing the health. safety. or interest or if the accounting. Escalated enforcement public health and safety or common no!at.cn is willful Section 234 sets out actions are normally coordinated with defense and security implications of not the proc ed;res for issuing a Demand for the appropriate offices by the OE.

operating with the potential radiological Informatien (Demand) to a licensee or Enforcement orders are normally issued or other hazards associated with other person subject to the by a Deputy Executive Director or the continued operation; Commisuener's jurisdiction for the Director. OE. Ilowever, orders may also (2) proposals to impose civil penalties be issued b the EDO.especially those in amounts greater than 3 times the 3

pu pcse of determining whether an nsolving the more significant matters.

Ses erity Les elI values shown in Table i

order er other enforccment action The Directors of NRR and NMSS base 1A:

should be :ssued. The Demand does not also been delegated authority to issue (3) Any proposed enforcement action prende he ating rights. as only orders, but it is expected that normal that involves a Severity LevelI information is being sought. A licensee use of this authority by NRR and NMSS vio!atione must answ er a Demand. An unlicensed will be confined to actions not (4) Any enforcement action that person may answ er a Demand by either associated with compliance issues. The involves a finding of a material false providirg the requested information or Director. Office of the Controller. has statement; explain.ng why the Demand should not been delegated the authority to issue (5) Exercising discretion for matters has e been issued.

orders where licensers violate meeting the criteria of Section VII.A.1 Commission regulations by nonpayment for Commission consultation; of license and inspection fees.

M) Refraining from taking enforc ement action for matters meeting t'.e criteria of Section Vil.B.3; (7) Any propond enforcement action that intoh es the issuance of a civil

• m tenn ncal.ied enfonement.cnon"..

penalty or order to an unlicensed NseYe eiErCr'11 individual or a civil penalty to a n

per.alty for any Sesenty 1,nel1. !!. III. or IV hcensed reactor operator, noletmn and any order t>ned upon a v6olation.

April 30,1992 2-84

App. C(III) 4 PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS - App. C(IV) 1 (B) Any action the EDO believes Comparisons of significance between 33cpetitive Violotions warrants Commission invohement; activity areas are inappropriate. For

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[9) An enforcement case involving an esample, the immediacy of any hazard h medy lesel of a Ses erity Les el Office of Ins esugatmn (01) report where to the public associated with Seserity V w IV vidation may be increased to NRC staff (other than 01 staff) does not Les elI violations in Reactor Operations Ses erity Level 1V or Ill respectively. if atrae at the same conclusions as those is not directly comparable to that the violation can be considered a in the 01 report concerning issues of associated with Ses enty Levell repetitise violation.' The purpose of violations in Facility Construction ^

escalating the ses erity level of a j

intent (1 01.2q proposed enforcement action Supplements I through \\ Ill proyide i e violation is to acknowledge i

on whah the Commission asks to be examples and serve as guidance in the added significance of the situation j

conseed determining the appropnate ses trity based on the licensee's failure to IV. Ses crit 3 of m!ations lesel for violations in each of the eight imi>1ement effective corrective action for i

activity areas. However. the esamples the previous violation. The de ision to Reguery requirements

• hase are neither eshaustive nor controlling in escalate the seventy les el of a repetitive varyir,; dedecs of safety. safeguards, or addition these examples do not create violation will depend on the enviroc. ental significance. Therefore' new requirements. Each is designed to circumstances. such as, but not limited the reMa c importance of each illustrate the si nificance that the NRC to, the numberof times the violatior has E

i E siolata. inclu' ding both the technical R places on a particular type of violation ccurred, the sunitarity of the violations i

• significance and the regulatory E of NRCrequirements.Each of the

. and their root causes. the adequacy of I

E sigmfscance is evaluated as the first step t esamples in the supplements is R previous corrective actions the period l

E in the enforcement process.

• predicated on a violation of a regulatory y of time between the violations, and the Con 5+quently. violations are normally requirement.

.Z s gnificance of the violations. (Civil penalties may also be proposed for catego ued in terms of fis e levels of The NRC reviews each case being seseris to show their relative considered for enforcement action on its repetitive Severity levelIV siolations as imperince within eeth of the following own merits to ensure that the seserity of discussed in Section VI.B.)

i eight amity areas:

a violation is characterized at the In el C Wd/ful Piolotions best suited to the significance of the I c C na bn.

particular violation,In some cases.

Willful violations are by definition of ggg sgas.

special circumstances may warrant an particular concern to the Commission W Hea:n Phsics, adjustment to the severity level because its regulatory program to based Y Tra po-ta't,on.

categorization.

on licensees and their contractors.

VI. he: C ir and Meena!s Operations:

employees, and agents acting with VII Mne"aneous Wtters and A. Aggregch.on of Pio/otions integrity and communicating with VI!1 E + pncy Prepuedness A group of violations may be candor. Wdiful violations cannot be Licensed activities will be placed in et aluated in the aggregate and assigned tolerated by either the Commission or a i

n the attntv area most suitable in light of a single. increased seunty level.

heensee. Licensees are expected to take

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the pa5c$lar vio!ation invohed thereby resulting in a Ses erity Les el111 significant remedial action in responding c

includ s actaities not directly covered problem. if the violations have the same to willful violations commensurate with by one of the abes e 1.4ted areas, e g..

underlying caure or programrnatic the circumstances such that it esport Lcense ectmties Within each deficiencies. or the violations demonstrates thz seriousness of the activity cea. Snerit3 Leve!I has been contributed to or were unavoidable violation thaeby creating a deterrent ass gned to violations that are the most consequences of the underlying effect within the licensee's organization,

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signhnt and Seserity Level V problem. Normally, Sc verity Les e! I and While remos al of the person is not violatuns are the least 5:gmficant.

Il violations are not aggregated into a necessarily required. substantial Sn enn in el I and II violations are of higher severity level.

disciphnary sction is espected.

sery sgcant regulatory concern in The purpose of aggregating violations pr.cral uclatiens that are included in is to focus the licensee's attention on the these ses enty cateFories involve actual fundamental underlying causes for or high pctentia! impact on the public.

Sesers bs ellIl violations are cause which enforcement action appears wananted and to reflect the fact that for s:gn 'kant regulatory concern.

several violations with a common cause Sn end In elIV violations are less serious ht are of more than minor may be more sigmficant collectis ely than indisidually and may therefore.

conc ers i c.. if Itit uncorrected. they could iead to a more serious concern.

warrant a more substantial enforcement Sevens Les el V viclations are of minor action. !n addition. a civil penalty for safety er environmental concern.

multiple occurrences of a violation with the same root cause may be subject to escalation of the base civil penalty.(See Section VLB.2.(e))

e The irrm *reprtilhe notahon" or "similar no' anon" es used in this pohey statement means a

• The W Nawement" as used m this pohcy nelat,on it et rv asonabty could have t>een rr.eens a Wa4 toratmg req @emerit such as a pmented by a hcensee's corrective schon for a s'stute er.e.an taeue condition. technical p*rvious violet.on riormaHy occurring (1) withm the spec 4rratc y order.

past tw o yers of the inspection at issue. or (2) the pem.d withm the test two ir spections, whatever ne larger 2-85 April 30,1992

. -~

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

=

nierefore. the severity level of a circumstances surrounding the matter. A When needed to protect the public viobuon may be increased if the licensee will not normally be cited for a health and safety or common defense circumstances surrounding the matter failure to report a condition or event and security, escalated enforcement ind e careless dis *egerd of L.nless the hcensee was actuall) aware action such as the issuance of an regre ments. deception. or other of the condition or esent that it failed to immediately effective order modifying.

inications of wdlfulness.The term report. A licensee will. on the other suspending. or revoking a license, will "w.'.L! ness" an used in this policy hand. normally be cited for a failure to be taken prior to the enforcement embraces a spectrum of violations report a condition or event if the conference. In these cases, an rangg from dehberate intent to violate licensee knew of the information to be enforceraent conference may be held or its:fy to and indudmg careless reported, but did not recognize that it after the escalated enforcement action is dis egard for requirements. Willfulness was required to make a report.

taken.

does not indude acts which do not rise to the level of careless disregard, e g.,

V. Enforcement Conferences inads ertent clencal errors in a document Whenever the NRC has learned of the VI. Enforcement Actions subm.itted to the NRC. In determining existence of a potential violation for the necific sesenty level of a violation Dis section describes the which escalated enforcement action enforcement sanctions available to the may be wananted, or recurring NRC and specifies the conditions under be to c ac rs as the p ti n ne n rmanc n the pan of a sendor, w hich each may be used. The basic and responsibihties of the person insched in the violation te E licensee the NRC will normally provide an sanctions ay Notices of Violation civil offic al ' or non supervisory employee)-

pp rtunity fgr an enforcement l

the sanificance of any undething c nierence with the licensee. vendor, or li; penalties, and orders of various types.

e As discussed further in Section VI.D.

E violaton, the intent of the violator (t e ther person prior to taking enforcement E related administrative mechanisms such I

i

• care?ess disregard or deliberateness),

action. Although enforcement 2 as Notices of Nonconformance. Notices E and de economic or other advantage,if c nferences are not normall> he:d for of Deviation, Confirmatory Action

.S g esenty LevelIV violations, they may 12tters. letters of reprimand, and E any. gained as a result of the violation.

be scheduled if increased management Demands for Information are used to The elative weight given to each of these factors in arriving at the

$ attention is wananted e g.. if the u

supplement the enforcement program. In apprcq-iate ses erity level will be S V'o!ations are repetitive. The purpose of selecting the enforcement sanctions to depe. dent on the circumstances of the the enforcement conference is to D) violdon. Howes er. the severity level of discuss the violations or be applied, the NRC will consider enforcement actions taken by other a w,"'ul sewrity les el V violation wilj nonconformances, their significance, the Federal or State regulatory bodies I

be in eased to at least a sesenty level reason for their occurrence, including having concurrent jurisdiction, such as IV.

the apparent root causes, and the licensee's or s endor's conective actions, n transportation matters. Usually.

DM Sms of Repxtirs flequirements whenever a vic!ation of NRC p) determine whether there were any requirements is identified. enforcement G

The!.C expects licensees to provide aggravating or mitigating circumstances, action is taken. The nature and extent e i/

comp't. accurate. and timely and (3) obtain other information that the enforcement action is intended to mfor ation and reports Accordingly, will help the NRC determine the reflect the seriousness of the violation unless otherwhe categorized in the appropriate enforcement action.

involved. For the vast majority of Lpp.ements. the seventy level of a During the enforcement conference, violations, a Notice of Violation or a viola ton mso?n,ng the failure to make a the licensee, vendor, or other person will Notice of Nonconformance is the normal requirvd report to the NRC wdl be based be pren an opportunity to provide enforcement action.

tpon Le 5:gnicance of and the inforrr.ation consistcnt with the purpose c2rcumstances surrounding the matter that should hase been reported-of the conference, including an espianation to the NRC of the How n er. the severity level of an immediate conective actions (if any) untime:y report. in contrast to no report.

that were taken following identification rr.ay be reduced dependinE on the of the potential violation or nonconformance and the long term comprehensive actions that were taken or will be taken to pres ent recunence.

Licensees, vendors, or other persons will be told when a meeting is an enforcement conference. Enforcement conferences will not normally be open i

to the public.

' Tte 1e m "bcensee cMcaal' as osed in tbs pc!q e re ment means a rirsohne supemmar or atme a Lcensed indmduet. a radiation safety i

c5cer r an autho.ned mer of heened matenal wbree-ce riot hated on a hcense Notmthrandmg an ir.dx&a? e job title, severi?3 e vel j

l caternat,on for wc!M ecte invoMng ind:viduals mho cu be consdered hcensee c'ficials wilt 1

conside meral factors induding the poasteon of the md T&al relatm to the hcensee's organ.wr a! structure and the indmduars nepona% ties relative to the t>versight of!= censed actmbes and to the we of hcensed s.stenal April 30,1992 2-86

\\

l

PART 2 o RULES OF PRACTICE FOR DOMES 11C LICENSING PROCEEDINGS -

A. Nota of Violation

1. Base Civil Penalty

2. Civil penalty Adjustment Factors A Notice of Violation is a written The NRC imposes different levels of in an effort to recognize and notice setting forth one or more penalties for different seserity lesel encourage good performance, deter poor violarens of a legally binding violations and different classes of performance. and emphasize violations reqm ement.The Notice of Violation licensees. s endors, and other persons.

of particular regulatory concern. the normaD requires the recipient to Tables 1 A and 1B show the base civil NRC reviews each proposed civil 3

provide a written statement describing penalties for sarious reactor, fuel cycle, penalty on its own merits and. after (1) the reasons for the violation or. if materials and sendor programs. (Civil considering all relevant circumstances.

contested. the basis for disputing the penalties issued to individuals are may adjust the base civil penalities violation. (2) corrective steps that have determined on a case.by. case basis.)

shown in Table 1 A and 1B for Severity been talen and the results achieved; (3)

The structure of these tables generally level 1. II. and ill violations based on an correcta e steps that willbe taken to takes into account the gravity of the assessment of the following civil penalty present recurrence; and (4) the date violation as a primary consideration and adjustment factors. Civil penalties for when full compliance will be achieved.

the ability to pay as a secondary Seserity LevellV violations are The NRC may require responses to C "8'derahon. Generally, operations normally proposed at the base values Notices of Violation to be under oath.

involving greater nuclear material identified in the tab!cs without NormaDy, responses under oath will be invent ties and greater potential assessing the civil penahy adjustment l

required only in connection with civil c nsequencesI the pubhc and licensee factors.

penalties and orders.

empf yees receive higher cisil penalties.

While management involvement.

Regarding the secorAry factor of direct or indirect. in a violation may The NRC uses the Notice of Violation F

" "" "'a ss es f licensees to lead to an increase in the cml penalty, as the usual method for formalizing the pay the cm?'l penalb.

es, at is not the the lack of management involvement existence of a violation. lssuance of a E NRC,s m, tention that t} e economic may not be used to mitigate a civil Notice of Violation is normally the only impact f a cml penah y be so ses ere g penalty. Allowing mitigation m the latter n

enforcement action taken except in e

cases where the criteria for issuance of I at it puts a heensee cut onusmess p case could encourage lack of civil penalties and orders, as set forth in o I rders rather than cm; penalties, are managment mvolvement in hcensed m

Sections VI.B and VI.C. respectively, are used when the mient is to suspend or 0; actmtics and a decrease m protection of met. Hew n er, special circums tances terminate licensed activiti s) or the public health and safety.

regaring the violation findings may ads ersely affects a licensee's ability to (a) Identification. The purposes of this safely conduct licensed activities.The factor is to encourage licensees to i

warrant discretion being exercised such that the NRC refrains from issuing a deterrent effect of civil penalties is best monitor, supervise, and audit activities served when the amounts of the in order to assure safety and 1

_ Notice of \\ iolation. [See Section \\ II.B.

penalties tak e into account a licensee's compliance. Therefore, the base civil Mitigation of Enforcement Sanctions?")

g In add. tion. Iicensees are not ordinarily

..abiW-to pm*'In determining the penalty shown in Tables 1 A and 3D may I

.g amount of civil penalties for licensees be mitigated up to 50% when a licensee l

g cited for violations resulting from for whom the tables do not reflect the identifies a violation and escalated up to I

e o matters not within their control, tuch as equipment failures that were not ability to pay, the NRC will consider as 50% if the NRC identifies a violation.

necessary an increase or decrease on a The base civil penalty may also be asoidable by reasonable licensee quah*3 asserance measures or case-by-case basis. Normally, if a mitigated up 1o 25% when a licensee licensee can demonstrate financial identifies a violation resulting from a management controls. Generally, hardship. the NRC will consider self-disclosing esent ' w here the howe.cr. licensees are held responsible for the acts of their employees.

payments os er time. including interest, licensee demonstrates initiative in Acco-ims'y. this policy should not be rather than reducing the amount of the identifying the root cause of the civil penahv Howeser. where a licensee violation. In addition. the base civil constned to excuse personnel errors.

claims fina' cial hardship. the licensee penalty may also be mitigated where n

B. Cm! Penalty will normally be required to address warranted if a licensee identifies a A civi: penalty is a monetary penalty why it has sufficient resources to safely violation as a result ofits review of a that car be imposed for violation of(1) c nduct licensed activities and pay generic notification. While mitigation certain ipecified licensing provisions of ncense and mspection fees.

under this factor is appropriate for a the Atomic Energy Act or licensee identified violation that was supp:ementary NRC rules or orders; (2) n t reported to the NRC, a separate any rqdrement for which a license may enf reement ach n will n rmally be be res cled: or (3) reporting issued for the licensee s failure to make requirements under section 206 of the the required report.

Energ3 Reorganization Act. Civil penshies are designed to emphasize the need for lasting remedial action and to j

deter futare violations both by the intohed Lcensee as well as by other licensees conducting similar activities.

Civil penahies are preposed (absent mitigatirg circurnstances) for Severity

,,,,,,. g g,g

,,,,.. ned in this Level L fl. and III violations, and may be pohcs si tement means an event theiis re. day proposed for repetitive Severity LevelIV abuon bs hman ot4erunon er mechamcel violations or for any willful violation. In i="umeamon sud a a sP t ofImmd an cren d

addition. civil penalties will normally be d*"' l"*"d

• b" 3"4 * " """P asseswd for knowing and conscious o e n." * ((r n

e

(

violations of the reporting requirements i

of section 206 of the Energy Reorganization Act.

2-87 April 30,1992

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS "

(bl Correctis e oction. The purposes of this factor where a licensee's poor prior notification; or (3) through other this factor is to encourage licensees to perforrnance appears to clearl (1) take the immediate actions necessary improving. prior performance,y be reasonable indication of a potential as used in problem or violation such as upot 6scosery of a violation that will this policy statement, refers to the observations of employees and res&v safety and comphance with the licensee's performance normally (1) contractors. and had failed to take license. regulation (s). or other within the last two years of the effective corrective steps. prior i

reqament(si; and (2) desleop and inspection at issue, or (2) the period notification may include findings of the imp!rnent (in a timely manner) the within the last two ir.spections.

NRC, the licensee, or industry made at last.ng actions that will not only present w hichever is longer. In assessing the other facilities operated by the licensee rece ence of the violation at issue, but licensee's prior performance, where it is reasonable to expect the wi!! Se appropriately comprehensive, consideration will be given to, among licensee to take action to identify or gaet the significence and complexity of other things. the effectiveness of prevent similar problems at the facility the nolation, to prevent occurrence of previous corrective action for similar subject to the enforcement action at simEar violations. Therefore, the base problems, overall performance such as issue. In assessing this factor, civd penalty shown in Tables 1 A and 1B Systematic Assessment of Licensee consideration will be given to. among may be either mitigated or escalated by performance (SALp) evaluations for other things, the opportunities available as m.ch as 50% depending on the power reactors, and the licensee's prior to discover the violation. the ease of prortptness and extensiseness of the enforcement history overall and in the d;scovery, the similarity between the licensee's correcthe action. In assessing area of concern. Including escalated and violation and the notification, the period this factor. consideration will be gisen non-escalated enforcement actions and,

of time between when the violation to. among other things, the timeliness of any enforcement actions that the NRC occurred and when the notification was the creecthe action (including the exercised discretion and refrained from issued, the action taken (or planned) by proc:p*. ness in developing the schedule issuing in accordance with Section the licensee ;n response to the for icag term corrective action), the UI.B. Notwithstanding good prior

_ notification. and the level of deg et of licensee initiatis e (i.e.,

, performance, mitigation of the civil R management review that the notification whemer NRC insolvement was required g penalty based on this factoris not

• received (or should have received).

befo e acuptable action was taken). the p normally warranted where the current g xalation of the civil penalty based p

adeg.ac3 of the hcensee's root cause a vi lation reflects a substantial decline in n solely on prior notification is normally R anahs for the violation. and, given the 2 perf rmance that has occurred over the not warranted where the licensee

$ signhance and complexity of the issue, time since the last NRC inspection In appropriately reviewed the notification R the cc.mprehensiwness of the corrective addition. this factor should not be for application to its activities and

• actice (i.e whether the actionis applied i r those cases where the reasonable action was either taken or focused narrowly to the specific licensee has not been in existence long planned to be taken within a reasonable vio!aton or broadly to the general area en ugh to establish a prior performance time.

of con:ern). Notwithstanding good r insped n hist ry. Similarly, (e) Multiple occurrences. The purpose corn;m hensive correcth e action, if mitigation based on this factor is not of this factor is to reflect the added immed. ate correcth e action was not n rmally appropriate where the area of significance resulting from multiple

/

taken to restore safety and compliance c neern has not been previously occurrences of the violation.Therefore.

ence th: sio!ation w as ident&ed.

inspected, unless overall performance is the base civil penalty shown in Tables trat}ga-;on of the civilpenalty based on g m d.

1A and 1B may be escalated by as much th s fa: tor will not normally be (d) Pre,or opportunity to ident#y. The as 100% where multiple examples of a u ns3 red and escalation may be purp se f this factor is to encourage particular viclation are identified during cons 6ted to address the liu nsee's licensees t take effecthe action in the inspectinn period. Escalation of the failu e resp nse to opportunities to identify or civil penalty based on this factor will (c) L cersee perfourcnce. The premt pr e s or pglations.

normally be considered only w hen there s

purpese of this factor is to recognize and Therefore the base caul penalty shown are multiple examples of Severity Level encoeage good or improving hcensee in Tables 1A and 1B may be escalated 1.11.or Ill violations with the same root

" ' * " ** # I perfc=ance and to recognize and deter licensee should have ?r cases where the causes. Alternatively, separate civil identified the penalties may be imposed for each poor ce declining performance.

n a sener as a resWt of pnor violation.

Therefre. the base civilpenalty shown in TaEes 1 A cnd IB may be mitigated pp rtunities, such as (1) through

, if) Duration. The purpose of this factor by as much as 100% if the current wrmal suneWances. audits, or quality is to recognize the added significance violat n is an isolated failure that is rance NA) actW, s; (2) through associated with those violations (or the a

incons_ stent with a licent.ee's pri r n tice i.e., specsfic NRC or industry impact of those violationiq that continue outstar:*ingly Food prior performance.

The base civil penalty may also be escalred by as much as 100% af the curren vio!ation is reflecti.e of the license e's poor or declining prior perfor.ance. Neither mitigation nor escalaton may be appro;>riate based on April 30,1992 2-88

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...

or rema:n uncorrected for more than one The civil penalty adjustment factors normally the only adjustment factors,

f day. Therefore, whether or not a presented in paragraphs (a) through (f) that wtll be considered to lower a base licensee is aw are or clearly should have are additive. Ilowever. in no instance civil penalty will be identification and l

been aw a e of a violetion,the base civil will a civil penalty for any one violation corrective action factors. In addition. as i

penalty s,hcwn in Tables 1 A and 1B rnay esteed $100.000 per day.

provided in Section VII, " Exercise of

{

be escalated by as much as 100% to Notwithstanding the application of the E Discretion,** discretion may be exercised i

reflect the added technical and/or civil penalty adjustment factors, a civil 5 by either escalating or mitigating the regulatory significance resulting from the penalty will normally be proposed in an E amount of the civil penalty arrived at violation or the impact ofit remaining g amount of at least 50% of the base value g after applying the civil penalty unconeced for more than one day. This e in Tables 1 A and 1B for Severity Levell adjustment factors to ensure that the f actor should normally be applied in g and 11 violations involving proposed civil penalty reflects the cases icrolnng parrcularly safety

~ overexposures. release of radioactive NRC's concern regarding the violation at 1

significant violations or where a material, or loss of radioactise material issue and that it conveys the appropriate significant regulatory message is to emphasize to the licensee the message to the licensee.

warrantei in lieu of escalating the civil seriousness with which the NRC views pene!!) based on this factor, the NRC these events and the importance of may im;cse daily cisil penalties for conduct;ng licensed activities in a violatiot.s that continue for more than rnanner to avoid these violations. In one da3. [See Section VILA.3," Daily considering mitigation for these cases.

Civil pe.alties.")

TABLE 1 A-BASE CIVIL PEhAtTIES Punt operatons.

'" W "

P constexton, hea'th Safegsards M*ysecs and EP Gester than T,ype A Type A qu,antity or e

q g,,

a w

N a Fower wa-sys..

3100.000

$100.000

$100.000

$5.000 b 7est rea: sys..

10.000 10.000 10.000 2.000 c nesear? reactors am! cmica lacanes_..._

5.000 5.000 5.000 1,000 r

........._.._...)

d Fued *awcatars and er&sda' pexesscrse..

25.000 100.000 25.000 5 000 e Ws av Lkawm cor ve son facates.. _.

10.000 5.000 2.000 1 houst'as.ners of re.ater.ats 8. and cvitractcrs and vendys.._]..

10.000 5.000 2.000 N

g waste xma licensees..

.._._... l to 000 5.000 2.000

?

h Am y ene:k.a' mst0 tons

• 5.000 2.500 1.000 h Irepomen si; ent tset and monrised ret evatde stenage estana-tons 6 Ot$sr m.ce a~ ke~.ces-25.000 100.000 25.000 5.000 1.000 2.500 1.000

' McsAes t'ad.aled tse!. hrf level waste, unerreisted frssue mate'ef. and any other quant.ies reosmg Type B pa-ia;png

• Mcws da s,wfic act'ay *ssie (tSAL tow leves maste. Type A packages. and escepted quanwes and amcw

• Large Irms erga;p d r. mavtact.mg or d:stntuton of typrooct, sosce. or spec.at nsc4ar maiena:

• 'Ns smunt re% s to Category 1 bcensees (as defined m 10 CER 73 2) bcensed fuel fatricatys not authorued to possess Category 1 maten&l rave a t.ase Mna% a urit of 550 000

{

• McWs r&stT rabya/e's, nuclear pharmaces a1d cISe* andustnal users

• hs a:4*s to revofit estitsions not otNwse cateparaed u der sections *a" through *g" r tNs taw and mane nseleav sennees TABLE 1 B-BASE CIVIL PEsAcT ES

! Base Cue Per.a% Amoani b'Y #

1 (Peceni of aansit bsied m Tam 1~

1.

100 s

80 Ill N

50 15 2-89 April 30,1992

~~..._m

m.

App C(VI)

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~.

C Orders comply with requirements where such for not taking the action as proposed, failure is not willful and adequate the licensee will ordinarily be afforded An order is a written NRC directive to corrective action has been taken.

an opportunity to show why the order

[ '.

rned4. suspend. or tes ok e a license; to (3) Resocation Orders may be used should not be issued in the proposed cease and demt from a gnen practice (a) When a licensee is unable or manner by way of a Demand for or actaity; or to take such other action unwilling to comply with NRC Information. (See 10 CFR 2.204) as rnay be proper (see 10 CFR 2.202).

requirements; Ordets may also be issued m heu of, or (b) When a licensee refuses to correct D RelatedAdministratwe Actions in add. tion to. cml penalties, as a violation; In addition to the formal enforcement a;>propna te for Ses erity Level 1.11. or 111 (c) When licensee does not respond to mechanisms of Notices of Violation, violations Orders may be issued as a Notice of Violation w here a response egil penalties, and orders, the NRC also I0lbw 5:

was required; uses administratise mechanisms, such

, (1) License Mod:fication orders are (d) When a licensee refuses to pay an as Notices of Deviation. Notices of issued when some change m hcensee applicable fee under the Commission's Nanconformance. Confirmatory Action equipment. procedures. personneh or regulations; or g,tters, letters of reprimand. and management controls is necessary.

(e) Tor any other reason for which Demands for Information to supplement (2)Saspension Orders may be used.

revocation is authorized under section its enforcement program. The NRC (a)To rernca e a threat to the pubhc 186 of the Atomic Energy Act (e g, any expects licensees and vendors to adhere g health and safety. common defense and condition which would warrant refusal to any obligations and commitments g setunty, or the environment; of a license on an original application).

resulting from these, processes and will g

(b)To step f acihty construction when.

(4) Cease and Desist Orders may be not hesitate to issue appropriate orders

, (i) Further work could preclude or used to stop an unauthorized activity to ensure that these obligations and s:gmficantly hinder the identihcation or that has continued after notification by

• "*'""'#'*Y correction of an impreperly constructed. NRC that the activity is unauthorized.

E * (*1) Notices of Deviat.

safety.related s3 stem or component. or (5) Orders to unlicensed persons.

g ion are wntten lii) The 1 tensee's quahty assurance E including s endors and contractors, and E n tices describing a hcensee s failure,to program irr.p'ementation is not adequate ' employees of nny of them, are used g sausfy a commitment where the to prcude confidence that construction E w hen the NRC has identified deliberate commitment m, volved has not been actint.es are bemg properly carried out misconduct that may cause a licensee to made a legally b,inding requirement. A (c) When the licensee has not be in violation of an NRC requirement or Nc.tice of Deviation requests a licensee responded adequately to other w here incomplete or inaccurate t provide a written explanation or enforcement action; nformation is deliberately submitted or statement describing corrective steps (d) When the licensee interferes with where the NRC loses its reasonable talen ( r planned). the results achieved.

the conduct of an inspection or a ssurance that the licensee will meet and the date when corrective action will investiga tion; or (e) For any reason not menSoned NRC requirements with that person be cornpleted.

nich ed in licensed activities.

(2) Notices of Nonconformance are

(~

abcse for which hcense res ocation is legaH authortred.

Unless a separate response is wr.tten notices describing vendor's

(.

3 warranted pursuant to 10 CFR 2.201. a fakies to meet commitments which Susper.sions tr:ay apph to all or part Notice af Violation need not be issued bas e not been made legally binding of the hcensed actaity Ord.nanly, a where an order is based on violations re~.;irements by NRC. An example is a hcensed activity is not suspended (nor is described in the order. The violations conmitment made in a procurement a suspension probeged) for failure t described in an order need not be co: tract with a licensee as required by categorized by seserity lesel.

10 CFR part 50, appendix B. Notices of Orders are made effectise Nmonformances request non-licensees immediately, without prict opportunity to;mvide w ritten explanations or j

for hearing wheneser it is determined staments describing corrective steps that the public health, interes', or safety Itden or planned), the results achiesed.

i so requires. or when the order is the dates when corrective actions will responding to a violation involving be completed. and measures taken to willfulness. Otherwise, a prior predude recurrence.

opportunity for a hearing on the order is

13) Confirmatory Action Letters afforded. For cases in which the NRC (CALs) are letters confirming a beheves a basis could reasonably exist lic4.see 5 or vendor's aBreement to take April 30,1992 2-90

App. QT) e PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS...App. QU) 4 I

certain actions to remos e significant to be of significant regulatory concern. If adjusted civil penalty to ensure that the p.

concerns about health and safety.

the application of the normal guidance proposed chil penalty reflects the safeguards. or the environment.

in this policy does not provide an NRC's concern regarding the violation at (4) Letters of reprimand are letters appropriate sanction. or if particularly issue and that it conveys the appropriate addrened to individuals subject to serious violations occur, such as in message to the licensee. In addition to Commission jurisdiction identifymg a cases involving wdlfulness. repeated the approvalof the appropriate Deputy significant deficiency in their poor performance in an area of concern.

Executive Director, consultation with i

t performance of licensed activities.

or serious breakdowns in management the Commission is required if the (5) Demands for Information are controls, the NRC may apply its full deviation in the amount of the civil demands for information from licensees enforcement authority where the action penalty proposed under this discretion or other persons for the purpose of is warranted. NRC action may include enabhng NRC to determine whether an

[1) escalating civil penalties. (2) issuing from the amount of the civil penalty order or other enforcement action assessed under the normal process is should bc issued.

appropriate orders, and (3) assessing h more than two times the base civil g civil penalties for continuing violations e penalty shown in Tables 1 A and 1B.

VII. Esertise of Discretion f napjr b

a$i$ "

0 or day.

(2) Orders. The NRC will, w here Notyithstand ng the normal guidance R ) (1) Ciri/penchies. Notwithstanding

"*"."#Y""*'#'

"' "l""'"

contamed in this pohcy. the NRC may choose to esercise discretim and either the outcome of the normal civil penalty with cisil penalties to achieve or escalate or mitigate enforcement assessment process (i.e., base cwil fonnahze e nectne acti ns and to deter penalty adjusted based on application of further recurrence of serious violations.

sanctions within the Commission.a g statutory authority to ensure that the the civil penalty adjustment factors Examples of enforcement actions that

resultmg enforcement action addressed in Section VI.B). with the c uld be taken for similar Severity Level 1.11. or 111 violations are set forth in g appropriately reflects the level of NRC

• PP '

PP P ' "

Table 2. The actual progression to be Ex d or and on 1t on g concern regarding the violation at issue nd on e s the appropr:ste message t with the EDO as warranted. the NRC used in a particular case will depend on may esercise dir.cretion by either the circumstances. Er.forcement A. Esco!crian of Enforcement Sonctions proposing a civil penalty where sanctions wil! normally escalate for application of the factors would recurring similar violations.

The NRC considers violations otherwise result in zero penalty or by categorized a t Severity Level 1. II. or !!!

further escalating the amount of the taste 2.-ErAuptts or PROGRESSION OF EscALATEo ENroncEMEN1 actions roR SIMicAR WOLATIONS IN THE SAME ACTIVITY AREA UNDER THE SAME lsCENSE

' I Numte of semsar volatoris trom the date of the Seventy of Votaton last anspecton or wthen the prevoas two years (mhthever penod is g: eater) ist 2nd 3rd 1. ~. -.. _. _..

a+C a+b+c d

il - _.. _.... _

e a4b+C a+b+C E -

a a+c a+b Notes a

a Covs wa*y b Sesysan of aNected ope stona until the a;cas., om, mn. or mwaw a re ua,oMice Drector is,.satsted that the's is teamb5 assa ave that the keses can ope + ate ir$ compi s

s. as aw e eno a en o'ser ior mosaien. ssspe,oona.

d F/re a u as appoprete son. o,,ee o, ine eense..s appapn.to. twe use v. coma,d vor informaten y

u 2-91 April 30,1Q92 u

,.y-.y-r--

-v

9

...+a

_m u_-

s

.m.

4._;

i b

>C(VID App. C(VID a

e r,~

PART 2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS ~

=

c (3) Dolly civilpenalties. In order to (b)It was or will be conected within a (3) violations identified During recognize the added technical safety reasonable time, by specific corrective T.xtended Shutdowns or Work j

sigmfican.; at regulatory significance action committtd to by the licensee by Sioppages The NRC may refrain from

[

for those cases where a very strong the end of the inspection,includmg inuing a Notice of Violation or a message is warranted for a significant immediate corrective action and proposed cmlpenalty for a violation violation that continues for more than comprehensive conective action to that is identified after (1) the NRC has one day, the NRC may exercise prevent neunence tahn signWicaM enforcement ac6on discretion and anca a separate (c)It was n o a willful violation.

based upon a major safety event violation and attendant civil penalty up (2) Licensee,dentified Seserity Level contributing to en extended shutdown of f

to the statutory limit of g100.000 for each IV and V Violations.The NRC may an operating reactor or a material I

refrein from issuing a Notice of licensee (or a work stoppage at a da) the violation continues.ne NRC Violation for a Severity LevelIV or V construction site). or (ii) the licensee may exercise this discretionif a licensee violation that is documented in an enters an extended shutdown or work S

was aware or clearly should have been inspection report (or official field notes stoppage related to generally poor j

aware of a violation,orif thelicensee for some material cases) provided that performance over a long period of time.

had an opportunity to identify and the inspection report includes a brief provided that the violation is

[

correct the violation but failed to do so, description of the corrective action and documented in an inspection report (or j

that the vicdation meets all of the official field notes for some material I

following criteria:

cases) and that it meets all of the S

i 3 Mitigotion ofEnforcementSanctions

. (a)It was identified by the licensee, following criteria:

j mcluding as a result of a self-disclosing (allt was either licensee identified as Becau e the NRC wants to encourage event; a result of a comprehensive program for l

and support licensee initiative for self (b)lt was not a violation that could problem identification and correction -

idennfication and correction of reasonably be expected to have been that was developed in response to the I

prob! ems, the NRC may exercise prevented by the licensee's conective shutdown or identified as a result of an dacretion and refrain from issuing a action for a previous violation or a employee allegation to the licensee;(If civil penalty and/or issuing a Notice of previous licensee finding that occurred the NRCidentifies the violation and all R Violation under certain circumstances.

within the past two years of the of the other criteria are met, the NRC E in addition, while the NRC may exercise inspection at issue, or the period within should determine whether enforcement q

j

' this discretion for violations meeting the the last two tapections, whichever is action is necessary to achieve remedial g

5 required criteria where the licensee longer:

action, or if discretion may still be p

failed to male a required report to the g (c)It was or willbe corrected within a g appropriate.)

1 NRC. a separate enforcement action will p reasonaW Ume, by specific corrective (b)lt is based upon activities of the j

g normally be issued for the licensee's

' acti n c mmitted to by the licensee by g licensee prior to the events leading to p

r l

failee to make a required report. The g the end of the inspection,includmg the shutdown:

[

a immediate corrective action and (c)!! would not be categorized at a c,irc=nstances under which this comprehensive corrective action to severity lesel higher than Ses erity Leve.,

usuetic.. ay be exercised are as

!l pierent recurrence:

11:

follcws:

(d)lt was not a willful violation or ifit (d)lt was not willful; and

[

was a willful violation; (e) ne licensee's decision to restart

- (i) The information concerning the the plant requires NRC concurrence.

(1) Ses erity level V Violations, ne violation. if not required to be reported.

(4) Violations Involving Old Design NRC may refrain from issuing a Notice was promptly provided to appropriate issues.ne NRC may refrain from of Vaolation for a Seventy Level V NRC personnel. such as a resident proposing a civil penalty for a Severity vio:ation that is documented in an inspector or regional section or branch Level II or !!! violation involving a past cNel inspection report (or official field notes problem, such as in engineering. design, (H)ne d lad ninv !ved the acts of or insta!!ation, provided that the for some material cases) provided that g

the inspection report includes a brief a low level individual (and not a violation is documented in an inspection licensee fficial as defined in section report (or official field notes for some desmption of the corrective action and IV.Cl.

material cases) that includes a that the violation meca all of the (i i) The violation appears to be the description of the conective action and fol:cwirs criteria:

isolated action of the employee without that it meets all of the following criteria:

(a)It was not a violation that could management involvement and the (a)lt was a licensee identified as a ressenably be expected to have been violation was not caused by lack of result of a licensee's voluntary formal pres ented by the licensee *s corrective management oversight as evidenced by initiative, such as a Safety System acticn for a previous violation or a either a history ofisolated willful TunctionalInspection. Design previous licensee finding that occurred violations or a lack of adequate audits Reconstitution Program, or other o

within the past two years of the or supervision of employees; and program that has a defm' ed scope and h

inspection at issue. or the period within (iv) Significant remedial action timetable and is being aggressnely

)

the last two inspections, whichever is commensurate with the circumstances imp!cmented:

lonpr:

was taken by the licensee such thallt (b)lt was or will be conected.

demonstrated the seriousness of the including immediate corrective action violation to other employees and and long term comprehensive corrective contractors. thereby creating a deterrent action to prevent recurrence, within a efiect within the licensee's organization.

reasonable time following identification While removal of the employee from (this action should involve expanding licensed actisities is not necessarily the initiative, es necessary, to identify required. substantial disciplinary action other failures caused by similar root is expected.

causes); and April 30,1992 2-92 L

m 1

App. C(VII)

App.C(VII) i PART 2 o RULES OF PRACTCE FOR DOMESTC LCENSING PROCEEDINGS ~

j (c)It was not likely to be identified performance of the licensee. and other does not provide a safety benefit or may. in i

p[

(after the violation occurred) by routine retevant circumstances. including any fed.be detrimental to safety in the particular l

licensee efforts such as normal g that may base changed since the g

Q jt ing en ment surveillance or quality assurance (QA)

. violation, provided prior notice has been j

activities.

g ghen the Commission. His discretion is kneIM @ m % fw n e rs %

plant a simply delaying startup does not in addition, the NRC may refrain from e-expected to be exercised only where usually Imre ti,e plant in a condition in issuing a Notice of Violation for cases application of the normal guidance in which it could erperience undesirable l

a i

that meet the above criteria provided the policy is unwarranted, tansients. In such casm. h Commtulon i

the violation m as caused by conduct that is not reasonably linked to present would espect that discretion would be

(,* nth performance (normally siolations that that.notwitb,tanding the mnditions of the n uded are at least three years old or violations C Errrelse ofDiscretionfor on Opemting litanse:(O h equipment or rystem does

?

occurring during plant construction) and M%

not perform a ufsty function in h mode in there had not been prior notice so that

>here a licensee's compnance with a On ocrasion, cLrcumstances may arise w Lich operation is to occur, [2] the ufety I

the licensee should hase reasonably w

fundion perforined by the equipment or i

identified the siolation earlier.This Tedni, cal Specification (TS) L1:niting,

H system is of only marginal afety benefit, s

ndkon for "

emercise of dacretion is to place a provided remain in the curart mode conditions w d involve an unnecessary inceues the las of an unnecemary d

premium on licensees mitiating efforts to plant transient or performanca of testing-plant translent; or (3) the TS or obs license F

identify and correct subtle violations inspection. or sptem malignment that is 8 condition requires a test. inspection or that are not likely to be identified by inappropr'ste with the specific plant Q systetn res!!gnment that is inappropriate for 4

routine efforts before degraded safety mnditions, or unnecessary deleys in plant E the particulas plant conditions in ht It dces j

systems are called upon to work, startup without a mirasponding health and h-ad vide a ufety benent, or may,in fact.

(5) Violations identified Due to safety tesSt. In thou circumtenceede S be ntal to safety in h particular j

previous Esc lated Erforcement Action.

NRC staff may choose not to enforce the P ant condit,loe, l

appi; cable TS or other uceca condition.

The NRC may rena n from issuing a This enforcement disoetion will only be discntion does not ch e the fact that a g

Notice of Victation or a proposed cml nercised if 6 NRC staffis clearly satisfied violation will occur so1r oes it imply that j

penalty for a violation that is identified that the action is mnsistent with protecting after the NRC has taken escalated the public health and safety. A licensee enfartement discretion is being eaercised for 1

enforcement action for a Severity Lesel seeking the exarcise of enforcement any dotation that may have led to the 11 or III nofation, provided that the discreuon must provide a written violation et inte. In sech case where the NRCstaff has chosen to surclu enfartement i

Iu3

• " n CI' W " '* *

• h " B

• d discretion, enforcenant scdon will normally

u. jat. son a documente d in an inspect on J

o i

cause is shown, oral justification followed u j

g report (or o'Scial field notes for some soon u possible by written bstilhtion.

violations were involved, that led to the t : taken for the root causes, to b extent

.3 3 material cases) that includes a,

t mquest and provides whatever other noncompliance for which enforcement t

hler description of the corrective action and g which documents b safety bests for the 4

i discretion was used. The enforcement action v i tha it meets all of the following criteria:

c-information the NRC staff deems necessary in is intended to emphasize that !!censees 4

(a) It was a licensee identified as part 5 nal!ng a dotiaion on whether or not to should not rely on h NRC's euthority to j

• mme en rament discnhon.

of the corrective action for the previous emerdse enforument discetion as a routine escalated enforcement actiorr-

• NS 8

n*

m.

'* +"

hh desgnee. rney exercise discretion where subsutute for mmpliance or br aqwsdeg a (b)It has the same or simdar root th, nonmmpliance h temporary and liceu amendment.

cause as the dolation for which nonrocurring when an amendment is not rinally. lt is erpected that h NRC staff escalated enforcement action was practical The Director.Of&ce of Nuc1 car will exercise er forcement discretion in this ana'ar.1mquently. Although a plant must shut issued; React r Regulation, or his designee, may down.refuebg activities may be suspended.

(c)It does not substantially change eurcia dhcnuon if 6 erected E

or plant startup may be delayed, absent the n nomP nnte will ocrur uring h brief exercise of nforcement distretion, the NRC the safety sipificance or the character of tlje regulato*y concern arisirg out og period of time it rquires the NEC staff to staff is under no obligation to take such a the smtial nolation; and pmtess an emergency or exigent license step merely because it has been requested.

amendment undes & provisions of to CFR The decision to brego er.fortement is (d)It was or will be corrected.

50 91(aXs) or (s). The 3=rson e xercising dimetior.ary. Where enfurument discretion including irnmediate correcti',e action enforcement discretion will document the is to be esercised,it is to be surcised only and long ter= compnhensive corrective decision.

If the NRC staff is clearly satished that such action to pres ent recurrence, within a Fw an operating plant, this emerche of action is wananted from a health and safety i

reasonable time following identification.

".I rcement dhention is intended to perspective.

P"*

"""'I' " N '"*"

(6) Violations InvolvinE SPetial i

Circumstances. Notwithstanding the of unnecessary plant transients with the accompanying operational risis and impacts I

outcome of the normalcmlpenalty or to eliminate tesung. Inspection, or systern 1

assessment p ocess (i e., base civil realignrr.ent which is inappropriate for the i

i penalty adjc= ted based on application of particular plant meditions ror plants in a t

the civil per.a!ty adjustment factors shuidown condition, esercising enforcement addressed in Section VI Bl. as provided d.isca i n 1: Intended t redure shutdown "U

• 8'I"* ""dI"8 U"8 I"'P'Cd " "

I in Section !!L Responsibilities" the appropriate Deputy Execut.ive Director system realignment which is Ir. appropriate i

ivr the particular plant conditions. In that. it may reduce or refram from issuing a civil penalty or a Notice of Violation for a Severity In el II or !!! violation based on the merits of the case after considering the guidance in this h

staternent of policy and sucl actors as

/

the age of the violation, the safety significance of the violation, the overall 2-93 March 31,1993

App. C(VII0 App. C(VIII) j PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS-1

• Inadvertently missing an

• Dereliction of duty.

insignificant procedural requirement

• Falsifying records required by NRC f,

t when the action is routine, fairly regulations or by the facility license.

uncomplicated, and there is no unusual

• Willfully providing, or causing a l

circumstance indicating that the licensee to provide. an NRC inspector or procedures should be referred to and investigator with inaccurate or followed step-by. step.

incomplete information on a matter

• Compliance with an express material to the NRC.

direction of management. such as the

• Willfully withholding safety j

Shift Supervisor or Plant Manager..

significant information rather than j

resulted in a violation unless the making such information known to j

individual did not express his or her appropriate supervisory or technical

,I rcement ActionsInvolving concern or ob}ection to the direction.

Personnelin the licensee's organization.

• Inaividual error directly resulting

• Submitting false information and as l

from following the technical advice of a result gaining unescorted access to a Enforcement actions involving an expert unless the advise was clearly nuclear power plant.

individuals. including licensed unreasonable and the licensed

• Willfully providing false data to a operators. are significant personnel individual should have recognized it as { licensee by a contractor or other person actions. which will be closely controlled

such, c who provides test or other services, and judiciously applied. An enforcement

• Violations resulting from t when the data affects the licensee *a -

l, action iraolving an individual will inadequate procedures unless the

• compliance with 10 CFR part 50

[

normally be taken only when the NRCis individual used a faulty procedure appendix B or other regulatory satisfied that the individual fully knowing it was faulty and had not requirement.

understomt or should have understood.

attempted to get the procedure

• Willfully providing false l

his or her responsibility; knew, or should corrected.

certification that components meet the have known. the required actions; and Listed below are examples of requirements of their intended use, such knowing!y. or with careless disregard P situations which could result in as ASME Code.

l (i.e with more than mere negligence)

" enforcement actions involving.

• Willfully supplying, by vendors of i

failed to take required actions which

' individuals, licensed or unlicensed. If equipment for transportation of l

have actaal or potential safety 2 he actions described in these examples radioactive material, casks that do not t

g significance. Most transgressions of are taken by a licensed operator or comply with their certificates of l

e individuals at the level of Severity Level taken deliberately by an unlicensed compliance..

E 111.IV orV violations willbe handled 2 by citing only the facility licensee.

individual. enforcement action may be

• Willfully performing unauthorized j

taken di:ectly against the individual.

bypassing of required reactor or other

,i l

More serious violations. including glowev.tr. violations involving willful facility safety systems.

l those insoinns the integrity of au conduct not amounting to deliberate individual (e.g lying to the NRC) action by an unlicensed individual in concerning matters within the scope of these situ silons may result in the individual's responsibilities, will be considered for enforcement action enforcemW. action against a hcensee that may impact an IndividualThe N

against the individual as well as against situations include, but are not limited to.

• Willfully taking actions that violate the facility licensee. Action aEainst the violations that involve:

Technical Specification Limiting Conditions

(

individual, how ever. will not be taken if

. Willfully causing a licensee to be in for Operatin or other fiana conditius the improper action by the individual violation of NRC requirements.

8 infucement actin for a willful violation was caused by management failures.

• Willfully taking action that would y will ane talen W &nnidatin is &e result The following examples of situations have caused a licensee to be in violation ofmentakenidlowinf eTechnical de Es decision g

illustrate this concept:

of NRC requirements but the action did t

g a rcement a

• Inadvertant individualmi5 takes not do so because it was detected and SpecEcation or other licena mndition or if m

the operator meets the requirements of to e [gfizing a idatio g a ided y e facil d

of g"" M7' hcensee.

s procedural requirements and willfully circumstances rurrounding the emergency.1 not taking corrective action.

• Willfully defeating alarms which

~

have safety significance.

• Unauthorized abandoning of reactor i

controls.

i i

.l l

i I

l M:rch 31,1993 244 l

l

PART 2 o RULES OF PRACTCE FOR DOMESTC LEENSING PROCEEDINGS..a 5.ne degree of supervision of the Examples of sanctions that may be j

In decidmg whether to issue an individual. i.e how closely is the appropriate aEalnst individuals are:

j enforcement action to an unlicensed individual monitored or audited and the

+ Issuance of a letter of reprimand, person rather than to the licensee, the likelihood of detection (such as a

• !ssuance of a Notice of Violation.

NRC recognizes that judgments will radiographer working independently in and have to be made on a case by case the field as contrasted with a team

• Issuance of Orders.

basis. In making these decisions, the activity at a power plant).

Orders to NRC-licensed reactor NRC will consider factors such as the

6. The employer's response, e.g.,

operators may involve suspension for a E following:

disciplinary action taken.

specified period, modification, or

^

L ne level of the individual within

7. ne attitude of the wrongdoer. e g.,

revocation of their individuallicenses.

a E the organization.

admission of wrongdoing, acceptance of Orders to unlicensed individuals might 4

2. The individual's training and responsibility, include provisions that would:

experience as well as knowledge of the 8.De degree of management

• Prohibit involvement in NRC potential consequences of the responsibility or culpability.

licensed activities for a specified period wrongdoing.

9. Who identified the misconduct.

of time [normally the period of 3.ne safety consequences of the

$ Any proposed enforcement action suspension would not exceed five years) misconduct.

cc involving individuals must be issued or until certain conditions are satisfied.

4.The benefit to the wrongdoer. e.g.,

R with the concurrence of the appropriate e g., completing specified training or i

personal or corporate Sain.

• Deputy Executive Director.The meeting certain qualifications.

Commission will be consulted prior to

• Require notification to the NRC isauing a civil penalty or order to an before resuming work in licensed unlicensed individual or a civil penalty activities, to a licensed reactor operator. Prior

• Require the person to tell a notice will be given to the Commission prospective employer or customer l

on Notices of Violation without civil engaged in licensed activities that the penalties that are issued to unlicensed person has been subject to an NRC individuals and enforcement actions order.

taken against other unlicensed persons, in the case of a licensed operator'a such as corporations or partnerships.

failure to meet applicable fitness-for.

The particular sanction to be used

!" duty requirements (10 CFR 55.53(j]). the should be determined on a case-by-case @ NRC may issue a Notice of Violation or i

basis.*

t a civil penalty to the Part 55 licensee, or 1

e an order to suspend, modify. or revoke s

the Part 55 license.These actions may y

4 be taken the first time a licensed operator fails a drug or alcohol test, that is, receives a confirmed positive test that exceeds the cutofflevels of10 CFR part 26 or the facility licensee's cutoff 1

levels, if lower. Ilowever, normally only

)

a Notice of Violation will be issued for t

the first confirmed positive test in the absence of aggravating circumstances such as errors in the performance of l

licensed duties or evidence of prolonged use. In addition, the NRC intends to issue an order to suspend the Part 55 license for up to three years the second time a licensed operator exceeds those cutofflevels. In the event there are less l

than three years remaining in the term i

of the individual's license, the NRC may -

consider not renewing the individual's license or not issuing a new license after the three year period is completed.De f

i NRC intends to issue an order to revoke d

the Part $5 Iicense the third time a j

licensed operator exceeds those cutoff levels. A licensed operator or applicant who refuses to participate in the drug a r.acept for individuals subiect so civil penalties ad aMol testing pmgrams under section 200 of the Energy P.corganization Act established by the facility licensee of of 19 4. as amended. NRC will not normally impose i

I a

a civil penalty against en indaidual. flowever.

I section 234 of the Atomic Energy Act (AEA)gnes the Commiesion authority to impose civil penatlics i

.3 on "any person."

• Person" is ternadly dermed in 3:;!

fection 11s r4 the AEA to include indwiduals. a q

tariety of o genizations, and any representataves or i

egents. This gives the Commission authority to impose civil per alties on employees of licensees or a

on separate entities when a violation of a requirement deectly imposed on them is committed.

2-95 March 31s 1993 (reset)

~.

. ~

0 PART 2 e RULES OF PRACTICE FOR DOMESTIC LEENSING PROCEEDINGS...

s C

h l

who is in volved in the sale. use, or to such factors as (1) the degree of information became available or the possession of an illegal drug is also knowledge that the communicator advancement in technology was made.

subject to license suspension.

should have had, regarding the matter, the initial submittal was conected.

p' revocation. or denial in view of his or her positico, training.

ne failure to conect inaccurate or

\\

In addition. the NRC may take and experience. (2) the opportunity and incomplete information which the enforcement action against a licensee time available prior to the licensee does not identify as significant i

that may impact an individual, where communication to assure the accuracy normally will not constitute a separate the conduct of the individual places in or completeness of the information. (3) violation. Ilowever, the circumstances i

question the NRC's reasonable the degree ofintent or negligence,if any, sunounding the failure to conect may assurance that licensed activities will be involved. (4) the formality of the be considered relevant to the properly conducted. The NRC may take communication. (5) the reasonableness determination of enforcement action for enforcement action for reasons that of NRC reliance on the information. (6) the initial inaccurate or incomplete would war-ant refusal to issue a license the importance of the information which statement. For example, en on an orignal application. Accordingly, was wrong or not provided, and (7) the unintentionally inaccurate or incomplete j

appropriate enforcement actions may be reasonableness of the explanation for submission may be treated as a more l

taken regarding matters that raise issues not prosiding complete and accurate sesere matter if the licensee later of integrity. competence, fitness for duty.

information.

determines that the initial submittal was or other mv'ers that may not Absent at least careless disregard, an m enor and does not correct it or if necessarily be a violation of specific incomplete or inaccurate unsworn oral g there were clear opportunities to Commission requirements-in the case of an unlicensed person, statement normally will not be subject g identify the error. lf information not d

to enforcement action unless it involves c nected was recognized by a licensee whether a firm or an individual, an order 7

modifying the facility license may be significant information provided by a as signiGcant a separate chaum may licensee officialdfowever, enforcement be made for the failure to provide issued to require (1) the removal of the person from alllicensed activities for a action may be taken for an signmcant infonnahon. In any egent. in specified penod of time or indefinitely, unintentionally incomplete or inaccurate senws casu where & Hcensee s 3

(2) prior notice to the NRC before oral statement provided to the NRC by a actims is not correcting or providing utilizing the person in licensed achvities.

licensee official or others on behalf of a ini rmation raise questions about its

'" "D r its undamental or [3] the licensee to provide notice of licensee,if a record was made of the j

• d

'"' Y the isst.ance of such an order to other oralinformation and provided to the exercise its auth'ority to issue orders censee ereby pennitung an

- persons involved in licensed activities E making reference inquiries. In addition, li; pportunity to correct the oral modifying, suspending, or revoking the

$ orders to employers might require e ini rmation, such as if a transcript of the license. The Commission recognizes that enforcement determinations must be t

t retraining. additionaloversight,or E """"unication or meeting summary made on a case.by-case basis, taking

• independent renfication of activities 3 contam.mg the error was made available performed by the person. if the person is to the licensee and was not into consideration the issues described

=

l in this section.

i Io be invoked in licensed activities.

subsequently conected in a timely s,

manner.

IX. Inaccurate and Incomplete When a licensee has corrected Information j

inaccurate or incomplete information.

A violation of the regulations the decision to issue a Notice of involving submittal ofincomplete and/

Violation for the initialinaccurate or or inaccu ate information whether or incomplete information normally will be not consideerd a materialfalse dependent on the circumstances, statement. c.an result in the full ranee of including the ease of detection of the enforcement sanctions. ne labeling of a error, the timeliness of the correction, communication failure as a material whether the NRC or the licensee false statement will be made on a case.

identified the problem with the by-case basis and will be reserved for communication. and whether the NRC egregious dolations. Violations relied on the information prior to the invoking inaccurate or incomplete correction. Generally, if the matter was information or the failure to provide promptly identified and corrected by the significant idormation identified by a licensee prior to reliance by the NRC. or licensee no mally will be categorized before the NRC raised a question about based on the guidance herein. in Section the information, no enforcement action IV "Ses erity of Violations." and in will be taken for the initial inaccurate or Supplement VII.

incomplete information. On the other The Commission recognizes that oral hand, if the misinformation is identified information may in some situations be after the NRC relies on it, or after some inherently less reliable than written question is raised regarding the submittals leecause of the absence of an accuracy of the information, then some j

opportunity for reflection and enforcement action normally will be management review. Ilowever, the taken even if it is in fact corrected.

j Commission must be able to rely on oral flowever. if the initial submittel was communicatons fromlicensee officials accurate when made but later turns out concerning significant information.

to be enoneous because of newly Therefore, in determining whether to discovered information or advance in L

take enforcement action for an oral technology, a citation normally would

(

statement consideration may be given not be appropriate if, when the new

'l 1

March 31,1993 (reset) 2-96

.. ~

4 PART 2 o RULES OFPRACTICE FOR DOMESTK UCENSING PROCEEDINGS ~

X. Enforcement Action Agalnst Non-XI. Referrals to the Department of Supplement 1-Reactor Operations mensca justic*

nis supplement provides examples of The Commission's enforcement pobey Alleged or suspected criminal violations in each of the five severity is also applicable to non-licensees, violations of the Atomic Energy Act levels as guidance in determining the including employees oflicensees, to (and of other relevant Federallaws) are appropriate ses erity level for violations contractors and subcontractors, and to referred to the Department of justice in the area of reactor operations.

emplo)ees of contractors and (DOJ) for investigation. Referral to the A SeverityLevell-Violations subcontractors, who knowingly provide DOJ does not preclude the NRC from involving for example:

components, equipment. or other goods taking other enforcement action under

1. A Safety Limit, as defined in 10 CFR or service s that relate to a licensee's this policy. Ilowever, enforcement 50.36 and the Technical Specifications activities subject to NRC regulation. he actions will be coordinated with the being exceeded; prohibitions and sanctions for any of DOJ in accordance with the

2. A system ' designed to prevent or these persons who engage in deliberate Memorandum of Understanding mitigate a serious safety event not being misconduct or submission ofincomplete between the NRC and the DOJ. 53 FR able to perform its intended safety or inaccurate information are provided 50317 (December 14,1988)-

function ** when actually called upon to in the ru!e on deliberate misconduct.

e g.10 CFR 30.10 and 50 5.

XII. Public Disclosure of Enforcement work; Vendors of products or serdces ActI""'

3. An accidental criticality; or provided for use m nuclear activities are Enforcement actions and hcensees.

4. A licensed operator at the controls subject to certain requirements designed responses, in accordance w,th 10 CR of a nuclear reactor, or a senior operator i

to ensure that the products or services 2.790, are publicly available for directing licensed activities, involved in supphed that could affect safety are of inspection. In addition, press releases procedural errors which result in or g

high quabty.Through procurement g are generally issued for orders and civil exacerbate the consequences of, an alert contracts with reactor heensees, a penalties and are issued at the same or higher level emergency and who, as a vendors may be required to hate quality b time the order or proposed imposition of $ result of subsequent testi assurance programs that meet

= the civil penalty is issued. In addition.

confirmed positise test result for drugs l

E apphcab!e requirements including 10 press releases are usuallyissued when a g ralc hol.

i e CFR part 50. appendix B. and 10 CFR proposed civil penalty is withdrawn or E. # 8#"##f E part 71 subpart 11. Vendors supplying substantially mitigated by some amount.

mvolvingi r example:

i M products or services to reactor.

press releases are not normally issued

1. A system designed to prevent or matenals and 10 CFR part 71 licensees for Notices of Violation that are not mitigate serious safety events not bem, g are subject to the requirements of to accompanied by orders or proposed civil able to perform its intended safety CFR part 21 regarding reporting of penalties.

function:

C^)

defects in basic components.

2. A licensed operator involved in the When ir.spections determine that XIll. Reopen.mg Closed Enforcement violations of NRC requirernents have Actens use. sale. or possession of illegal drugs or the consumption of alcoholic i

occurred. or that vendors have failed to If significant new information is beserages. within the protected area; or fulfill contractual commitments [e g.10 received or obtained by NRC which 3 A licensed operator at the control of CFR part 50. appendix B) that could indicates that an enforcement sanction a nuc! car reactor, or a senior operator adverse!3 affect the quality of a safety was incorrectly applied. consideration directing licensed activities, involved in sigmficant product or service, may be gisen, dependent on the procedural errors and who, as a result of enfortement action will be taken.

circumstances. to reopening a closed subsequent testing. receives a confirmed Notices cf Violation and civil penalties enforcement action to increase or positive test result for drugs or alcohol.

will be used as appropriate,forlicensee failures to ensure that their vendors decrease the severity of a sanction or to C Severity Levell//-Violations have prcpams that meet applicable correct the record. Reopening decisions irnolving for example:

will be made on a case by-case basis.

1. A significant failure to comply with requirements. Notices of Violation will be issued for vendors that violate 10 are expected to occur rarely, and require the Action Statement for a Technical the specific approval of the appropriate Specification Limiting Condition for CFR part 21. Civil penalties will be Deputy Executive Director.

Operation where the appropriate action imposed against individualdirectors or responsibie officers of a vendor was not taken within the required time, such as:

organiza5n who knowingly and conscious!y fail to provide the notice h)In a pressurized water reactor. in required by 10 CFR 21.21[b)(1) Notices the applicable modes, having one high-of Nonconformance will be used for i

vendors which fail to rneet commitments related to NRC activities.

L

\\

l

• The term 's) stem" as used in these sup;icments. mcludes adm.niseratne and managerial control systems. as nell as ph saat 3

sy stems.

• • *tntended safety fonction~' means the total safety funct on. and is not directed tow ard a loss of redundancy A loss of one subsystem does not Cj' defeat the intended safety function as lor:g as the ether subs > stem is operable.

2-97 March 31,1993 (rcset)

App. C Supp. I App. C Supp. II i

e PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS -

pressure safety injection pump D. Severity Lere/ /V-Violations Supplement 11-Part 50 Facility inoperab:e for a period in excess of that involving for example:

Constrs.ction allowed b the action statement;or 1 A less significant failure to comply is supplement provides examples of 3

(blIn a bahng water reactor, one with the Action Statement for a violations in each of the fae severity primary centainment isolation sahe Technical Specification Limitin8 lesels as guidance in determining the moperab:e for a period in excess of that Condition for Operation where the appropriate ses erity les el for violations allowed b the action statement.

appropriate action was not taken within in the area of part 50 facility 3

2. A sptem designed to present or the requi cd time, such as:

construction.

mitigate a serious safety event:

(a)In a pressurized water reactor, a A SeverityLesen-Violations (a) Not being able to perform its 5% deficiency in the required volume of invofving structures or systems that are intended Enction under certain r,; the condensate storage tank:or completed ' in such a manner that they conditions le g., safety system not M (b)In a bmling water reactor. one would not have satisfied their intended operab!e unless offsite power is g subs 3 stem of the two independent MSIV safety related purpose.

available. materials or components not g leakage control subsystems inoperable:

B, Sererity Lere/II-Violations environmentall> quahfied):or

2. A failure to meet the requirements involving for example:

(b) Being degraded to the extent that a of10 CFR 50.59 that does not result in a

1. A breakdown in the Quality detailed es a?uation w ould be required to Severity Level 1,11. or !!! violation:

Assurance (QA) program as exemplified

)

determine ns operabihty (e g,

3. A failure to meet regulatory by deficiencies in construction QA component parameters outside requirements that have more than minor related to more than one work activity approsed hmits such as pump flow niety or environmental significance; or (e.g, structural, piping, electrical.

rates. heat exchanger transfer

4. A failure to make a required foundations). These deficiencies I

character:stics, safety valve hit Licensee Esent Report.

norma!!y involve the licensee's feilure to setpomts. or s ah e stroke times);

E. Severity level F-Violations that conduct adequate audits or to take

{ 3 Inattentis eness to duty on the part bave minor safety or environmental prompt corrective action on the basis of an of hcensed personnel; significa nce.

In such audits and normally involve 5

4. Changes in reactor parameters that 5 multiple examples of deficient M cause unan*icipated reductions in 6 construction or construction of unknown margins of safety; 2 qualty due to inadequate program

5. A sigmficant failure to meet the implementation; or i

requirements of 10 CFR 50 59. including

2. A structure or system that is a failure sv.h that a required license completed in such a manner that it could amendment was not sought; have an adserse effect on the safety of ik A licensee failure to conduct operations.

adequate es ersight of s endors resulting

. CSeverityLevel///-Vi I ti ns in the ese c' products or services that mv Mng for example are of defect 2ve or indeterminate quahty

1. A deficiency in a licensee QA and that has e safety significance; pyoram for construction related to a

7. A break dc a n in the control of

'!ngle w rk activity (e g., structural.

licensed ectvites involving a number of pfpmg. electrical r f undations).This violations t'.ai are related (or, if sigruficant deficiency normally involves t kmers fadure to conduct isolated, tbt are recurring violations) that col:ecu ely represent a potentially 8te audits or to take prompt significant lack of attention or cometa.e achon on the basis of such carelessness toword hcensed audus. and normally involves trjultiple respons3iMes or exar ples of def.cient construction or c

ch n f un n wn quality due to

8. A bce. sed operator's confirmed positive test for drugs or alcohol that inadequate program implementation:

does not rewlt in a Severity Levell or 11

^ " " ' ' ' " '

"'I "

8 violation.

safe 4 requirements of a structure or

9. Equiprnent failures caused by system as a result of inadequate inadeq F

8'**

that su,uate or improper maintenance implemen ation; or ustantially ccmplicates recos ery from a plant transient.

I l

The term " completed" as veed in this purglement meer:s completion of coristruction induir.g renen am nceptanta t.y the wniNtion QA organization.

,b March 31,1993 (reset) 2-98

. App. C Supp. II App. C Supp,III PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

3. A faiture to meLe a required to Cnt C SeverityLeveilll-Violations

8. A breakdoivn in the security

/,. '3 50.5slel report involving for example:

program involving a number of

(*

D. Seventy Level /V-Violations

1. A failure or inability to control violations that are related (or. if -

involving failure to meet regulatory access through established systems or isolated, that are recurring violations) requirements including one or more procedures, such that an unauthorized that collectively reflect a potentially Quality Assurance Criterion not individual (i.e., not authorized significantlack of attention or amounting to Ses erity Levf 1. !!, or !!!

unescorted access to protected area) carelessness toward licensed violations that have more than minor could easily gain undetected access '

responsibilities.

s safety or environmental significance.

into a vital area from outside the D. Severity LevelIV-Violations E Seventy Level F-Violations that protected area; involving for example:

have minor safety or environmental

2. A failure to conduct any search at

1. A failure or inability to control significance.

the access control point or conducting access such that an unauthorized an inadequate search that resulted in individual (i.e, authorized to protected Supplement III-Safeguards the introduction to the protected area of area but not to vital area) could easily This supplement provides examples of firearms, explosives, or incendiary gain undetected access into a vital area violations in each of the five seserity devices and reasonable facsimiles from inside the protected area or into a levels as guidance in determining the thereof that could significantly assist controlled access area; appropriate severity les el for violations radiological sabotage or theft of

2. A failure to respond to a suspected in the area of safeguards.

strategic SNM:

event in either a timely manner or with A. Severi.'y Levell-Violations

3. A failure, degradation, or other an adequate response force; ins olvirtg for example:

deficiency of the protected area

3. A failure to implement 10 CFR parts

1. An act of radiological sabotage in intrusion detection or alarm assessment 25 and 95 with respect to the -

which the security system did not systems such that an unauthorized information addressed under section 142 function as required and, as a result of individual who represents a threat could of the Act.and the NRC approved g the failure there was a significant event, g predictably circumvent the system or security plan relevant to those parts:

]

e such as:

3 defeat a specific zone with a high degree

4. A failure to make, maintain, or i

cc (a) A Safety Limit, as defined in 10 g of confidence without insider provide log entries in accordance with I CFR 50.36 and the Technical knowledge, or other significant 10 CFR 73J1 (c) and (d), where the e-1

• Specifications, was exceeded; degradation of overall system omitted information (i)is not otherwise i

[b] A system designed to prevent or capability; g available in easily retrievable records,

)

mitigate a serious safety event was not

4. A significant failure of the e and (ii) significantly contributes to the able to perform its intended safety safeguards systems designed or used to $ ability of either the NRC or the licensee function when actua!!y called upon to prevent or detect the theft, loss, or y to identify a programmatic breakdown; work: or diversion of strategic SNM;

5. A failure to conduct a proper search (c) An accidental criticality occurred;

5. A failure to protect or control at the access control point; l

2. The theft. loss, or disersion of a classified or safeguards informa tion

6. A failure to properly secure or i

formula quantity " of special nuclear considered to be significant while the protect classified or safeguards material (SNM): or information is outside the protected area information inside the protected area I

3. Actual unauthorized production of a and accessible to those not authorized which could assist an individualin an formula quantity of SNM access to the protected area; act of radiological sabotage or theft of B. Screrity Lerell/-Violations

6. A sigmficant failure to respond to strategic SNM where the information i

involving for cxample:

an event either in sufficient time to was not removed from the protected f

1. The entry of an unauthorized provide protection to vital equipment or area; i

individual *

• who represents a threat strategic SNM, or with an adequate

7. A failure to control access such that into a vital area 8* from outside the response force:

an opportunity exists that could allow i

protected area: or

7. A failure to perform an appropriate unauthorized and undetected access i

2. The theft, loss or diversion of SNM evaluation or background investigation into the protected area but which was so that information relevant to the neither easily or likely to be exploitable:

of modcrate strategic significance 's n which the s.ecurity system did not access determination was not obtained

8. A failure to conduct an adequate i

function as required, or or considered and as a result a person.

search at the exit from a material access

3. Actual unauthorized production of who would likely not have been granted area:

SNM.

access by the licensee. if the required

9. A theft orloss of SNM oflow I

investigation or evaluation had been strategic significance that was not j

performed. was granted access; or detected within the time period 2

specified in the security plan, other

)

relevant document, or regulation; or

10. Other violations that have more I

3

" See 20 OT 72 2 for the definit.on of formate than minor safeguards significance.

9"'"n'"F ~

E Severity Lerel V-Violations that u e ser.a anauthomed indmdual as used in hve minor safeEuards si nificance.

8 this supp!,mest sr. cans somecms who was not authorized far entrance into the area in question. or not authomed to enter m the manner entered.

" ne phra se ~ vital area ~ as used in this sup;.tement arJudes vital areas and materief access areas-

" In determining mhether access tan t.e easdy 88 See to cn 73 2 fe the defmetion of"special gained. factors such as predictabitny. identiriabihty.

k'.

and ene of passage should be considered.

nuclear matemtof moderate stratesic sismfearete~

2-99 March 31,1993 (reset)

i App C Supg IV Apg CSupo IV PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS-Supplement TV-Ilealth Physics (10 CFR C. Screrity LevelIll-Violations D. Severitylevel/V-Violations Part 20) involving for example:

involving for example:

N This supp!cment provides examples of

1. A single exposure of a worker in

1. E*Posures in excess of the limits of violations m each of the fae severity excess of 3 rems of radiation to the 10 CFR 20101 not constituting Seserity lesels as guidance in detemining the whole body. 7.5 rems to the skin of the Levell. II or III violations:

l appropriate ses crity lesel for violations whole body, or 1875 rems to the feet.

2. A radiation levelin an unrestricted in the area of health physics.10 CFR ankles. hands or forearms; area such that an individual could part 20 87. Examples A through E are

2. A radiation levelin an unrestricted receive greater than 2 millirem in a one.

provided to accompany li 20.1-20401.

area such that an individual could hour period or 100 millirem in any seven Examples F through j are provided to recrise greater than 100 millirem in a c nsecutive days:

accompans 11201N1-20 2401.

one hour period or 500 millirem in any

3. A failure to make a 30. day seven consecutive days; n t$ cation mquired by 10 CFR 20.405; I

Sect. ions 201-20.601

4. A failure to make a follow-up written report as required by 10 CFR A. Scienry Les elI_Yiolations no f ca i n as e red 0CFR

+0 402(b). 20 408, and 20 409; or irn olving for example:

20 403(b). or an immediate notification

5. Any ot er matter that has more

1. A smg!e exposure of a workerin required by 10 CFR 20 402(a)--

than minor safety or environmental utess of 25 rems of radiation to the

( A substantial potential for an significance.

i whole body.150 rads to the skin of the r release in excess of to CFR E Severity Level V-Violations that n p sure whole body, or 375 rads to the feet, part 20 whether or not such exposure or have minor safety or environmental ankles hands. or forearms.

2. An annual whole body nposure of significance.

5 Ar ca e a member of the pubhc in excess of 2.5 Sections 20.2001-20.2401 gd ie s of rems of red.ation:

o R 20m F SemitW6Vio!Miom

3. A release of radmactive mater alI

6. An improper disposal of licensed involving for example:

an unrestncted area in euss of ten r,; material not covered in Severity Levels I

1. A radiation exposure during any times the Lrmis of to CR 2010G :

M or R year of a worker in excess of 25 rems g 4 Disposal oflicensed materialin

7. An exposure of a worker in t tal effective dose equivalent. 75 rema m quantities or contentrations in escess of *E restricted areas in excess of the limits of IO the lens of the eye. or 250 rads to the

$ ten times the limits of 10 CR 20 303; or 10 CFR 20103;

s m I the whole body, or to the feet.

M

5. An exWsure of a worker in

8. A release for unrestricted use of g ankles, hands or forearms or to any restricted arras of ten times the limits of contaminated or radioactis e material or g other organ or tissue; 10 CFR 20103.

equipment that poses a realistic R

2. A radiation exposure over the B. Scienty Levelll-Violations potential for significant nposure to e gestation period of the embryo / fetus of ins olvir g for exomple:

members of the public, or that reflects a a declared pregnant woman in excess of l

I

1. A single exposure of a worker in programmatic (rather than isolated) 2.5 rems total effective dose equivalent; ncess of 5 rems of radiation to the w eakness in the radiation control

3. A radiation exposure during any

} * *' I" *in r in excess of 2.5 rems whole body. 30 rems to the son of the program; whole body. or 75 rems to the feet.

9. A cumulative worker nposure t %I effective dose equivalent. 7.5 rems 8 the lens of the eye, or 25 rems to the ank!es. hands or forearms:

abose regulatory limits when such sk.m of the whole body, or to the feet,

2. An annual whole body exposure of cumulatise aposure reflects a es. hands or forearms, or to any an a member of the public in excess of 0.5 Prograrnmatic, rather than an isolated rems of radiation.

w eakness in radiation protection;

! u rgan or dssue;

10. Conduct of bcensee activities by a

( An annual exposure of a member of

3. A release of radioacthe material 1 technit ally unquahfied person; the pab!ic in ucess of 1.0 rem total an unrestricted area in excess of fise

11. A significant failure to control effecth e dose equivalent:

times the bmits of10 CR 2010e hcensed materiah or

5. A release of radioactise material to

4. A failure to make an immediate

12. A breakdown in the radiation an unrestricted area at concentrations in ncess of 50 times the limits for notification as required by lo CR 20 403 safety program involving a number of (a)(1) and (a);2):

violations that are related (or,if members of the public as described in to

5. A disposal of bcensed materialin isolated, that are recurring) that CR 201302(b)(2)(i): or 6.

sposal of hcensed materialin quantities or concentrations in excess of collectively represent a potentially quantities or concentrations in excess of in e times the hmits of 10 CR 20 303; or significant lack of attention or to times the limits of to CFR 20.2003.

6. An es;csure of a worker in carelessness toward licensed restricted areas in excess of fne times responsibilities.

. C. Severity Lere/ ff-Violations ng for nampk m

the limits of 10 CFR 20.103.

1. A radiation nposure during any year of a worker in cxcrss of 10 rems total effective dose equivalent. 30 rems to the lens of the eye. or 100 rems to the skin of the whole body.or to the feet, ankles, hands or forearms. or to any o

organ or tissut

" Pe rsonne? cw ere nosures and asmated wolations mw ed dareg a 1.fc sums or other

2. A radiation exposure over the o merync) res;nse eIIort mt! t.e treated on a case-gestation period of the embryo / fetus of e r f rev4 to the hmits of 10 Cl) 20100 as used m this sypement thems A 3 B 3. and C 5) 1.0 rem total effectae dose equivalent:

d ars not app!) m the i rA generaD) app 1katAe environmenta! **d.ata#n s'andards mentmned in

$ 2010%gl FAarch 31s 1993 (reset) 2-100

App. C Supp.1Y App,C Supp. V

~

PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS m

3. A radiation exposure during any

7. A failure to make a 24. hour

3. A radiation dose rate in an year of a minor in excess oil rem total notification required by 10 CFR unrestricted or controlled area in excess (l

effective dose equivalent: 3.0 rems to the 20 2202(b) or an immediate notification of 0402 rem in any 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> (2 millirem /

lens of the eye, or 10 rems to the skin of required by 10 CFR 20.2201(a)(1)(i);

hour) or 50 millirems in a year; l

the whole body, or to the feet, onkles.

8. A substantial potential for

4. Failure to maintain and implement hands or forearms. or to any other organ exposures or releases in excess of the radiation programs to keep radiation or tissue:

applicable limits in 10 CFR part 20 exposures as low as is reasonably J

4. An annual exposure of a member of 1i 20.1001-20:401 whether or not an achievable:

the pubbc in excess 010 5 rem total exposure or release occurs:

5. Doses to a member of the public in effective dose equivalent:

9. Disposal of licensed material not excess of any EPA generally applicable

5. A re case of radioactive material to covered in Severity Levels I or II; environmental radiation standards, such an unrestncted area at concentrations in

10. A release for unrestricted use of as 40 CFR part 190;

[

excess of 10 times the limits for contaminated or radioactive material or

6. A failure to make the 30-day members of the public as described in 10 equipment that poses a realistic notification required by 10 CR CFR 20.1332(b)(2)(illexcept when potential for exposure of the public to 20.2201(a)(1)(ii) or 20.2203(a):

operatioc up to o.S rem a year has been levels or doses exceeding the annual

7. A failure to make a timely written approsec by the Commission under dose limits for nwmbers of the public, or report as required by 10 CFR 20.2201(b).

I 20.1301(c));

6. Disposal of licensed material in that reflects a programmatic (rather than 20.22D4 or 20.2206; or an isolated) weakness in the radiation IL Any other matter that has more quantities or concentrations in excess of five times the limits of to CFR 202003; control program-than a minor safety, health, or

11. Conduct of licensee activities by a environmental significance.

7. A faih:re to make an immediate technically unqualified person;

/ SeverityLevel V-Violations that notificat.:on as required by 10 CR

12. A significant failure to control are of a minor safety, health, or lict nsed material: or environmental significance.

20 2202 (a )(1) or (a)(21'l-Viola tions

1. SescrityLeveill

13. A breakdown in the radiation involving for example:

safdy program involving a number of Supplement V-Transportat. ion i Idions that are related (or,if This supplement provides examples of

1. A raciation exposure dunng any gn isolated. that are recurring) that E violations in cach of the five severity i

g 3 ear of a workerin excess of 5 rems

$ collectisely represent a potentially S lesels as guidance in determining the total effectis e dose equivalent.15 rems to the lens of the eye, or 50 rems to the I significant lack of attention or 6 appropriate severity level for violations g

.n skm of the whole body or to the feet,

• carelessness toward licensed M in the area of NRC transportation ankles hands or forearms. or to any responsibilities.

requirements 88

1. Severity level /V-Violations A SeverityLevell-Violations C/

's 2 A ra:" a o xp sure over the invoIrin8 er mmple:

Involvin8I r example:

I gestatioc period of the embryo / fetus of

1. Expoi ures in e/ cess of the limits of

1. Failure to meet transportation to CTR 20.1201,20 a declared pregnant woman in excess of c nshtuting Seven;12ti, or 201208 not requirements that resulted inloss of ty W1 h H.or m control nf radioactive material with a 0.5 rem t:tal effective dose equivalent

[except when doses are in accordance e lanom; breach m package mtegnty such that the with the provisions of i 201208(d)).

2. A re' ease of radioactAc maten,al to matenal caused a radiation exposure to

3. A raiation exposure during any an unrestricted area at concentrations in a member of the public and there was year of a minor in excess of 0 5 rem total excess of the limits for members of the clear potential for the public to receive effectne dese equisalent:1.5 rems to the pu e as referenced in 10 CFR more than 1 rem to the whole body; i

leas of ee ese, or 5 rems to the skin of 201302(b)(2)(i)(except when operation

2. Surface contamination in excess of the w hMe body, or to the feet. ankles upt 0.5 rem a year has been approved 50 times the NRC limit; or hands or facarms.or to any other organ by the Commission under i 201301(c));

3. External radiation levels in excess or tissue; of to times the NRC limit.

4. A werier exposure above

. B. Severity lereill-Violations regulatory bmits when such exposure multing or example:

reflects airogrammatic (rather than an

1. Failure to meet transportation isolatedl m eakness in the radiation requirements that resulted in loss of control pmgram; control of radioactive material with a

5. An annual exposure of a member of breach in package integrity such that the public in excess of o1 tem total there was a clear potential for the effective dose equivalent (except when member cf the public to receive more operatio ::p to 0.5 rem a year has been than.1 rem to the whole body; approsed b) the Commission under Surface contammation in excess of I 20.1301(c));

10. but not more than 50 times the NRC

6. A re'. ease of radioactive material to limit:

3. External radiat,on levels in excess an unres*<cted area at concentrations in i

excess of :w o times the effluent oUne.ht not more than 10 times the concentradon limits referenced in 10

• 0#

CFR 201M2(b)[2)(i)(except when operation up to 0.5 rem a } ear has been

Sam *n'Podaban requama'm errhed aEErosed b} the Commission under

'*""'**""h'*"'"'"d*'h'*'*'

f 20.1301(c)};

actm?) such as a shipper and a carr;er. When a nota,,on of such a regmrement occurs. enforcement schon mt! he directed ogomst the responuble hcenue which. under the circumstances of the case.

mas be one or more of ihr hcensees muhed a

2 101 March 31.1993 (reset)

App. C Supp. V PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS... p'p.CSup A

w.

4 A We to make required initial Supplement VI-Fuel C cle and

7. A breakdown in the control of 3

notifica: ions associated with Sn erity Materials Operations licensed activities involving a number of Les el I or 11 nolations.

M WM

% nWn d yiolations that are related (or,if C Set em Leiell//-Violations irn oh mg f= eump!e:

uolations m each of the five seventy is lated. that are recurring violations) les els as guidance in determining the that cotectively represent a potentially

'I *b"'I"E "I""*"" " '

1. Surface contamination in excess of appropriate ses enty les el for violations S

fae but ne more than 10 times the NRC m the area of fuel cycle and materials C"#*'"'""'.t ward licensed limit:

operations.

resp ns bilities:

2. Externi radiation in excess of one A. Severity Levell-Violations

8. A failure, during radiographic but not mon than fae times the NRC involving for example:

perations. to have present or to use limit:

1. Radiation levels, contamination radiographic equipment, radiation

3. Any nmcompliance with labeling,

!ctels. or releases that exceed 10 times survey instruments, and/or personnel placarding shipping paper, packaging, the limits specified in the license:

momtoring devices as required by 10 loading or ether requirements that could

2. A system designed to prevent or CFR part 34:

reasonab! result in the following:

mitigate a serious safety esent not being

9. A failure to submit an NRC Form 3

(a) A sig.ficant failure to identify the operable when actually required to 241 in accordance with the requirements type. quanta. or form of material:

perform its design function:

m i 153 20 of to CFR part 150: or (b) A fade of the carrier or recipient

3. A nuclear criticality accident; or

10. A failure to receive required NRC to exercue a dequate controls; or

i;

4. A failure to follow the procedures of approval prior to the irnplementation of (c) A sastantial potential for either g e qua managunent pmgrant ga ange n cens ac n at has personnel esposure or contamination Erequae yi

, atrn ma p

gical or pmgrammaW death or serious injury [e g., substantial w sigmficance, such as. a change in abos e regatory limits or improper M

transfer of rateriag..

organ impairment) to a patient.

% ownership: lack of an RSO or

4. A faL.e to make required initial B. Ses erity Leveill-Violations replacement of an RSO with an involving for exampler unquahfied individual; a change in the notificatior asgociated with Seventy inelIll n:.ations or

1. Radiation les els, contamination location where licensed activities are levels. or releases that exceed five times being conducted or where licensed

5. A breasdown m the licensee's the limits specified in the license:

materialis being stored where the new pprogram for *he tramportation of

2. A system designed to present or facilities do not meet safety guidelines:

glicensed ma orialinvolving a number of mitigate a serious safety event being or a change in the quantity or type of l

t n lau ns tsat are related (or,if inoperable: or radioactive material being processed or misolated. that are recurring violations) l used that has radiological significance.

that conectaely reflect a potentially

{~>3. A substantial programmatic failure

. D. Sn erity Leie/IV-Violations significantlack of attention or l

carelessness toward licensed

&in the implementation of the quality mvoh-ing for example:

responsibdmes.

E management program required by 10

1. A failure to maintain patients l

D Serea rLere/IV-Vio!ations g CFR 35.32 that results in a hospitalized who have cobalMO.

l involving for nample:

g misadministration.

cesium-137, or iridium-192 implants or to

1. A breach of package integrity c nduct required leakage or i._

without e xtemal 1adiation les els c ntandnanon tuts, or to use pmputy I

exceeding the NRC limit or without

. C Sci enty Leveilll-Violations calibrated equipment; l

contaminatan les els exceeding five lving for nample:

2. Oder violations that have more i

times the NF C limits:

Aa re t c ntml amss to than inor safety or environmental licensed materials for radiation signifiance; or

2. Surface contammation in excess of but not mc,re than five times the NRC purposes as specified by NRC limit:

requirements,

2. Possession or use of unauthorized

> 3. Failure to follow the quality

3. A fa!!.; e to register as an equipment or materials in the conduct of management program, including authorized uer of an NRC-Cer*ified li; licensee activitio which degrades pr cedures, whether or not a l

Transport p+ d age:

S safety; misadministration occurs, provided the i

4. A nonccc pliance with shipping E

3. Use of radioactive material on failures are isolated, do not demonstrate l

papers. rnading labeling. placarding E humans where such use is not

& a pmgrammatic weakness m the packaging cr loadmg not amounting to a authorized:

@ implec:entation of the QM program,and Ses erity Le.el 1. II. or !!! vio!ation:

4. Conduct of 1, censed activities by a e have limited consequences if a

5. A faih. e to demonstrate that technically unqualified person:

I misadministration is involved; failure to packages fc specialform radioactise

5. Radiation les els, contamination

• condud the required program review; or material mees applicable regulatory leve4, or releases that e ueed the limits failure to take corrective actions as requirements:

specified in the license; required by 5 35.32: or

6. A failure to demonstrate that packages rrect DOT Specifications for h 6. Substantial failure to implement

(~~ 4. A failure to keep the records 7A Type A pd ages; or the quality management program as i

7. Other dations that base more g required by $ 35.32 that does not result g acquired by il 35.32 or 35.33.

l than minor ufety or environmental 2 in a misadministration; failure to report E Snerity Lerel V-Violations that e

significance.

} a misadministration; or programmatic E have rr.:nor safety or environmental E Senrity In c/ V-Violations that wealness in the implementation of the M signifiance.

a has e minor s.afety or environmental E uality management program that l

q significance.

results in a misadministration.

k April 30,1993 2-102

, App. C Supp. VII App. CSupp. VII PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS ~

' Sup'plement VII-Miscellaneous Matters B. Severity Levelll-Violations C. Severity Level ///-Violations Th.is supplement provides examples of involving for example:

involving for example:

/

violations in each of the five seventy

1. Inaccurate or incomplete

1. Incomplete or inaccurate levels as gusdance in determmmg the information that is provided to the NRC information that is provided to the NRC appropriate severity lesel for violations (a) by a licensee official because of (a) because of inadequate actions on the mvolving miscellaneous matters.

careless disregard for the completeness part oflicensee officials but not A. Severity level 1-Violations or accuracy of the information, or (b)if amounting to a Severity Levell or 11 the information. had it been complete violation, or (b) if the information, had it involving for example:

and accura?. at the time provided,likely been complete and accurate at the time

1. Inaccurate or incomplete would ha,e resulted in regulatory action provided. likely would have resulted in -

information " that is provided to the such as o show cause order or a a reconsideration of a regulatory NRC (a) deliberately with the diffuen' regulatory position:

position or substantial further inquiry knowledge of a licensee official that the

2. Incimplete or inaccurate such as an additionalinspection or a information is incomplete or inaccurate, informt tion that the NRC requires be formal request for information or (b) if the information, had it been kept b a licensee which is (a)

2. Incomplete or inaccurate 3

complete and accurate at the time incomplete or inaccurate because of information that the NRC requires be provided, likely would have resulted in careles 4 disregard for the accuracy of kept by a licensee that is (a) incomplete regulatory action such as an immediate the infarmation on the part of a licensee or inaccurate because ofinadequate order required by the public health and official, or (b) if the information. had it actions on the part of licensee officials sa fety.

R been complete and accurate when E but not amounting to a Severity Levell E

2. Incomplete or inaccurate

• reviewed by the NRC. likely would have 5 or 11 violation, or (b)if the information.

• information that the NRC requires be w resulted in regulatory action such as a E had it been complete and accurate when E kept by a licensee that is (a) incomplete 2 show cause order or a different 2 reviewed by the NRC likely would have 2 or inaccurate because of falsification by regulatory position:

resulted in a reconsideration of a or with the knowledge of a licensee

3. "Significant information identified regulatory position or substantial further official, or (b) if the information. had it by a licensee" and not provided to the inquiry such as an additionalinspection q

been complete and accurate when Commission because of careless or a formal request for information:

reviewed by the NRC. likely would have disregard on the part of a licensee

3. A failure to provide "significant resulted in regulatory action such as an official; information identified by a licensee" to immediate order required by public

4. An action by plant management the Commission and not amounting to a l

health and safety considerations:

above first line supervision in violation Severity levelI or !! violation:

3. Information that the licensee has of to CFR 50.7 or similar regulations

4. An action by first-line supervision identified as having significant against an employee; in violation of to CFR 50.7 or similar implications for public health and safety

5. A failure to provide the notice regulations against an employee;

["

or the common defense and security required by 10 CFR part 21:

5. An inadequate review or failure to

("signifiren information identified by a B. A failure to remove an individual review such that,if an appropriate

(

e licensee") and is deliberately withheld from unescorted access who has been review had been made as required, a to from the Commission; involved in the sale, use, or possession CFR part 21 report would have been

4. Action by senior corporate of illegal drugs within the protected area made; management in violation of to CFR 50.7 or tale action for on duty misuse of

6. A failure to complete a suitable or similar regulations against an alcohol, prescription drugs or over-the-inquiry on the basis of10 CFR part 26.

employee:

counter drugs:

keep records concerning the denial of

5. A knowing and intentional failure

7. A failure to take reasonable action access or respond to inquiries to provide the notice required by to CFR when observed behavior within the concerning denials of access so that, as part 21: or protected area or credibic information a result of the failure, a person

6. A failure to substantially implement concerning activities within the previously denied access for fitness-for-the required fitness for-duty program.88 protected area indicates possible duty reasons was improperly granted unfitness for duty based on drug or access; alcohol use; or

7. A failure to take the required action

8. A deliberate failure of the licensee's for a person confirmed to have been Employee Assistance Program (EAP)to tested positive for illegal drug use or notify licensee's management when take action for onsite alcohol use: not EAP's staffis aware that an individual's amounting to a Severity Levell!

condition may adversely affect safety violation:

related activities.

a. A failure to assure as required, that contractors or vendors have an effective a h arplyms the esamples m Ne surptemeni "Ed*8 **cc**'e a' in'omP e'e Sf6rmat on and fitness-for-duty program: or l

retords. refererer should also 1,e made to th'e

9. A breakdown in the fitness-for-duty guidente in Secum IX. " Inaccurate and 1ncomp!cte pgram indng a numb d Information.* and to the dermilion of"lacensee violations of the basic elements of the africist" contamed m s.cton ivt fitness-for-duty program that H he esarrq4e for wolatens for fitness-for duty CoIlectiVeIy refleCl a significant laCh of retaie to Wotatmes of so cnt pari 26.

attention or carelessness towards meeting the objectives of 10 CFR 26.10.

(

2-10 3 March 31,1993 (reset)

$pp. CSupp. 4TI

. App.CSupp. VIII PART 2 o RULES OF PRACTCE FOR DOMESTIC UCENS!NG PROCEEDif4G3...

D. Severityhrel/V-Violations l

A. Sererity Lerell-Violations involving for example:

involving for example:

1. Incomplete or inaccurate in a general emergency, licensee Q

information of more than minor failure to promptly (1) correctly classify

(

significance that is provided to the NRC the event. (2) make required but not amounting to a Severity level 1.

notifications to responsible Federal.

!!. or III violation:

State and local agencies, or (3) respond

2. Information that the NRC requires to the event (e-g., assess actual or be kept by a beensee and that is potential offsite consequences, activate incomplete or inaccurate and of more emerFency response facilities, and -

than minor significance but not augment shift staff.)

amounting to a Severity level 1.11. or 111 B. Severity LevellI-Violations violation involving for example:

l

3. An inadequate review or failure to in a site emergency, licensee failure to review under 10 CFR part 21 or other promptly (1) correctly classify the event, procedural violations associated with to

[2] make required notifications to -

l CFR part 21 with more than minor safety responsible Federal. State. and local

significance

h (agencies, or (3) respond to the event i

3

4. Isolated failures to meet basic e.g assess actual or potential offsite -

E elements of the fitness-for-duty program g consequences, activate emergency

^

g not invohing a Severity Level I,11. or 111 s response facilities, and augment shift violation; or staff). or

5. A failure to report acts oflicensed

2. A licensee failure to meet or operators or scpervisors pursuant to 10 implement one emergency planning l

CFR 26J3.

standard involving ast,essment or E. Severity kvel V-Violationa notification: or involving for example:

C. Sererity Leveilli-Violations l

1. Incomplete or inaccurate involvingfor enample:

information that is provided to the in an alert. licensee failure to Commission and the incompleteness or promptly (1) correctly classify the event.

inaccuracy is of minor significance:

(2) make required notifications to

2. Information that the NRC requires responsible Federal. State. and local be kept by a licensee that is incomplete agencies, or (3) respond to the event or inaccurate and the incompleteness or (e.g., assess actual or potential offsite.

f inaccuracy is of minor significance; consequences, activate emergency.

T s

3. Minor procedural requirements of response facilities and augment shift 7

10 CFR part 21 or staff);

4. Minor violations of fitness-for. duty

2. A licensee failure to meet or requirements.

implement more than one emergency Supplement VIII-Emergency planning standard involving assessment Preparedness or n Uficahon.

3. A breakdown in the control of This supplement provides examples of licensed activities involving a number of violations in each of the five seserity violations that are related (or,if levels as guidance in determining the isolated. that are recurring violations) j appropriate severity level for violations that collectively represent a potentially m the area of emergency preparedness.

significant lack of attention or

-j

!! should be noted that citations are not carelessness toward licensed j

normally made for violations involving responsibilities.

emergency preparedness occurring D. Severity LevelIV-Violations during emergency exercises. Ilowever, involving for example:

where exercises reveal (i) training.

A licensee failure to meet or procedural, or repetitive failures for implement any emerEency planning which correcta e actions have not been standard or requirement not directly taken. (ii) an everall concern regarding related to assessment and notification.

the licensee's ability to implement its E. Screrity Level V-Violations that plan in a manner that adequately have minor safety or environmental protects pubhc health and safety, or (iii) significance, poor self critiques of thelicensee's exercises enf arcement action may be appropriate.

[t March 31,1993 (reset) 2-104

,,