ML20059N121

Forwards NRC Enforcement Policy & Fr Notice Re Proposed Rule Concerning Actions Against Nonlicensees Causing Violations of NRC Requirements Through Willful Acts

ML20059N121
Person / Time
Issue date:	09/20/1990
From:	Mckee P Office of Nuclear Reactor Regulation
To:	Curtis I EQUIFAX, INC.
References
FRN-53FR40019, FRN-55FR12374, RULE-PR-150, RULE-PR-2, RULE-PR-30, RULE-PR-40, RULE-PR-50, RULE-PR-60, RULE-PR-61, RULE-PR-70, RULE-PR-72 NUDOCS 9010100133
Download: ML20059N121 (24)

Text

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UNITED STATES NUCLEAR REGULATORY COMMISSION j

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Sept. 20,1990 i

Idetta K. Curtis, ARM Manager, Risk Analysis l

Equifax, Inc.

1600 Peachtree Street, N.W.

Atlanta, Georgia 30302

Dear Ms. Curtis:

In response to thq questions contained in your letter of August 6, 1990, ! have enclosed two documents. The first document is a copy of the NRC's Enforcement i

Policy. The secord document is a Federal Register Notice dated April 3,1990, regarding a proposed rule concerning actions against non-licensees who cause licensees to be in violation of NRC requirements through willful acts, e

The NRC's Enforcement Policy only applies to persons holding licenses issued by the NRC. The statuary authority for civil penalties is $100,000 per violation per day. Supplement III of the policy provides guidance for determining the severity level of violations in the security area. Tables 1A and IB are used to determine the base civil penalty for the violation.

l Although Supplement III does not include an example for inadequate access being granted to a person later determined to not be suitable for that access, there may be circumstances where this would be considered a Severity Level III l

violation for which the base civil penalty for a power reactor is $50,000.

If the violation is determined to be the result of a willful act, the severity i

level could be raised on that basis and the matter could be referred to the Department of Justice for criminal prosecution.

There is a process for licensees to appeal civil penalties issued by the NRC.

I However, the NRC does not provide for appeals of civil penalties by i

non-licensees even if the licensees subsequently pass on to their subcontractors the costs of the civil penalties.

l If the proposed rule concerning willful misconduct becomes a final rule, at that time the NRC could issue civil penalties or orders to non-licensees such as ycur company. This new authority would be accompar/ed by a process through l

which the sanctions could be appealed.

In response to your question concerning the jurisdiction of other government.

agencies to issue civil penalties, the NRC is the only agency with jurisdiction i

l over security at commercial nuclear power plants.

However, if the violations

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involved willful or criminal acts,1ther agencies may have jurisdiction in those areas.

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Idetta K. Curtis I trust that our response has been responsive to your request.

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Sincerely,

/ 6 Phillip F. McKee, Chief I

Reactor Safeguards Branch Division of Reactor. Inspection and Safeguards Office of Nuclear Reactor Regulation l

Enclosures:

As stated

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Document Name: LTR FOR IDETTA K. CURTIS l

1

PART 2's ZULES CF PRACTICE FOR DOMESTIC LICENSIZG PROCEEIGS Inoinni,,

l. Introduction and Purpose etarditmus artmn on the petitions. In i copics of Nt*ImbR-4m3 Nt MG/liR.

The purposie of the NRC enforcement addition. the Handbook notes general msa and NUkl.G!CH-ases mas be purchased prograrn is to promote and protect the scheduhng advice that proposed rules to through the l' 5 Gtwerriment Prmting Office radiological health and safety of the grant petitions should be pubbshed in f-19 tallms (20012?5-2ano or bs wr Ims to the pubhc. includmg employers' health and 12 months after act eptant.c and

{',""y('3l""[*

safety, the common defent,e and pubbcation for cornment proposed ru!cs wdl be forw atded to the Commission on

.rnas also t.e purchased from the National security. and the environment by lechnualinformanon Scruu U S 1nsuring comphance with NRC a

e hmonth schedule to the estent I)cpartment of Commerte $185 Port kept regulations and hcense conditions:

permitted b) resource hmits. the nature Road spnngheid y A 22ttit Copirs ute

• Obtaimng prompt correctior, sf and estent of pubhc comments and audahic for mspertmn and/or copw fe a violations and adserse quahts miernal Control of Rulemakings fee m the NkC Put ht thu ument Root 1?t?

condaions which may afled isletv.

procedures Rulemakmps intohing H b're' t NW mshmuton DC 20s55

, Deterring future violations an'd power re actors must be reurwed b) the

,, 'l]'],('

'y'j,'j"'lj;"el om>hd occurrences of conditons adserse to Committee on Rouen of Gener" kadmin tne wasier adopted luh itua quuhtn and Requirements prior to pubhcation-nicHP ea.hunon 26. Hecommendainins

• Encouragmg improsoment of proposed rules involvmg reactors w di of the. internationed Commiumn on licensee and sendor " performance. and therciote be foruded to the Radiologn.sl Proice Imn." adopted lanua91?.

b) esurnple, that of industr), includmg Commission on a omonth scheduk in 19 ? Icke Puhh< nimn 30. tamus for intake the prompt identification and reporimg the extent permitted by resources, of Radumudub4 li> Worker J adoP'ed lul) of poiential safety problems comments. and approsal procedures in 19

's document Consistent with the purpose of this both cas.es. eser) eff of t will h made to N

M sw pr a prompt and vigorous pubbsh proposed rules no later than 1' him -awic A trelaimp to 10 CF H Part 20) enforcement actmn will be taken when months af ter noticing for pubhc daied % 3.1*uts m the Commnoion's denhng with htensees or sendors who tommet t-Publu thu unwnt ihmm I?l? 11 Street NW.

do not achieve the riccrasary meticulous Although the procedures m part 11 of washington. DC 2nus The Umted Amsdom ettentmn lo detail and the high standard Nt' REG /liR-0053 include fast trau daruments ner as ailahte for sale from lier protesung the nature of the antaipated Mvsi) i hianoner) Offne P O Ihn 669 of comphance w hich the NRC expects.

petilmnk do not fulh compl) with the London SI:t 9 Nil limied Amgdom as Adine 1;ach enforcement action in dependent dec.iuon criterm to lollow. this dm ument AhP-? and a related technn al on the urcumstantes of the case and

~Ihe hymfuante of small thnen of requires the escrose of distretmn af ter O""M

kadialmn to Members of the Pubbt" NRPik-consideratwn of thetic pohcies and eg Some of the ke) features of the p3 s e procedures. In no case, howeser, wdl g handhng prin edures mclude the

• Copms of the Canadian dui.ument are

hrenu es who cannot achiese and a follow mg sieps for complete and fulls audable im m*pei tion as un endowre to G nenum udequate kuls of protedion i supported petitioni, bl Web m A l' elating to in CF H Pari 20)

E be permitted to conduct hcensed

L petitmners may cmfer on da'ed luh a te m the Commmmn's procedural matters with the staff before Pohtu Doc ument Roorn 1?!? It hucet NW.

Q nctn girs.

fehng a petition for ruk making Requests y,j'l,'6]""[,"[2]5]

11. Statutory Authority and procedural to c onfer on procedural omtters should nu ument C-m ~W Ihm for bemptma the f ramework be addren ed to The Director,lhvision n3pn%l og a,i,,n Radmartne Matenals 3 gfg,fgy Aufhgnfy of Rules and Retords, Offao of from Luensmg" 19 the Atoma I.ncrys Administratmn. U.S Nur. lear Regulator)

Control tioant P O tha 1Nr. Onawa.

The NRC's enforcement jurit.dictmn is Commasmn. Washington. DC 20555 Ontarm. Canada AIP 5h9 drawn from the Atomic I:norg) Act of Attention Chief. Rules and procedures

'lCRP/85mi' "siaiement from the was 19'L as amended and the Energt g g Parn Meetmu nf the Iniernatmnal Reorganization Act (ERA] of lui. as a petitmns should be uddressed to:

[""'"" "'"" "" " " d "N"8 " " I "' "'" '.. ' #

amended.

The betretary. II.S Nudrat RegulatorF Section 101 of the Atomic Energy Act Comnusuun. Washmgton. DC 20555.

TAppebdii Ca.Cencral Statement of authorires NRC to conduct inspections Attentmn Donctmg und Sersice Hranch in Leopmg with 10 CFR 2 in02(fk

' Policy and Pr'otedure for NRC and mgestigations and to issue orders a 6

Enforument Actions

'"" F he "'CCSS"'F "' d'"I'"

• I" petitioners w dl be promptly mformed if promote the common de fense and the petibon meets the ihreshold T he follow mg slaiement of eencral pohcy sceurit) or to protect health or to requirements for a petition for and proredure npla ns the enfors enent minimize danger to hic or propert),

rulemding in 10 CFR 2.fmS] and enn P"h4 ""dP""*d ars of the U.h Nu< lear Sect on ilm authorizes NRC to revoke h

"I"' ') C"""'"uum and its staf f in 8

be proressed an accordan e with this licenses under urtam circumstances implementation plan Ordinarily this d '[,"8, "h',',""$",[$"(('l (e.g, for material false statements, in nd deternunatmn wdl be made withm 30 02 Lu ensma Appealihmeds.and the response to conditions that would hase day a af ter receipt of the petition.

y Commisuon m tenenmg these attmon Tha warranted refusal of a hcense on un a rollow mg this deternunatmn. the statement is appla ahic to enforcement m origmal appbcution. for a licensee's petitmn wdl be noticed in the Federal E manors msoh mr the pubhc health and Indure to budd or operate a faciht) m Register for a pubhc comment period of g safrip the comnuinyh fense and sc<.unty. and accordance with the terms of the permit et leat w da)5.

"'""""'""""'"""*""'"'"I""""I 8

or heense, and for siolation of an NRC 4 The petitwner will be prouded

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,N regulatmn). Section 234 authortres NRC copics of all tomments retened-dasemmation of the Curtimissmns to mpmc dW pmbo M W nmd scheduhng informatmn, and periodic Lnfortement Pota > llowes er. this n a pohc3 StonJvn)per violation per day for the status reports.

statervient and not.i regidation The ginlatmn of certain specified hcensirig 1he procedures in NUREG/IlR-0053 Commnuun mas deuate frnm thn statement prodsions of the Act. rules, orders. an:1 also mclude the process for dennd and of pohn and prm edure as is appronnate twense terms implementmg these withdrawal of petitmns.

unan the m un3 con es of a pann ular caus e nr irrm semed nu am a surpher of prm6ci.

• Aniinust e nLn, meni moor n w ill N dvals oth m sm n rs so iw mi us an W hansa ou Ah to on. t w hs (nu Wu d("'"'

Apdf 28,1989 2 80

App GIW App.Dlll PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS pronuons. and for unlations for whmh for a heating to the affected hcensee.

These cumples do not create new h(enses can be tesoked in addition to Howner the NRC is authorized to requirements. Each is designed to the enumeroted provisions in sectmn make orders immediately effectae if the illustrate the significance which the 234, sections M and 147 authorite the pubhc health. safety or mterest so NRC places on a particular type of imposition of cnil penalbes for requires or,in the case of an order to violation of NRC reqmrements. Each of l

violations of regulations implernentmg show cause. if the alleged violation in the cumples m the supplements is wdiful.

predicated on a violation of a regulatory l

those pronsions hechon 232 authorires NRC to seek iniuncta e or other 111. Ses erity of Violations in each case. the seserity of a

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equitable rehef for violaton of Regulatory requirements ' huse violation wdl be charactenred at the regulatory requirement, s arymg degrees of safety. safeguards, or inel best suited to the significance of Section 206 of the Energy ennronmental sigmhcance. Then fore.

the particular violation In some cases.

Reorgaruration Au authorites NI C to the relahye impodance of each violation violations may be eg aluated in the Impose civd p(notties tot know mg and must be idenhind as the first step in the aggregate and a single severity level conscious fadures to proude certain P I "h""'

"""8"d I"' " #$s el of a violation may safety information to the NRC.

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The severity le Consequently violations are Chapter itiof the Atomic I:ncrg) Act categorired in terms of In e levels of be increased if the circumstances provides for sarymg le els of crirmnal scurny 6 show their relative surrounding the matter involve careless penalties (i.e.. monetar) fmes and importance within each of the following dieregard of requirements, deception. or imprisonmenti for willful nolations of eight activity areas:

other indication of willfulness. The term the Act and regulations or orders issued l Reactor Operations:

"willfullness" as used here embraces a under sections ta 1 tit (b). Itit(i). or 11 NiMy Constructmn; spectrum of violations ranging from 161(o)of the Act $cction 223 prosides 111. hafeguards, debberate intent to violate or falsify to that criminal penalties may be imposed and includmg careless disregard for on certain mdniduals employed by IV llentth Phpics:

requ rements. Willfulness does not firrns constructmg or supplying bouc V. 'I ransporta tion.

include acts which do not rise to the cumponents of any utihration f acihty if VI. F uel Cycle and Materials lesel of careless disregard. e g..

the mdiudual knowingl> and willfull)

Operations; inadvertent clerical errors in 6 document violates NRC requirements such that a Yll. Mir.cellaneous Matters; and diniued to the NRC. in determining basic component could be signihcantly Vill Emergenc) Preparedness the specific severity lesel of a violatwn impaired. Sectitm 2n progides that

!.itensed actisities not direcS,y involving willfulness, consideration will onmmal penalhes ma3 be imposed on coscred by one of the abuse listed be given to such factors as the position persons who interfert with inspectors areas. e.g.. export bconse activities. wd. l of the person involved in the violation g Sectmn 2% prmides that crimmal g be placed in the actnity area most E (e p., first.bne supervisor or senior j

g penalhes muy be imposed on persons g suitable in bght of the particular g manager). the significance of any w ho attem;it to or cause sabotage at a violation involved. Within each activity nuclear faciht> or to nuclear fuel E area. Severity LeselI has been assigned E underlying violation. the mtent of the v olator Re neghgence not amountmg a

g Alleged or suspected criminal violations 3 to violations that are the most 3 to careless disregard, careless disregard.

of the Atomic Energy Act are referred to ognificant and S,crerity 1.cs el V or dehberateness), and the economic the I epartment of lushce for violations are the least signihcant.

advantage. if any. pained as a result of appropriate achon Severity Levell and 11 violations are of the violation. The relatne weight gisen s ery signihcant regulatory concera in to each of these factors in arrwing at the

& l'rm edural frameworA general, violations that are included in

".;.g in g Subpari it of to CFR part 2 of NRC's these severity cateFories involve actual nI on he rc mst ner ofthe regulations $ cts forth the procedures the or high potential impact on the pubhc.

violation' NRC uses in exertiong us enforcement Severity Level til violations are cause

.The NRC espects licensees to provide authonty.10 CFR 2201 sets forth the for significant concern. Severit) 1.evellV fu e rnplete, timely, and accurate procedures for issuing notices of violations are less serious but are of I" """"'i"" ""d E '' ACC 'd*8 F' violation-more than minor concern; te., if left unless otherwise categonted in the The prm edure to be used in assessing uncorrected, they could lead to a more bupplements. the ses erity in el of a enil penaltics a set forth in 10 CFR serious concern. Severity I.es el V vi lation involving the Initure to make a 220i This regulation provides that the siolations are of minor safety or muired rep rt t the NRC will be based appropnate NRC Ofhoe thrector environmental concern.

up n the significance of and the imtiates the civil penalty process by Comparisons of significance between circumritances surrounding the matter issuing a nouce of uolation and activity areas are inappropriate. I'or that should have been reported A proposed imposihon of a civil penalty.

example. the immediacy of any hazard hcensee will not normall> be cited for a The hcensee is provided an opportunit) to the public associated with Severity fauure to rep H a conddmn or event to contest m writmg the proposed I.evel I s iolations in Reactor Operations

""I"88 I

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irnposition of a en d penalt). Af ter is not docctly com;iarable to that I the condition or event which it failed esaluation of the hcensee's response.

associated with Sercuty Leveli

• WNI "b"N the thrector ma) mitigate, remit. or violahons in Reactor Construction.

an unumch trpoa m contrast w no impose the civil penalty. An opportunity While esamples are provided in report may be reduced dependmg on is provided for a heanng if a cwil Supplements I throagh Vllt for the circumstances surroundmg the penalty is imposed determining the ap;wpriate ses crity The procedure for issuing an order to level for violations in each of the eight show cause wh a heense should not be acitis ty areas. the esamples are neither IV. I:nforcement Conferences 3

modibed suspended, or revoked or why exhaustive nor conn olhng.

%, hones er the, NRC has learned of the such other actmn should not be taken is existence of a potential violation for set forth in to CFR 2201 The which a civil penalty or other er.calated rnechanism for modifymg a hcense by a w u.rm w nermenr a ma in ib. pihn enforcement action may be warranted, o

. order is set forth in 10 CFR 2.204.These amm h oth tabnu nwremeni sa,

"d*

"wM"* h""" ' "dd"'n ida")

or recurring nonconformance on the part sechons of part 2 piovide an opportunity opn du M.on t.t nede' of a vendor, the NRC will normaHy hold September 29,1989 (reset)

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS en enforcement conference with the enforcement action recenes substantial B. Ciri/ Penolly licensee or vendor prior to taking attention by the pubhc, and may have A civil penalty is a monetary penalty enforcement action. The NRC may also sigruficant impact on the hcensee's that may be imposed for violation of (a) elect to hold an enforcement conference operation These elevated enforcement certain specified hcensing provisions of for other violations, e g, Severity Les el actions include civil penalties. orders the Atomic F.nergy Act or IV violation which, if repeated. could modifying. suspendmg or revoking supplementary NRC rules or orders. Ib) lead to escalated enforcement action.

heenses or orders to cease and desist any requirement for which a lice.ise may The purpose of the enforcement from designated activities.

i,,e rnoked. or (c) reporting conference is to (1) discuss the violations or noncorlormance, their g 3,e g no/arion requirements under Section 206 of the significance and Suses. and the A notice of violation is a written Energy Reorganization Act. Civil penalties are designed to emphasize the hcensee's or '.endor's corrective actions, notice setting forth one or more need for lasting remedial action and to (2) determme whether there are any violations of a legally bmdmg deter future violations, aggras atmg or mitigating circumstances.

requirement.The notice normally and (3) obtam other information which requires the recipient to provide a Civil penalties are proposed absent will help determine the appropriate written statement describing (1)

E g3 gY enforcement action.

corrective steps which have been taken level I and 11 violations, are considered in add. tion. during the enforcemeni and the results achieved. (2) corrective for Severity level 111 vi lations and,

conference, the bcensee or vendor will steps which will be taken to prevent may be imposed for Severijy Levell\\

be gisen en opportumty to explam to the recurrence: and (3) the date when full violations that are similar to previous violations for which the licensee did not NRC what corrective actions (if any) comphance will be achieved. NRC may were taken or will be leken following require responses to notices of violation take effective corrective action.

discovery of the potential violation or to be under oath. Normally, responses in applying this guidance for Severity nonconformance Licensees or vendors under oath will be required only in Level 111 violations, NRC may, will be told when a meetmg is an connection with civil penalties and notwithstanding the mitigating and enforcement conference. Enforcement orders escalating factors in this section, refrain conferences will not normally be open NRC uses the notice of violation as from proposing a civil penalty for to the pubhc.

the standard method for formalizing the violations that warrant the exercise of When needed to protect the public existence of a violation. A notice of discretion under Section V.C. As to health and safety or common defense violation is normally the only Severity 1.ctel IV violations. NRC and security. escalated enforcement enforcement action taken except in normally considers civil penalties only action. such as the issuance of an cases where the criteria for civil for similar Severity I.evellV violations immediately effective order modifying.

penalties and orders, as set forth in that occur after the date of the last R suspendmg. or revokmg a license, will

? Sections V.D and V.C. respectively, are e inspection or within two years.

$ be taken prior to the enforcement

{ met. In such cases, the notice of g whichever period is greater.

g conference. In such cases, an E violation will be issued in conjunction E Civil penalties will normally be enforcement conference may be held with the elevated actions.

assessed for knowing and conscious E after the escalated enforcement action is 2 flow ever, violation fmdmgs 9 violations of the reporting requirements taken warranting the exercise of discretion M Section 200 of the Energy V. Enfortement Actions under Section V.G.1 will generally not Reorganization Act, and for any willful result in a Notice of Violation. In violation of any Commission This section describes the addition, for isolated Severity 1.evel V requirement including those at any enforcement sanctions available to NRC violations, a notice of violation normally severity level, and specifies the conditions under w 11 not be issued regardless of who NRC imposes differnt levels of identifies the violation provided that the penalties for different severity level s et ons are noticc of i at r vil n8" 88in U8tr 8PD 8te violations and different classes of penalties. and orders of various types.

c meuw achon before the inspecUon licensees. Tables 1 A and 1B show the I

Additionally, related administrative ends. In these situations, a formal basic civil penalties for various reactor, mechanisms such as bulletins and resp nse from the licensee is not fuel cycle, and materials programs. The confirmatory action letters, notices of nonconformance and notices of required and the inspection report or structure of these tables generally takes Hicial field notes serves to document into account the gravity of the violation deviation are used to supplement the the violations and the corrective actions-as a primary consideration and the enforcement program. In selecting the wnn, a n Uce mlahon wm enfurcement sanctions to be applied, abuny to pay as a secondary NRC will consider enforcemcht actions n rmah be issued for wuMut violations.

consideration. Generally, opera tions i

taken by other Federal or State d past comchw acdons for simHar involving greater nuclear material vmlations base not been sufficient to inventories and greater potential regulatory bodies having concurrent jurisdiction. such as in transportation prnent recunence, or if the consequences to the public and licensee I

matters. Usually whenever a violation of cucumstancu wanant increasing the employees receive higher civil penalties.

NRC requirements is identified, snnHy o nel V W lahns to a high" Regarding the secondary factor of i

l enforcement action is taken. The nature 8""D I"el-ability of various classes oflicensees to

. licensees are not ordinarily cited for pay the civil penalties, it is not the I

and extent of the enforcement action is intended to reflect the seriousness of the vmlabons resulung from maHers not NRC's imention that the economic violation insolned for the vast majority within their control, sucn as equipment impact of a civil penalty be such that it of violations. action by an NRC regional fadures that wne not avoidable by puts a hcensee out of business (orders, office is appropriate in the form of a reasonable licensee quality assurance rather than civil penalties, are used Notice of Violation requiring a formal measures or management controls.

when the intent is to terminate licensed response from the recipient describing Generally, however, licensees are held its corrective actions. In situations responsible for the acts of their k

I ees. Accordingly, this policy

,j,'J"'[*Q,,,","'[g",',hghcb rel8 involving nenconformance on the part of

'*P "[not be construed to excuse shoult vendor, a Notice of Nonconformance

,,,,,,u,ni,,,pecied i. hne been presented by ihe will be issued. The relatively small pnsonnel errors.

hcen.ce. correeme. coon for ihe pr,uno, number of cases involving elesated April 28,1989 2 82

V U

e App. C(V)

• App,C(y)

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS activibes)or actsersely affects a report No cormdershon will be ghen to hcuou due n,is upone W mct ce sed a t it Th eter ent flect do e not a och n o a

o of civil penalties is best eersed when the correct the problem upon discovery. On to the enforcement schon at issue.

amount of such penelhes take mio the other hand. the base penalty may be S. Muluple Occurrences account a heensee s "abihtf tivilto psy? In increased by as much as 50% if the NRC determining the amounts o identifies the violehen provided the est cg pens ty me>, e penetties for Ucensees for whom the hcensee should hose reasonably increased as much as im where tables do not reflect the ability to pay, d sto r the violation before the NRC mu nemp es e a ticu a NRC will cormder as necessary an inspection penod.

inctesse or decrease on a case by.cose

2. Corrective Action To Present besis Recurrence

6. Dure tion NRC attuhes great importance to comprehensive beenset programs for Recogniemg that correcth e action is The duration of a violation may also detechon. correction. and reporung of always required to freel regulatory be considered in essessing a civd reouirements. the promptness and penalty. A greater civil penalty may be exient to which the hcensee takes imposed if a violation continues for olut on su toryr u ents corrective ection including actions to more t en a day.For examp e.

This is emphasised b[ giving credit forprevent recurrence, may result in up to a (1)lf a hcensee is enare of the tg et en7tep rt 50% mcrease or decrease in the base existence of a condition which results in icensees nd cor problems expeditiously and effectively, civ0 penehy show n m Table 1. Ior L en ongoing violation and falls to initiate I

'**

• P ' ' " Y '*I'"' h ' 80 "'C" "

h corrective aetion, esch day the condition To encourage beetisee self.identihcetion and correction Li woleiions and to avoid action may result in reducing the existed may be considered as a separate potentiel concealment of problems of proposed civil pennhy as much as 60%

violation end. es sut.h. subject to a safety signihtence. apphcahon of the of the base value shown in Table 1. On R separate adDitionalcivil penalty, ediustment lectors set forth below may the other hand. the civil penalty.may be (2)lf a licensee (e)is unawere of a result in no civil penalty being assessed int.reased as much as 50% of the base condition resulting in a contmult g for violations which are identihed.

u if inihahon of conechve schon is violabon, but citarly should have been reported (if required). and effectively not pr mpt or d the conechn schon is awere of the condit on or (b) had un only mmimally acceptable. In weighing opportunity to correct the condihon but corrected b the hcensee On the otker hand. ineffective licensee this factor, consideration will be given failed to do so. e separate violation and programs for problem identificahon or to. amerig other things, the timeliness of attendant civil penalty may be correction are unacceptable. In cases the corrective action. degree of heensee considered for euch day that the involvmg willfulness, flagrant NRC.

'n'hative. and comprehensn eness of the licensee clearly should base been awere idenuhed violshons. repeated poor correchte action-such as whether the of the condition or had an opportunity to

, performance in en etee of concern. or schon is focused narrowly to the correct the (:endition, but failed to dn so.

serious breakdown in management E 'PCC'I'c siolshon or broadly to the (3) Alternettvely, whether or not a

$ controls. NRC intends to apply its full l gennelarea of cone"n licensee is aware or clearly should have g enforcement authority where such E.Past performance been swere of a violshon that continues 3

g action is w arranted, mcludinghouing appropriate orders and essessing civil g

Reduction by es much as 100% of the for more than one day. the base civil penalties for conhnuing violations on a base enil penalty shown in Table 1 may penalty may be increased as much es per day basis. up to the statutory limit of be given for prior good performance.On 100% to reflect the added signif conce resulting from the duration of the

$100.000 per violabon, per day, in this the other hand. the base civil penalty vtokhon.

regard, while management involsement.

may be increased as much as 100% for direct or indirect. in a violation may P"0' P00' P"I ""* hC' h 7.Malnionence Related Cause In he16 mg this factor, considerstion h

lead to en increase in the cwil penalty.

The base civil pen.hy may be inciessed as the lack of such msolvement may not be will be gn en to. among other things. the much me 60% for caste where a cause of e used to mitigste a civil penalty.

dechte.ess of previous corrective rnsintenance.reteted violatinn et a power i

Allowance of mitigation could achon for similar problems. overall reuctor le a pres'emrnahe fetNve f or the entourage lack of management performance such as 53 stematic purprote of erpbcauen of this factor.e cause l

insoisement in hr.cnsed actiuhes and e Assessment of Lirxnsee Performance of th' viol' hon 'h*ll be considered to be o

decrease in protection of the pubhc (SA1.Pl evolushons for power reactors.

'ntenance rv!md if ibe violehon could heelth and safet and prior performance mcluding hase been p'svented by implemenurg a and V violations in the

[p"[,"n'[*,'[,8["*['r$",'/$" he$e NRC reviews each proposed cnil Seserh> Lesell{ lor example, failure to ed areu of concern.

penalty case on its own ments and pgry Sip,,,,ni on the Me nienance of I

ediusts the base civil penalty values implement preuous corrective action for Nuclear power Pteris in asessms this i

upward or downward appropnetely.

pnor simdar problems may result in en factor. constdoreben will be given to, smong Tables I A and 1116denhly the base civil mcrease in the civil penalty, For purpose other thmss, whether a failure to perform penalty values for thlferent seierity DI mC55*B PHst performance, mainten6nce or impreperly performed l

lesels. achnty areas. and classes of violabons withm the past two yects of maintenance was e progr6rnmotic fadare.

i hcensees. Af ter considering all relevant the mapection at usue or the period De degree of the prograrnmatic feiture wdl circumstances. adjununents to these within the last two inspections D* ^'"lared in opt.lytt:s th:s factor, j

selves me be made for the factors "h'Cht 's longer will be considered desenbed elow:

The above factors are addith ec i

4 Prior Nohce of Similar Events flowever. in no instance will e civil

[

1. identihcation and Reporting The base civil penalty may be

, pnehy for any one..olation exceed Reduction of up to 50% of the bise increased at much ss 100% for cases 5 5100.000 per day.

civil penalty shown m Table 1 may be where the hcensee had pnor knowledge W The Tables and the mingatmg fat. tors gnen when a hcensee idenhhes the of a potenhal proWem es a resull of a E determine the civil pennines which may violshon and promptly reports th, heensee reuen. e specihc NRC or g be assessed for each unlebon.

violshon to the NRC. In weighing this industr> nonhcations or other flowever, to focus on the fundamental factor, considershon will be gnen to.

reasonubb.ndicanon of a potential underlymg causes of a problem for emong other things the opportunity problem. and had failed to take effective which cr.forcement act on appeurs to be i

I as eilable to dacuser the wolshon. the preventne steps Poor nohce may warranted. the cumulative total for all case of discovery und the promptness include hndmps of NRC. the beensee. or violahons which contributed to or were und completeness of any required ardustry made et other facihties of the unavoidai>le consequences of that

{

2 03 January 31,1990 1

U i

PART 2 e RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS viewed independently, could lend to a tekJrt of an esent requirit:s such I

y problem may br based on the amount shown in the table for a problem of that E cnil penalty schon by itself. then reportmg is considered a separate h Segerit) Lesel. as ediusied If on

$ separate civil pensities may be assessed k problem and will normath be assessed g colushon of such mulhple uolations g for each such fundamentet prob!cm. In g a separate crvd penalty d the hcensee is g shows that rnare thun one fundumentol 2 addihon the failure to make a retiusted g aware of the matter that shou been reported

, problem is ira oloci cach of w hith. if i Tab.t hBast Civit Ptwtits 2,.n wi Ja.n,..se..

r... +

,3,,,,,5 o.

a 1,..

a phyvct eu.akiy '

.e

)

sixa ox on ex mo um

. p o.......

. v..,,..o.i io m io wo ie.ow em im iox sex iem

. n........ av.,o....... u.i..._

e.s ex. ioo.wo na s=

w me v..,,w.i...._

.wo..... _

i wo e ne

.a r. i.x. u...

... -...-,o.vi.a....

Io.ooo..

6 ooo 2 ooo t ino p.e us. i W m..n.' *..

io ooo..

sot iox g w..i. o..poiet hcenie..

n ac.o.m.c o, mes.cr me.v.oa '

. 5 ooo _ _ ~

500 iom i 9 o.ncio.m icem i..no monae.o < v.o ve.g. mv.uv.ooi n.mo soo.mo es no s ooo t ow m.ir 4ce i...

i.ooo a soo.

tooo

' wicivo.i.w.o c.c.

n,,* i.....v. r..w.o..i4... -e.r. c o.g.~, ee..ca.r o...as.=o.2,r. e e..g.no no t

nam i o.n.c.

i menvo. io se.:4. o.e,.

r. t o a e.:

., es

' t re.i..acr, o a n..v v. tesan io.....mo m.ri to c +;,o y i acen..o..v..,,s.on.. i,p oosci io,.r... ee.a.o m so ce a ta o

c.

co.mc e

• t r.

In. mosm e su ooe e.n.4

• 1 n..so. mosi,n...o.og..p*... ase...

ps...c...,no e.ine, me,ou.,e'.on..

ci e us appi. i none v.i mu.uioni noi own. cr. m o ro. i e woose," m tw iai.

2 Tattt 1B ~ Bast Civli, PENattits to provide confidence that construction Orders are made effecilve E

achvities are being properly carried out.

immediately, without prior opportunit) 3 esse c-pew, It) When the hcensee has not for heurmg. wheneser 61 is determined

^"+s'"__

responded ade.,autel) to other that the pubhc heuhh. Interest. or safet 5....,g,,,

love.m e emo m so.o enforcement schon'.

so requires, or when the ordet is min ial (d) When tne hcensee interferes with responding to a violation involung the conduct of an inspechon or willfulnen Otherwise, a prior

'g

'M ins estiga bon; or opportunity for a hearing on the order i.

if (e) for en ' reuson not mentioned afforded For cases in which the NRC go ev..

is aboge for w ich bcense resocation is beherei a basis could reasonably eidst V--

s legall) authorged for not takmg the action as proposed.

Suspensions may apply to all or part the licensee will ordmarily be afforded of the hcensed actwitt Ordmar Iv. e an opportunity to show cause w hy the C Orders hcensed actinty a not suspended (nor is order should not be lasued in the a suspensi n prolonged) for failure to proposed manner, An order is a written NRC directive to camp y with requirements where such modiIy. suspend. or revoke n hcense, to E lailure is not willful and adequate D. Escalohon of Enforcement Sonumns cense and desat from a gnen prachce 9 correchte schon has been taken D) Revocation Orders may be used h Les el I.11."or !!! to be serious il serious or activity:or to take such other achen V

U" cs may be proper (see 10 CFR 2 202 and rc 2304). Orders may be issued as follow s hun E violations occur. NRC will, where il ng to c

) with 3 necessar s inue orders in conjunction Orders me> elso be issued in heu of or m sddition to. cnil penalben. as

"{'g*g'" hen s'heensee refuses to correct with civi penalties to achiese appropriate, irnmediate corrective actions and to

• hg Y,",; a licensee does not responddeter further recurrence of serious (1) License Modihcahon Orders are gh istad when some change m heensee to a notice of violation where a response Wauons. E carduh consh N circumstances of each case in selecting equipment. procedures. or management was required controls is necessary.

Idl When u htensee refuses to pay a and applying the sanction (s) awophah i the case m accordance with the (2) Suspension Orders muy be used fee required by 10 CFR Part 170. or criteria described m Sections V.D and tal To remose a threat to the pubhc (el for any ot) at reason for which hethh and safety.tommon defense and ri socahon is autherned under sechon V.C.

security. or the enuronment.

16b of the Atomic Energy Act (e.g., any Faumples of enforcement actmns thut (b)To stop int.ihty construchon when condihon which would warrant refusal could be taken for similut Severity Level (t) further work could preclude or of a hcensee on an original application).

1. !!. or !!! violations are set f orth in significantly hmder the idenuhcation or (4) Cease and Desat Orders are Table 2. The actual progression to be correction of an improperly constr.cted t)picaHy used to stop an unieuthorired used m a particular case will depend on sifety.related system or component. or ethvit) that has contmued after the circumstances. Ilowever, till the licensee s quaht) assurante nchficohon by NRC that such actinty is erforcement sanctions wdl normally

!h' program implementation is not adequate uneuthorned escalate for recurrmg similar violations.

January 31,1990 (reset)

W

^T Apsi CtVi PART 2 O RULES OF" PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS TAmtt 2 -EsAuctts or Pnaantssion

• Comphance with an express I

e issuance of a Notice of Violation.

or EstAcAito ENronctMtwt Acteows directmn of managernent. such as the

) and

?

FOR SIMiLAR %0 cations W THE SAME Shift Supervisor or Plant Manape'.

• Suspension for a specified period.

resulted in a violation unless the modihcatmn. or revocahon of the i

ACTfvrty AREA UNDisi THE SAME kt.

mdividual did not espress his or her hcense.

ett 4 concern or objection to the direction The sanctmns are hsted in escalatmp

• IndivirJuni error directly resultmg order of sigmhcanc e

• The particular

%,om,,ine asie ci c. inii from followmg the techmcal advice of sanction to be used should be e

7 an npen uni ss the adsice was clearl) determmed on a case becase basis p c.cN,,c,o. n7....', c +

tw, o' e i.on unreasonable and the hcenst J In additmn. NRC may take g

.3 p - 4'g md vidual should have recognized it as enforcement action where the conduct

'"' ',nolatmns resultmg from of the individual places m question the

• \\

g,

,t, NRC s reasonable asentance that inadequate procedures unless the licensed activibes will be proper 13 n.

.. t>

a.tr c in e

e.,

indnidual uted a fault) procedure conducted The NRC n.ay take knowing it was faulty and hud not es e c.ve ee i.n, atternpted to get the procedure g enforcernent actmn fot reasons that lir would warrant refusalIo issue a heense Dice $Nc7E'in[si.NIO.'70*,T*,,$.E cortected.

same inei i8e measce cea ceersie ia com

• lhamples cJ sHuabons which could g on an original apphcotion. Accordingly.

• 2,'*e,$ Ea*[,5*Ie*rv%Ie~*" " "

result in enforcement actions against Genfonement och n may be taken i

regardmg matters that raise issues of e s.%. ceae io, moorsi.on o, revoc.i.on of individuals include, but are not hm.ted i

integrH3, competence, fHnns for dut).

"e D*. *a'c'$"Neene,,

to. violations which myolve:

or other matters that may not

• Recognizing a violation nf E Entorrement Achons /nro/rmy procedural requiremei ta and willfully

{ccess,aril{be a violation of specific

/ndarduo/;

not takirig corrective action.

in the case of an unhcensed

• Willfully performing unauthorizing F.nforcement at.hons invohinF bypassing of required reactor safety individual. en Order modHpng the mdividuals. includmg hcensed systems.

facihty bcense to require the removal of the individual from n!! nuclear related operalors. are signihcant personnei

• Willfully deksting alarms which actmns. which will be closely controlled have safety signihtante.

actatties for a specihed period of time and judiciously apphed An enforcement

• linnuthorized abandoning of reactor or lndefmitely may be appropriate.

action will normaH be taken only when 3

2 """ I*

F ReoPenih#ClosedEnforcernent C

? there is httle doubt that the indwiduni

$ fulh understood.or should have g

• Inan'enhon to duty such as sleepmg.

,Artions g understood. his or her temporatibihty; g

(,*n

'en for Ilf signihcant new inintmalmn is n

n equ new. or a mu ce nown, the

$ tness for dull.'

received or obtained by NRC which h

required schons. and knowingly, or with indscates tiist en enforcement *anchon

, with more than

• WiHlully taking actions that violate t uteless dareptd D e'd to take requned T echnical Specihcahon Liminng was incorrectly apphed. consideration mere neghpence) fade achons which huse actual or pot ntial Conthlions for Operation (enforcement te may be given, dependent on the achon for a willful violation will not be g circumstances, tc reopenmg a closed t

safety signihcante. Atost transgressions enforcement action to increase or of indniduals at the les el of Severity taken if the operator meets the g decrease the severit) of a sanct.on or to I.esel111 IV, or V vmlations will be standards of to CFR 50.54(x). i.e.. unless handled by cinng only the facihty the operrtor acted un*casonably 4 correct the record. Reopenmg decisions brensee.

considering all the relevant will be made on a case by case basis, hlore schous violanons, including circumstances surroundmg the are expected to occur rstely, and require those involvmg the integrity of an

'"*'8*N

1. E'

'IN mdnidual(e g lymy to the NRCl

• FakHving records required for NRC Director for Nudear Materials Safety.

concerning mat'ers within the scope of regulabons or by the f acihty bcensee.

Safeguards, and Oper _..ms Support.

the mdnidual's respoi sibihties, wdl be

• WI,IIIuHy fauma to take "immediate

~C. Exercise of Disemion considered for enforcernent action actm.ns, of emergency procedures.

g agamst the indwidual. Action agumst

• WiHfuHy withhohhng safety Because the NRC wants to encourap l

the inthvidual. haw es er, will not be signihcant information rather than and support licensee initiative for self-laken if the improper uction b3 the making such information known to -

idenhhcahon and currection of l

mdwidual was caused b) management appropriate supervisory or technical 2 problems. NRC rnay exercise dacretion 1

fxdores lhe followmg examples of personnel.

l as follows situat ons illustrate this concept:

p Any proposed enforcement action

• Inads ertent imhvidual mistakes y against indwiduals must be done with

• Euept for mdwnbet autnni ta rn a penenin resultmg from inadequate trainmg or p the concurrence of the Deputy Executive

",$"j',$lM"'l,y,'j,',"gh*" ^','

guidante prouded ' i r cihty g DirectorforNu'elear Afaterials Safety, e can pen.ii,.pn.i.o ina,ua 1 n,m n,..

b afeguards, and Operations Supp~ ort The

• han Di o' 'he ^'um*( f:"*rst ^ci l^t ^l s.n e*

S heensee.

5portunit33r an F.nforcement

"'e r4mminum.uomng to inipou nia tw.n nin

• Inadsertenil) an IrfnN,".,'c[ M[$, AIN'[nft)e insignifnunt prou amrement E Conference witr' the individual will when the achon is i....c fairly l.usually be provided.

indinas v nein,r ors.niuimna.nd ans untornpbcuted. und there is no unusual T-Faamples of sanctions that may be

'rPresenlatnes or agents This ynes lhe circumstance inditatirm that the E appropriate against NRC-krensed

.%"'l;;'7",,*N,C,'*[l'pl,'$',",',[*f,",,,

I prm eduren vihould be referred to and g operators are:

a uWuen of a requirement directi, irnposed on

. Issuance of a letter of reprimand to

'h*m in commied

}

followed step-by4tep g be placed in the operator's !venne Lle, j

m 2-85 December 29,1989

PART 2 L RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS 1/NRC me3 refrain from issuing a withm the past two pars of the l violation, the overall performance of the notae of notatmn for a vmlation inspection or since the last two u bcensee. and circumstances. if any. that desc ribed in an mspet tian report or inspections whicheser is longer or fiel 6 hase changed since the nolation official field notes theit meets all of the te asonabis should have been torrected M provided prior notice has been gn en the pnor to th' uviation because the E Commissmn This discretion a expected followir; cntena e

a it was identil ed b) the hcensee:

Scenser had pnot nonce of the problem 3 to be exercised onl3 where anpbcation b it is normall) classified at a msolud and I of the normal guidance in the Poht) is

$nerity Les ellV or V.

d it was not a willful violation ut Lunw arranted c 11 %as reported. if required, indicatne of a breakdown m R Related Admmistratar Actions d it w as or wdl be corrected.

manecement c ontrols.

including measures to pres ont 41he NRC may refram from in addition to the formal enforcement recurrence. withm a reasonable time.

propor mg u ravil penalt) for a beverity mechanisms of notices of notatmn. cid!

and Level 111 uolatmn mvolving a past penalties. and orders. NRC also uses

c. It w as not a wdiful uolaimn or a problem. such as m enginecrms. design.

administratis e rnechanisms, such as notatmn that could reasonably be or installution, that rnects the following bulletms, information notices, genene espected to huse been prevented by the enteria:

letters. notices of deviahon, notic.es of bconsers correct te actmn for a

a. It was idennhed by a hcensee as a nonconformance. and c.onbrmatory previous violation-result of a hc.enscei voluntar) formal actmn letters to supplement its 2 The NRC may refrain from issuing a effort such as a Safety System enforcement program. NRC expects nnute of violation et a proposed cidl functional inspection. Design hcensees and sendors to adhere to an) penalty for unlations described in an Reconstitution Progra'n. or other obhgabons and commitments resultir:g inspection report er ofhcial held notes progtum that has a def3ned scope and from these processes and will not that rnert all of the following cnteria:

timetable which is being aggressn ely hesitate to issue appropriate orders to

a. ll) The NRC has taken signihcant implemerited and reported, literaces to make sure that such enforcement attmn based upon a maior

b. Comprehensisc corrective action-commitments are met.

safety es ont contributir:p to en extended has la en taken or is well underwa)

(1) Ilulletms, Infortnation Notires, and shuttlown of an operatmp reactor or a withm a reasonable time following Generic 1.etters are written notifications matenal hcensee lor a work stoppage at identihr stmn. and a construction site) or the bronsor is r it was riot hkely to be identified by to groups of hcensees identifying forc ed into un extended shutdown or routine htem.ee efforts such as normal specific problems and recommendmg r,pecific actions.

work stoppage related to penciali) poor

, survedlance or QA activibes.

C performance user a long period ih) the 5 If the NRC issues an enforcernent W Now s d Deuation are written g notices describing a licensee's fadure to g htensee has descloped and is

$ httmn for a sioluhon at a Severity Level h sataly a commitment where the aggressively implementmc durms the shutdown a cornpre hensive program for g 111 nolahon und na part of the correctne annon for that nolation. the hrensee E commitment irnolved has not been 3 problem iden0fication and corrertmn.

idenbhes other esemples of the G mode a legally binding requirement. A and lilil NRC concerrcm e n needed by nolation with the same root r.ause the notice of deviation requests a bcensee to the h(enser pnr r to restart, NRC may refrain from issumg an provide a written explanahon or p

b Non.wdiful unlutmns are identihed additional enforcement action. In statement describing correctne steps b) the hcensee Rs 'the retiult of its delerrNnirig Whelner to chercise this tk j planned), the results achies ed, comprehensive program. or us a result of discretmn. the NRC will consider and the date when corrective action will an emplo>ee allegation to the hcensee l whether the hcensee acted reasonably be completed.

NHC idenOf es the nolation the NkC and m a timely manner appropriate to (3) Confirmatory Achon I.ctters are shouhl detenmne w hether enfortenient the safety signihrance of the initial leuers conbrming a licensee) or a actit,n is necessar) to achiese remedial wolutmn. the compre hensis cress of the vendor's agreement to take ecriam -

attmn.

correctise action, whether the matter actions to remove signihcant concerns

c. The unlatmns are based upon was reported. and whether the about health und sefety. safeguards. or activities t,f the hermsee poor to the additmnal s iolunonis) substantially the environment, events leadmg to the shutdown; and change the safety ligmhcance or '

(4) Notices of Noncor formance are d The siulations would normall not character of the regulatory concern written notices desenbing non-licensecs' 3

be t.ategorized as higher than Severity arising out of the initial violation.

failure to meet commitments which has e Les el 111 uolations under the NRC s not been made legally bindmg Enforcernent pokey.

h Notwithstandmg paragraphs 2. 3.4.

requirements by NRC. An example is a 3 The NRC may refrain from Hnd 6 Hbove, a civil penuIty may be commitment made in H procurement proposing a civil penalty for a Seventy proposed when judgment warrants it on contract with a hcensee as required b)

Lesel 111 violatmn not involvmg an the basis of the catcumstances of the 10 CFR Part 50. Appendis 11 Notices of rnerexposure or release of rathoattne indindual case for example. cidl Nonconformance request non licensees material that meets all of the following penalties may be wurranted where to provide written explanations or cnteria.

multiple Sesenty 1.evel fit uolations are statements describmg correctis e steps

n. It was identihed by the bconsee dameerd or ahere the violation is (taken er planned). the results achieved, n

and reported.

- willfulIn aihhtion as provided m the dates when corrective actmns will b Comprehensive t ortertise action 3 hechon Ylit. Renponsibihhes, the be completed. and measures taken to has been taken or is well underway g Deputy Esecutive D, rector far Nuclear preclude recurrence.

within a reasonab!c time following g htaterials Safety. Safeguards, and 7

gg

,m W M a identihcution:

Opernhons Support c it was not a nulahon that either (il mas reftain from issuing a Alleged or suspected criminal was reasonabl> reesentable by the civil penalty or'n nonce of violation for violatmns of the Atomic Energy Act brensee's actio Iin response to a a Severity I.evel !!! siolation based on (and of other relesant Federallaws) are e:mous regulatory concern identified the merits of the case af ter conside ring referred to the Department of justice for the guidance in thm statement of pobc) und such factors us the age of the unlahon, the safet3 sigmficance of the December 29,195 9 2 06

APP. C(V)

App. C(Vill)

PAMT 2 C.ULES EF PRACTICE FlR DOMESTIC LICENSING PROCEEilNGS insestgain.n Reb real to the mal veh1.mnt piouded to the NRC b) a t mformation run.o ques' ions about it3 Dep:aimen: of las e does t a ;oce e.de lu enwe ofhual or others on lichalf of a commitment to safets or its funda'nental the NRC f rom is om oth.- e r.t.oi e n -o h.en. e if a va ord was rnade of the trustworthinen the Commission ma) us tom unde' this (>eneral Moena nt ut oral mtermahon and prouded to the esercise its authorits to issue orders pobr) llowcur.t.m hattiens wd:im brenset thereby punuttmg an mod.83ing. suspending or revokmg 'he coardmated w nh the Departna nt of opportura?3 to wrrect the oral bcense The Commmaan recognizes that lusiu e to thi i stent pr.o N abh iriiornhon. Soc h as if a trunnt.ript of the enfort ement dilormmations must be VI Inact orate and incomplete

'""*'umcation or meeting summar) made or' a t.ase-b3 case bas:s taking informatmn runt 'runx the enor was made as adaMe into considerahnn the issers described to the hce nsee at.d nas not above A uulanon of the recubiron* ""

subt.menH) corrected in a hrnel3 submetirw c onipleie ami m i utat" Vll. Public Dinlosure of Lnfortement n wit t mlorn. anon u hether of nm t oreb r. d a ACN""'

gM M mer has t.orrects d k n accordance with 10 CFR Un all matenal false it. ele rnent uin ree."

maaurate or incornplete information.

i the fuU range of enfon enwnt sain non' tb> d. Win to issue a citation for the E enforcerner.t actions and licensori The labehng of a con munu atu.n imiutt initul inaccurate or incomplete G responses are pubbcly undable for nnenn norma wiH be dependent mspection in addition. pren telt ases di i i ta i

s ur d dl be twiersed for edrernius vmlanom

"" U" cacunn. tan es. includmg the case are generally issued for civil penalties o

eusin of du enor, the timchness sad onderr.. In the case of orders and Ynilatums mwh mg morcurate or of torndon. w hether the NRC or civil per:alties related to vmlations at moomplete mlormanon or the f ailarr to

"'see Menhhed the Inoblem w 6th Severity Level!.11. or 111 pres.s releases prm uk sigmhunt informatwn

< onununn.sh n. and w hether the are issued at the time of the order or the identihed b) a hrenwe normally w di 1.e c alepnrard based on the punion; e n md on @c mimrnahon prior to proposed imposition of the civil penalty.

O' "'" "in (>cnerab. H the maher press releases are not normally nsued here m. m 5cction 111 %ents of Viol. hone and m SupplernJnt Yll w as pronipH) i&nufied and corrected for Notices of Wolation.

"Ihe Commeumn recognaes that oral h N+ lumntee pn r to rehance by the N R L. or be fore the Nl:C rotsed a Jill, Responsibilities mfortnutmn may m t.ome sitontions be ir.herenth leu rehnble than w ritten quesnon about the mfarmation. no kThe Deputy lierutive Director for submittals betcuw of the absente of an enfor[enmnt action will be taken for the Nuclear aterials Safety. Safeguards and j

p.

9 mitue maccurate or moomplete iMI"I*"tmn On the other hand. if the 9M'"lons Support (DEDS) as the i n ntr e il e t.the Commisuun rnust be ubh to reh e oral nuunfmrnatmn is identified af ter the prmcipdienforcement ofhter of the E

? NEC rebes on it. or after some question NRC. has been deicgated the nuthonty k (communn ahons from htrnso offa iula 8 "' nou'd regarding the accuracy of the to inue not ces of uolations, chil ont ernmg ogndu ant mformatuin A 1

g bt ensee ofhcial for Harposes of

[r *I"rmation. then some enfurcement penalties and orders

• Regional I

apphcation of the Ixion ement puhn

' achon normully will be taken esen if it Administrators may clse loue notices of means a fast hoe superusor of abou a, G is m fact corra(ted floweser. if the violation for Ses erity Les el IV and V well as a in ensed mon ulual nuinitmn inn.nl submuul was accurate when U violations and may sign notices of safety ofht et. or a p. tson lated or, a madt but later turns out to be erroneous

@ vmlation for Ses enty 1.eu I Ill violations hcense as an authonted un of tucosed bu.uuse of newt diseowred g with no proposed cnil peralt) and rnuterial Therefore. m de u sminmg u.forn.ahen or uds ante in technology. a proposed civil penalty at tmns with the whether to take enfon ement actmn W utanon normally would not be

% concurrence of the DEDS In an oral statement consulen. hon m.n be uppropriate if. w hen the new recognition that the regulahon of nuclear giwn to such faciors as p) the degn c of mfortnahon became atadable. the.nitial activities in man 3 cases does not lend knowledge that the communn ator Su!"nihol was corrected itself to a me:humshc treatment the should hase had regardms the rnattes.

't he f ailure to correct muccurate or DEDS or the Regmnal Admimstrator m uew of his or her routmn. trainng mcomplete mformation which the must cwrcise pudgmert and discretmn and esperience. (U the opportunity dnd hcensee does not tuentift us signihcant in determining d.c sewritt icwis of the normall will not constit'ute a separate violations und the appropnate time asadable prne to the 3

e ommumcation to umre Ita: accurar 3 uo!ahon flow ewr. the circumstance, enforcement sanctions. mcludmg the or comploienen t>f the infortnatmn. (31 surrounJmg the fadure to correct ma) decir. ion to issue a Nohte of Wolatmn.

the degree ofintent or nephemo if an3, be consuleted relesant to the or to propose or impose a civil penalty j

mvolwd. H) the formahts of the deternunatmn of enforcement action for and the amount of such penah. after t

3 commumtutmn.151 the ri asonablene a ihr unhal matt urate or incomplete considermg the general prmnples of this k

of NRC rehance on the mfortnat.or pil 5.tah menh I or esample an statement of pobey and the technnal the importance of the information whu.h unietentionath in ccurate or incornplete s gmhcance of the uolatums and the war, un,ng or no. prouded and A ihe submisuoa ma> be treated as a more surroundmg circun' stances.

reasonablenen of the explanation for seu re n.auer if the beensee later

~

not proudmg complete ar d accuratt detern.uu s that the imtial submittal was b the tsenior oh r et I.nre,n=ni.a. so, the mformutmn-m enor and does not correct 11 or il Deputy Esecuhte D;rc; tor for Nuclear Absent at least t utelen diuepird. on then wen clear opportunihes to Materials Safety Safegards.and incomplete or mancurnie unsworn or d utennh the error. If information not Operstions Support statement normath w di not be subin i t orrected was recopired by a hcenste m oir t.% bum e y,

. eco,a Ti,, n r,ny,,

to en'arcement act on unten it msches as ugrnhcant a sr parate ratation mas "hhc O N ein' h ee R m i. krini aon ingmhcant mforno tion provub d h3o be nu.de her the failure to proude ~

'" k'" *""'" N d"> "ad * 0 d*

• ad N,NZ7'U,1",M[" ";3'l,D",',*3 l

hcenser ofhcial lhewn er. enton emeni smmlu.ani mformatmn in an> ewnt,in actmn ma3 he 'A en lui at sermus caus where the hcensee's ih,..enn,as a w u w w.na nse a n umntenhonulls mrompleir or mar r unite nuom in not correctmp or providmg wr+a'ne.io.< he nn com m the mirw of d

cubhc nh ana wien Thy hate,* C)'f;ce of f.c.cfenim.-a n',r lh h.

ienas.

.ummn., n,,%,,.

m a,,, oy,.

u In enters s miste i amm'umn trNemis in nong.asment of la t nu keg i

247 Dcumber 29,1980 i

)

r

' Appi CO'lli)

App, C Supp.11

,PART 2 RULES OF PRACTICE FOR DOMESTIC LICEZSING PROCEEDINGS The Commission will be prouded 1hc NRC ma) also inspect sendors, safet> mtcoinn pump moperable int a period

~

written notification of all enforcement includms supphers of Part 71 and m euess of that allowed ta ihr action c otions ins olung e ivil penalties or matenals br ensees. to deternune statement or crdets The Comnnssion w0 be whether they are c.omplymg with Part b in a leihng water reuttor ore pnme

[jnnmen hjaa a

<in s e eim na consulted prior to takms achon m the

21. Wher inspections determine that

,n following utuatnins lunless the uvent) mlabons of NRC requirements hasc of the situation dictates immediate occurred. t>r that sendors have faded to 2 A sptem designed to present nr mmg.i e i

e ctionj fuihh contractual cornmitments that

,,,noo, sa% eu nt not beme abh r i (1) An action affecting u be ensee's could adsernely affect the quabty of a perform ns miended funt emn under <> 'i.on operation that requires balantang the safety significant product of service, undihons le R. safets nsiem nut eperable pubhc health and shfety or common enforcement action w dl be taken.

unless offsne power n nailabk mehr.a or defense and security in'pbcations of not Notices of Veolation and uvil penalties wmponents not enuronreentalb quahh+dt operating with the potential radmlogu nt will be used, as appropriate, fo' hcensee 3 Derchttmn of duty on the part of or other huards assor.iated with Iailures to ensure that their vendors P'f Snnel ms nh ed ir Mermt achulia continued operation-have programs that meet apphcuble 4 Changes m reachn paramcIns wha h (2) Proposals to impose chil penalties requirements including Part 21. Noticca

["{*"* """P"d d dC h""' * ""'"'"' "I in hrnounts greater than 3 tienes the of Violation will be issuett for vendors

& Neleast of radioacunt3 offsoe greater Scurit) level I s alues shown in Table w hich violate Part 21. Civil penalties than the 'lechmcal speofmatwins hmit:

1 A; will only be imposed aRainst indmdual 6 A siernficant fadure in meci the (3) Any proposed enforcement action directors or responuble officers of a requirements of to CrR-sn 54 includmr a that involses a Sescrit) 1.cselI sendor organization who knowingl) and fadure auth that a reqmre? htense violation.

conuiously fail 1o provide the nohoc amendment was not snushi.

(4) An) enforcement action that required by 10 CFR 21.2 lb)(1) Noticca t I.u nsee fadute in rnnduct adequaic insches a f+dmg of a nmterial false of Nonconformant e will be used for osnsW d vendma resuttma in the use nf puntucts or snures whuh an of delethw or staternent:

vendors which fail to meet commitments indeernunak quatny and wtud be sah (51 Refraining from taking related to NRC activities sigmfit.ance. or engorcement action gor rnatters rnectmg h Dreak down in the control of in erned Supplemeini L5eurus Cakgories the criteria of Scotion V.G+

achuhes msulong a number of uniations (6) Any action the Olhce thrector Reactor OperuImes that are related or. Af ssolated that are hoheses warrants Commission A heunts N%nlabons mvoinns for recurrms nulahons that collet tne 1) ins ob ement. or t urnpl. - ~

represent a potentneth signifuani tar k of

(") Arn prnposed enforcement achon 1 A Safet> l.tmit. as dehned in 20 01 R attenimn or tarelessness toward le nsed t

e g on which the Commissinn asks to be e 50 :ui and the let.hmtal Speuhcations. bemg

, responsitukhes j

D Scunty IV-Wolahnns msalung for

• t onsulted.

g euceded.

h"esempte l

e : A sptem 5 designed to prewnt or g IX Vendor Enfortement g minpie a sermus safet> eunt not bemg able g 1 A less sigmficant uo: anon of a g

The Commission's enforcement pohrt 2 '" P"I"nn Hs inuded safei> funchon '

Techme al Specilambon tamitma condamn

• nadua ra uNn in w for @ratmn where the appropnate At tour.

hendors) \\, cable to non-ht ensees isahnuppb 3 An accidential crihtabit ur Stalement was ont sahsifed w shiri the timt i

endars of produtts or 4 kelease of radu.achen) offsne greater alloned bs the Athoe Steiement such as

{

sersiten prouded for uu m nuclear than len (10) hmes the inhrucal a in a pre ssunred water reador a 5s i

urtiuties are sub ed fu (ertam Specif a atmns lunit

• dehcient> it. the reqwred solume of the l

requoernents draigned to ensure that the 0 hetent) ll-%ntahans mvolvmg for condensate storage Iank or k

products or setsices supphed that could e s ample h in a boihng water rear. tor. nne i

affetI safet) are of high quahts. Through I ^ *H'"" d"5'uned to present or mihzaic subspiem of the two mdependent MMY

.N N

leakage euntrol subs) stem *, innperable.

procurernent ( ontrHC t1 w til, reactor "d"'""'

2 )adure to meet the reyuremen's of in

.I brensees. sendors are required to base e edele.uc of redinactnHy off site prente' Ct'R 50 M that does not result in a hescrH3 qua,it) ussurant e progtoms that me",

than t.w 15) times the lechmcal tsulI H nr Hi uulahon apphcable requirements moludmp 10 Specifn abons brrdt 3 )edure in meet regulain, requ,rements Cl R Part 50 Appenda 11. und 10 CFR C bewnt> Hi-holahans msnis ma f '

that how rnnte th n mmnr safeti nr l

Part 71. Subpart 11 Vendors of reactor e uf"P "'

enuronmenW1 r mmhtant e, or und materials htentees und Part 71 1 ^ S'gmhrent violatmn of a lechmtal 4 I Are to make a reyoned t.nensee b "'I" d'"m tamams ondismn for

,3,n, g,po,,

D c

bienwo are r.ubp v t to the requirements of 10 CFR Pari ?! trgardmg reportms of S[t n NiN IL b"'""') I ""I D"Id h""' 'hd ' h'" "

n m i n u-

""" ' '"Id ) "' """'"" * * "

• I ' ' 8 "d*C deles k m basu (omponents ahnned bs the Athon Statement. such as-l 1he NRC tonducts mspections of in,, pressunard woier re dur. m the supplement Il-Sesent) Catepones a

teattor ht.ense05 to delernune whether uppht able modes. haung one high pressure I

thes are ensunnu that sendnts are

/brr y /unbr3 Condruumn A hescro> 6%olahans msoles a encetmu their t ontrattual obhgatmns

. -s, urn, o, on.a,n o,,,,,yg,m,nt,,m,y,

)

with record to quaht) of products or caminan,ane ad m n.en.o n.:o.ot nurms,

strudure ne spiem that is completed

• m scruces that t unid how an adseise d." obun a em such a manner thai n would not haw t"t"d"! $ah h f am '",n" meani ow-toia sabshed as miended safet> related purpose effett on safel3 As part of the ef fort of I

d * " ' '"I "* '" d

'"""I U h* ' ""') H 4'"Id h""" "" "I""8 ensurmg that he enwes fu!fdl then

" A "a'a"m*s'"'"a'e".d "' c'"io nmle rms a im"it s Neh esample-rr a in h

m nbhgations m this regard the NRC p,,,,,,. nos op hant my uw.,n,," "ad "*'M 1 A breddown m the Quaht) Assurarue mspect1 reartur s etalors to deternune t!

it ecle is mw dation of1*th in'Cl and A11%

@ pngram as esemphhrd b3 defiuentws k

h the s are incetmp that ohhgations 'ihese "b" *'" ^ I"" "I a"" ""b" " *

• d""* ""

m construchon QA related to more than one inbpet tions t u lude cunnimahon of the

'"a u# " " " " * ' *

• d"' d' *

[

w.% urm....pc. ur i

qindits usuraru e progratus and their

. W ht W W % M b isonl implementatmn in the sendors through soes o.. m om A 4 sa md c'er.a en used an thes

• MNeled ~ memns uompleium of omunn tum 1

sa,nn,a.peh

.num,,en,..na.n,pi,,n,, i,, is, esannnahon of produt t quahh.

i+ maae n ' av Im a wnuma. m (8 orun.r.a.nn l

0 I

i i

l December 26,1909 (reset).

2-88 l

0 t

E

y App. C Supp. IV Apgl C Supp. II PART 2 e RULES OF PRACTICE FOR OOMESTIC LICENSING PROCEEDINGS

]

work artiuts te s. struttural. pipmg 3 Fadure to have a secunt) system 1.lsolated fa. lure tolog a secunty esent m electnca!. Inand honsi Such dehciennes drugned or used to prevent the theft. lcss or accordance wuh 10 CFR 7341tc) or.

normalb mioise she hcensce's failure to diversion of SNM of moderate strategic

2. Other v6clohons that have mmor sigruficance or greater amounts or acts of safeguards sigmfit.ance.

conduct adequate audus or to take prompt radiological sabotage.

torrecm e at tion on the baus of such audit, and normath insuhe moluple esamples of C. Seserity Ill-%olat ons 6nvolving for Supplement IV-Severity Categorias deficient construc teori or ronstruction of asample' Heo/th Phngs 70 C/'R /brt JU" unknown quaht) due to madequate program 1 Future to conduct an adequate search at A. Severity I-%olabons ins nh mg fm the access control pomt that results in the

'"

• P;'

implementanon, on 2 A structurr ur optem that is turnpleted introduction to the protected area of items in suth a manner that it could base an that may be usefid m radiological sabotage or

1. Smgle exposure of a worker in estess of 25 rems of radiation to the whole bod).150 adserse effect on the safrt) of operstmas theft of SNht.

reme to the skm of the whole body.or 3?$

2. Failure or ino ;ihty to control access such 6

C. Sesent) til-%olatmns involvmp for enamplc.

that en unauthonted individual could easily -

rems to the feet. ankles. hands. or forearms.

1 A delittenty m a hrensee quahty gain undetected access into a vital area from

2. Annual whole body exposure of a annurance program for construction related to inside the protected area or to the protected member of the pubhc in escess of 2.5 rems of a smple work activit) {e g. structural. pipmg area from outside the protected area, radiahon:

electr cal or foundations) buch significant

3. Sig'uhcant failure of the safeguards

3. Release of radioactae material to an systems de*1gned or used to prevent or detect unrestricted area in excess of ten times the deficiency normall) insolves the hr.ensee's the theft loss, or oiversion of SNM or hmits of 10 CFR 20106.

fadure to conduct adequate audits or to tak, radiological sabotest

4. Disposal of heensed material iri prompt enrrectne action on the basis of such

4. Failure to properly secure or protect quantities or concentrations in excess of ten audits and normally invohes multiple clasofied or other sens'tive safeguards tirues the hmits of 10 CFR 2n.303. or exemples of dehc.ent t.onstructmn or information which would significantly assist

5. Exposure of a worker in restricted areas construction of udriown quaht3 due to 8D Ind8YIdu8II" 8D 8Cl I T8di"I sic 8I of ten times the hmits of 10 CFR 20103 inadequate program implementation:

188' Of h' I O 8P'CI8I DUCI'8' 281'fi8l B. Severity ll-Violations involvmg for 88 2 Failure to confirm tha design safety L ignificant fallute to take compensatory example:

requirements of a structure or a) stem as a measures for a known security situat!on that

1. Smgle exposure of a worker in excess of l

result of inadequate preoperational test would easily allow unauthonrect and 5 tems of radiations to the whole body. 30 prostramimpicmentatmri or undetected access to a protected or vital rems to the skin of the whole bod). or 75 1

3 Failure to make a required 10 CFR area.

rems to the feet, ankles. hands or forearms.

50 551el report-

6. Significant failure to respond to a

2. Annual whole body exposure of a g D 5esenty IV-Wolat:nns msolung failure suspected event in either a timely manner or member of the public in excess of o.5 rerns of i

e le meet regulatory reymrements including g with an adequate ruponse (cree: or E radiation:

V une or more Quahty Anurance Cnterion not 8

?. Dreakdown in the security system E amountmg to Ses crity level I. ll. or !!!

1. involving a number of violations that are l. 3. Release of radioactive material to an g violatmr.s that base more than minor safety E related or. if isolated. that ere recurring.

E unrestricted area in excess of hve time hmits of to CFR 20106; l

or enuronmental upmhcance g violations that collectively reflect a 1 Sesent3 V-%olshons that have mmor potentially significant lack of attention or 2 4 Failure to make an immediste safet) or cnsironmental signilu ar-e.

careiessness toward licensed responsibilities notthcahon as required by 10 CFR D. Severity IV-Wolations involving for 20.403(aKil and to CFR 20 403(a)(21 Supplement Ill-Severit) Cateson.es example:

5 Disposal of hornsed esaterialin quantities or concentrahons in excess of hve Sofexuurds

1. Failure of a safegua-ds sysiem designed times the hmits of to CFR 20.303. or or used to prevent or detect the theft. loss or

6. Exposure of a worker in restricted areas.

A Severity 1-Wolations msolving for diversion of SNM or radiotegical sabotage; in excess of five times the Igmits of to CFR j

example:

2. Failure to respond to a suspected event

1. An ac:af radmlogwal sabotage or actual thef t. loss. o'r dn eruon of a formula quantity in either a timely manner or with an adequate 20.103.

P"" IC

• U

""I I

of special nuclear matenal '8 in which the

3. Failure to implement 10 CFR Parts 25 and example:

scrunty system did not f unchen as required; 95 and information addressed undet Section

1. Smgle exposure of a worker in excess of 42 of the Act,and the NRC approved 3 rems of radiation to the whole body. 7.8

2. Actual undetected entry of an

"'"'.ity plan relevant to those parts:

rems to the skin of the whole body, or 1815 58 unauthonted individual "into a vital area 4 iallure to make, maintain. r provide los rems to the feet. ankles, hands or forearms:

from outside the protected area who

'"

• in accordance with 10 CFR 73.71 (c)

2. A radiation levelin an unrestricted area represents a threat.

f i

BS ent) li-%olations involvmg for 5 Failure to conduct a proper search at the than mi re n a n hour

' **mp c-access control point millirem in any seven consecutne days; 1 Actual thefl. loss or diveruon of special

6. Iallure to properly secure or protect

3. Failure to make a 21.huur aotihcation as nuclear mater al ni moderale strategic classified or other sensitne safeguards required by 10 CFR 20.403(b) or an immediate sigmfgaru e in whu.h the security syst*m information which would not significantly nohhcation required by 10 CFR 2n.402(a);

5 thd not funchon as required.

assist an individualin an act of radiological

4. Substantial potential for an exposure or 2 Failure or mabiljt3 to control access such sabotage or thef t of special nuclear m sterial;

,elease in excess of 10 CFR 20 whether or not that un unauthonico md udual could easily

7. Iallure to control access such th at an such exposure or release occurs (e p., entry gam undeteord auens i into a vital area opportunity exists that cduld allow into high radiation areas. such as under trum outside the protected area, or unauthorized and undetected acNas into the reactor sessels or in the vicmity of exposed protected area or from the preiected sees into radiographic sources, without havmg j

a vital area but whid war not easily performed an adequate survey.operat on of a i

m N' to O R r3 2 exploitable.

radsstjon facility with a nonfunctionmg o An unaubnr<d md ufulis someone who

8. Inadequate com9entatory measures for a interlock system).

j wn en.i uhria.d be enuam.e mio the area m known se urity sih'shon h could allow

5. Release of radmactive material to en

{

,nC"' "

unauthorised and andetected access.

'est c d area in excess of the limits of to

" t he r hr m ' uWei inludes vn.el areas.

9 Fadure to prr perly test a security system;

{"7R l

m.nienat attess atest med runtruHed au. css mecas or 4

10. Other violanons that have more than

" in ilvierwnins wb4rt nress een tw enig minor safeguards dgnificance.

" personnel m erevosures and assocuded l

b r loo R n 2

nr+d f ar hers sm.h m McAriabhty utensifisin10)

F Seventy V-% ilathms that have minor violanons. inced dunne a lifewuns e fort. will j

r and em uf pmwe shmid be umsute'ed safeguards signifKai ce such as:

be treared on a case 4y.coe les l

2-89 April 28,1989 -

1

,~

w APP,C Supp If App. O Supp.vili PART 2 o RULES OF PRACTICE FOR DOMESTIC LICENSING PROCi'EDINGS 6 Improper disposal for bcensed matenal 4 Failure to make required mitial C Snerity ill-Wolations irnohms for not tos cred m Ses crity Lnels I or il notihcanons assuciaird with Snenty 1.evelI e se rnple.

7. Esposure of a worker m retirated areas or 11 uolations

1. f ailure to conitol access to Inensed in est.rst of the hmits of 10 Cif 20103.

C. Snerit3 til-Violahons of NRC materials for radiation purposes as speafied 8 Release for unrestricted use of transportahon requiremenu im olvmg for b) NAC requirements.

contammated or radioactne matenal or esample.

2 possession or use of unauthonrad c qupment w hoch poses a reahstic potenuat 1 Surface contammation ir esress of fne equipmero r materials m the conduct of for sigmf cant esputure to members of the but not more than to times the NRC hmit.

krensee actiutits which des:rades safety pabbt or whath reflects a programmauc 2 f. sternal radiation m escen of or e but

3. Lisc of radioactne malenal on her:am (r:iher than isolatedl weakness m the nni more than Ine times the NRC hr*ut.

where such use is not authorized r:diation control program _

3 An) noncomphanie with labeim 4 Conduct oflaensed schuties b) a 9 Cumulatn e worker esposure abose placardmg shi;'pmg paper, pac kapng techmsally unquahfied person:

r:galator) hmits when such cumulatne I admg or other requirements that t.ould 5 Radiatmn in els. cordammahon in els. m aposure reflects a programmatit. rather than rmonaWy res9h m the foHowerg

- releases that esteed the hmits specihed m In isolaird weakness in radialmn protection:

a Ngndicant failure to identify the type, h the hcense:

10 Conduct of brensee activihes by a 4"""'! r m Innn of maynial ct 6 Medical therapeutic misadministrahon or i

technnally unquahlied person.

b f adute of the e arrier or rec:pient to the failure to report such inisadmirustration 66 11 S,gnificant fadure to control heensed esercise adequate controls; or G

7. Multiple errors of the same or similar mdcrial. or

c. Substantial pntential for personnel root t.ause that results in diagnmhc 12 Breakdown m the radiation safety espmure or contannalmn. m improp" misadmmistratmns mer the mspechon program Imahmg a number of violatmns that

"" "'I" P d. or a recurrent violahon from the 4 Failure t make required imhal presmus inspechon penod that results m a ett related or. if isolated that are recurrms that collectisely represent a potenhalls notificahon associated with SeurH3 Leul111 diagnoshe misadministration: or sigmhcant lack of attention or carelessness abnM M e Dreakdown in the cor;trolof hcensed I

tow ard bcensed responsibihties 08kdD*n in D* h"n8"

• pmk'8m Iof achythes ins olvmg a numlar of violahons D Snerity INViolatiocs mvolving for the trampmtatmn of hrensed material that are related or,if isolated. that are ins o ng a number of violations that are eu mpir recurring violations that collectnel)

1. Esposures m escess of the hmits of 10 o[,

, r}h' g",M"E represent a potentially sigmhcant lack of o;i,

,jy CFR 20 tot not constitutmg Ses enty inell-o 11 or til violahons.

potenhally signihtant lac'k of attention or "f*'*'""'*

carelessness tonard bcensed responsibibhes d"

A radiation inelin an unrestricted area D. beserit3 INViolatmns of NRC l

such that an nndaidual could retcive greater transportatmn requirements insolvmg for 8 Failure, danng radmgraphic operations.

l g than 2 milbrem m a one-hour permd or 100 example:

to h'ag e present or use redmgraphic rmlbrem m any sesen consecutive days.

E

1. Dreach of package integnty wHhout equipment. radiation survey instruments.

3 lai ure to make a 30 day notihtation t

rIquired by to CFR 20 405-Q esternal rathation inels esteeding the NRC and/or personnel momtoring devices as hmit or wnhout contammatmn in els

{equired b) part 34 4 ieilure 10 rnake a followup written report escredmg far hmes the NRC hmiis:

es required by 10 CFR 20 402[b). 20 498 and

2. Surf ace contammation in estess of but

,. D. Snerity IV-Violat ons mvelvmg for 20 409 or not more than Ine hmes the NRC limit, esample-5 Any other matter that has mnre than

3. ladure to register as on authonted user

1. Iadore to mamtein panents hospitalized W

mmm safety or environmental sigmhcance.

of an NRC-Certihed Transpmi packages.

who base cobali-m cesium.137. or indium-L Sesenty V-Ymlations that have m.nor 4 Noncomphancc with sh4pmg papers.

192 implants or to conduc t required leakage cafet) or environmental siin hcance markmg. labchng placardmg packagmg or or contammatmn tests. or to use properly Supplement W, Seventy Categon,es loadmg not amountmg to a Seserit) Lnel1.

cabbrated equipment.

j

11. or Ill siolation.

2. Other violatmns that base more than Densportatmras 5 Fadmt to demonstrate that packanes for mmm safet) or ens eronment41 sigmficance.

A= Sevent) 1-Violations of NRC spmalimm radmase rnatnial rnects M

trrnsportet on requiremenis insching for app %e Ngulatmy nqmmments..

3 Mcal @nec rnn&merah w ese mple E la Ain i demonstrate that packages a failure to report such a misadmimstration.

'O 1 Annual whole body radiation esposure of a member of the pubhc in excess of 2.5 E*

rems of endiation

7. Other tiolations that hase more than Supplement Yli-Segerity Categories 2 Surgace contammation m excess of 50 trmor safety or etnironmental sigmficance.

hmes the NRC hmit. or F. bnnq V-Violations that has e mmor Afiscelloncous Matters 3 Esternal red.ahon Icvels in estess of to

""rN " '" * ""*"'" #8"

^ b" ""II~Y'"I"'I""' ***IVI"8 "'

I hmes the NRC hmi,1 Supplement VI-beserity Categorks 1]n il Snerit) 114 mlations of NRL, curate or incomplete information 5' transportatmn requirements msolving for N'""'%cno!s Ogerations that is provided to the NRC (al debberately A Seventy l-Wolabors insoning for mitty the knowledge of a hcense olheul that esample.

O' *I"*"

" '"""N " #"' '"' " #

1 Annual whole body esposure of a e sample:

or (b)if the!*formahon. had H been complete member of the pubbe m escess of 0.5 rems of

1. R adiation levels. contammahon les els, or m

f.uhatmn:

reirases that esteed 10 times the hmits and accurate at the time prouded, hkely

2. Surfare contammahon in escess of 10.

spcuhed in the hcense:

would bas e resahed in regulatory achon such but not more than 50 nmes the NRC hmtt't 2 A m3 stem desgned to prevent or nubpate as an immethate order required by the pubhc q

3 F sternal radiatmn In cis in e stess n a serio a safets csont nr t bems operable bO d MM-Inc. but not more than to hmes the NRC wben actuall3 reymred to perform its design 2 Incomplete m maccurate inimmahon bmit. or f unctmn: or that the NRC requ; ten be kept b) a hcensee 3 A nm.k at cnhcab't atcident.

"h'ch is (al mcomplete or macturate twcause 11 Snent) ll-Viutations involvmg for

l falsincahon by or with the knew. edge of a

,, Fmme uompm.imn revnremni, are aWied niore then one in cmce unnhed in the san.,

es a mpie.

heensee ofhcial ur (b!if t w informahon. had l

c H been cont ete and accurate when l

l. Rd h

c ntaminalmn les els. or i

su$h. r n[N,nY,b$c*ne,a releases that esteed ine time, the hnuts res*wed b) the NRC hkely wouhi hase j

i utmo mil t.e direca.a.g. inst the re.pannai, spdoM m Se kenm m WW

• WM "M d " "

1 temee whu h under ab tirtmainees of the ranc.

2. A system desumed in pen ent or mihgate imrnedmit mder required by pubhc health ma tie one or em're of the twennen inwind a anon safety n ent bem t inuperable

""d 8dI') C""de ranuns.

s 3 Informutmn that the hcensee he ederihhed as hovmg signihcant imphtahons 7

" in upptpas the cumples m thn w+1ement reg.ordna itsenvrate or imumpiric udorwho and records remena alm should tir nia,lc to ihr gedante en $ntwn Yi January 31,1990 g

q A p. C(Supp. Vill)

P App. C(Su'pp. Vil)

PART 2 e RULES OF PRACTICE FOR DOMESTIC UCENSING PROCEEDINGS for pubhc health and ufet) or the common which is (a) incomplete or maccurate because [

defense and security ('sigmhcant mformation of madequate actions on the part of hcensee Mmor violet one of fitness-for duty idennhed b) a hcensee") and is dehberately ofhcials but not amountmg to a Seierit)

& requirements' withheld from the Commissmn.

Im el I or 11 nolation. or (b) if the w

g 4 Achon b) semor corporate management mformatmrt had it been complete and 7,

6 m unlahan nf 10 CFR 50 ? or umilar accurate when renewed b) the NRC. hkel) e.

$ regulations agamst an employee or would have resulted m a reconsideration of a S A knom ma and mientional failure to g regulator) position or substantial furthe' Supplement Vill-Severity Categories

-prende the nuisce required bs Part 21.

O nquiry suc.h as an additionalinspection or a i

~

W larmal request for knformatmn.

Emersency Preparedness g 3 Failure to proude "signihtant A Seserity I-Violations involving for b Failure to substantially implement the mformation idenuhed by a hcensee" to the example; g Commission and not amountmg to a beverity required f tnew-for duty program se In a general emergency, hcensee failure to Level I or 11 siola tion.

promptly (1) correctly classify the event. (2)

4. Action b) f rat.hne supervision in make required ratihcations to responsible D. Ses crit) Il-Violations involving for violatmn of to CFR 501 or similar regulations Federal. State, and local agencies. or (3) example.

against an employee: or respond to the event (e g., assess actual or 1 Instrurate or incomplete information

6. Inadequate res t(w or failure to review licensee olhaal because of careless disregard.

such that. If an appropriate review had been potential offsite consequences, activate a bch is provided to the NRC la) by a made as required, a part 21 report would emergency response facilities, and augment shift staff) for the completeness or accuracy of the

,have been made.

D. Severity ll-Violations involving for infortnatmn. or ib)if the information. had it been complete and accurate at the time h 6. Failure to complete a suitable inquiry on

"**Pk presided. hkely would hase resulted in the basis of 10 CFR Part 26. keep records

1. In a sin area emergency, hewn fauure regulatory actmn sur h as a show coune order concerning the denial of accen. or respond to

"[Pf,I d

f n

p n le or a thfierent regulater) positmn.

inquiries concerning such denials such that.

T 2 Incomplete or inaccurate information as a result of the failure. a person previously Federal. State, and local agencies, or (3) g which the NRC requires be kept by a hcensee denied access for fitness-for duty reasons rup nd to the event le g assess actual or which is la)incompleie or inaccurate because 6 of careless disregard for the accuracy of the was improperly granted access; E"""

• • '""* " "f"'**

g informahon on the part of a hcensee olhclal,

7. F ailure to take the required action for a N 'hift staff); or

"8'"# I '"E""" * *

'"'""'"8"*"I or (b)if the information, had it been complete person confirmed to have been tested hs 2. Licensee failure to meet or implement

' 8 8

U and accursie when resiewed by the NRC.

h s e oun 8o m re than one emergency planmng standard hkely would hase resulted in regulatory g involving assessment or notihcation.

achon such as a show cause order or a Sentny kulli dolabon; C. Severity til-Violations involvmg for different regulatory position.

8. Failure to assure as required. that

,,,,pi,:

3 "Sigmhcant infermahon identified by a contractors or vendors have en effective

1. In an alert, hcensee failure to promptly bcensee" and not prouded to the fitness for duty program, or (1) correctly classif) the event. (2) make Commission becane of careless disregard on

9. Breakdown in the htness for duty required notifications to responsible Federal.

the part of a hcensee ofhcial, program involving a number of violations of State, and local agencies, or (3) resporid to 4 Achon by plant management above hrst-the basic elements of the fit.ess for duty the event [e g assess actual or potenhal hne supervision m slolahon of 10 CFR 50.7 or program that collectively reflect a sigmhcant offsite consequences. activate emergency similar regulations against an employce. or lack of attention or carelessness suwards response facihties, and augment shift staff).

5 A failure to proude the notice required meetmg the objectivu of to CFR 26.10.

or

,.by Part 21.

1

2. IJcensee failure to meet or implement k 6. Failure to remove en individual from m emergency Nanning Mad inWng es mP -

assessment or notihcation.

unescorted access who has been involved in

1. Incom'plete or inarcurate informahon of D. Severity IV-Violahons involving for the sale use, or possession ofillegal drugs more than minor significance which is esemple:

within the protected area or to take action for on duty misuse of alcohol, prneription drugs.

? prouded to the NRC but not amountmg to a Licensee failure to meet or irnplement any Severity Level 1.11 or til siolahon; emergency planning standa,rd or requirement or over the-counter drugs;

7. Failure to test for cause when observed 2 Information which the NRC requires be not directly related to assessment and hpi by a heensee and which is incomplete or notihcation.

behavior within the protected area or E maccurate and of more than minor E. Severity V-Violations that hat e minor n

wit in the proIected a es in b {8

'*"',",b not anmunting to a Senruy safety or endronnwntal signacanco te a ble g

unhtness for duty based on drug or alcohol 3 Inadequate renew or failure to review

""i '

8. Deliberate failure of the hcensee;o under Part 21 or other procedural violations associated with Part 21 with more than minor Employee Assistance Program to notify heensee's management when EAP's staff is

-safety sigmhcance.

aware that en individuars condition may b 4. lsolated failures to meet basic elements

_ adversely affect ufety related actnrtun.

of the Liness for. duty program not involving

~ C. Severity Ill-Violahons insolvmg for a Senroy kun R or m Mahon.

@ ope. Fauure to repon acts of hcensed 5

esemple; rstors or supervisors pursuant to 10 CFR

1. Incomplete or inaccurate informahon which 6s pr'ouded to the NRC (al because of g 26.73.

inadequate actmns on the part of hcensee

$ ofhcials but not amountmg to a Severity F. Severity V-Violahons of minor g Lesel1 or Il violahon, or (blif the procedural requirements of Part 21.

information. had it been complete and

1. Incomplete or inaccurate information d accurate at the time provided. hkely would which is provided to the Commission and the g have resulted in a reconsideration of a h" incornpleteness or inaccuracy is of rninor regulatory posit on or substantial further g sigmhcance, inquir) such as an adihtionalinspecimn or a

2. Infor nahon which the NRC requirn be formal request for Informahon; 3 kept by a heenve which is incomplete or

2. Incomplete or inaccurate informatio:.

inacturate and the incompleteness or whgh the NRC requires be kW Ny 9 bcensee-inaccuracy is of minor sigmficance; or

3. kt nor procedural requirements of Part as no enemples for violahm...or funess for. duty

" 21.

reiste to violatene of to CHL Part 2a.

2 91 June 30,1989 l

t 3

r.a.r.i n.si.i., / voi. ss, so. e4 / To.. day April 3,1990 / Proposed Rul.s (d) Upon review of the answer filed adequate protection of the public health NRC or Agreement State-licensed pursuant to paragraph (a)(2) of this and safety, facility, of ten without the knowledge of section, or if no answer is filed, the savss:The comment period expires the NRC or knowle by the new -

Commisalon may institute a proceedmg June 18,1900. Comments received after employer of the emp

's prior

,j pursuant to to CFR 2.202 to take the this date will be considered if it is conduct.he Camde has also 4

action proposed in the demand to show practical to do so, but assurance of noted that willful acts of licensees

• 3 cause or to take such other action as consideration is given only for contractors, vendors, or their employees may be proper, comments filed on or before that date, have caused licenaces to be in violation 5.Section 2J00 is revised to read as Anonstsas: Mail written comments to:

of Commission requirements.%e followr:

Secretary, U.S. Nuclear Regulatory Commission believes that additional Commission, Washington, DC,20555, enforcement options are needed to I

Attention: Docketing and Service address directly persons who are not g:

The general rules in this subpart Branch. Deliver comments to One White themselves licensees, but are or have govern procedure in all adjudications I'l nt North,11555 Rockville Pike, been engaged in licensed activities and initiated by the issuance of an order Rocisville, Maryland 20852, between 7:45 whose willful mhconduct, directly or 1

pursuant to n 2.202, an order pursuant to em and 4:15 pm Federal workdays.

indirectly, causes a licensee to be in

• i 12.20!(c), a notice of hearing, a notice of Copies of comments received may be violation of a Commission requirement proposed action issued pursuant to examined at the NRC Public Document or places in question the NRC's i 2.10b, or a notice issued pursuant to Room 2t20 L Street NW,(lower Level),

reasonable assurance of adequate t 2.102(dl(3).The procedure applicable Washington, DC.

protection of the public health and safety. "lJeensed activities, as used in

J to the proceeding on an application for a Pon FURTHen INFonMATeoes CONTACT

+

licenne to receive and possess high. level James 1.leberman, Office of this rule, includes those actions that radioactive waste at a geologic I:nforcement. U.S. Nuclear Regulatory enable a licensee to carry out its repository operations area are set farth Commission, Washington, DC 20555, license.'

in subpart l of thit, part, telephone: (301) 492-0741.

With the Commission's jurisdiction.

Dated at Rockville, Maryland % 2rh day SUPPLEMENTARY 180FonMAftoN:Over the that encompasses all of those activities that a licensee or its contractors, of March 1990, years, the Commission has in most cases for the Nuclear Regulatory Commission.

Issued licenses to organizations rather employees, or other agents perform to famuel 1. Chi!L.

than individuals.IJkewise, the permit the licensee to carry out Secretaryof the Cunmissicn.

Commission's enforcement program activities licensed by the Commission in lFR Doc. txM409 Filed 4-Mio. 8.43 aml holds the licensees responsible for not accordance with Commission ewwo coot mun-u only the conduct of operations, but also requirernents, whether performed on or for the conduct of their employees, off site.

consultants, or contractors. Until now, Accordingly, the Commission is 10 CFR Parts 33,40,60,60,61,70,72, enforcement actions concerning persons proposing to amend its regulations to 110 and 150 who have willfully caused violations of put on notice all those who are engaged Commission requirements or otherwise in any manner in activities subject to the MN 3tS&AD38 have engaged in willful misconduct in Commission's jurisdiction that they may connection with licensed activities be subject to enforcement actio,n for M M ut W eeen h et @ M oence p'

• Peteens consisted of actions against licensees, willful misconduct that causes a l

Including Notices of Violations, civil licensee to be in violation of any rule, actNcy: Nuclear Regulatory penalties, and orders modifying the regulation, or order issued by the Commission.

license to direct removal of the Commission, or any term, condition, or ACTION: proposed rule, individual from licensed activities at the limitation, of any license issued by the licensed facility where the violation Commission." The proposed change

SUMMARY

The Nuclear Regulatary occurred. or orders confirming that the makes any person who violates this Commission (NRC)is proposing to licensee has removed an individual from requirement subject to enforcement

.l revise its regulations to put tmlicensed licensed activities. These actions only action in accordance with the persons on notice that they may be

%directly reach an individual.

procedures of 10 CFR part 2, subpart B.

eubject to enforcement action (1) for These instances of willful misconduct That subpict provides for issuance of I

willfully causing a licensco to violate on the part of unlicensed individuals Notices of Vioalm civil penalties, and

)

any of the Commission's requireronts have caused NRC to have reduced

orders, or (2) for other willful miscor.Juct that confidence that all of these individuals These changes will allow the (a) arises out of activl4. within the would conduct licensed activities in a Commission to utilize the full ratae of jurisdiction of the NRC and (b) places in manner that adequately protects public enforcement sanctions, where question the NRC's reasonable health and safety,This conduct has warranted, against any person i41 fully i

I assurance that licensed activities will be included deliberste violations of NRC violating or causing a violation r4 conducted in a manner that provides requirements, falsification of records, Commission requirements.Tnb would adequate pmtection to the public health false statements to the NRC, and include licensee employees, ve.ndors, and safety, The proposed rule would interfering with an NRC investigation, as contractors, and consultants, and their subject a person who enguges in that well as other forms of wrongdoin8. After employees, and other agents of i

I conduct to enforcement action under becoming aware of such conduct, a licensees. The Commission emphasizes existing regulations. This proposed rule licensee may dismiss the employee that, by taking action against these will enable the Commission to better either by its own decision or because persons,it doca not intend to diminish address willful misconduct that places the NRC formally orders removal of the the responsibility of a licensee for the in question the reasonable assurance employee from hcensed activity.

that licensed activities will be flowever, the wrongdoer may seek other

,uun.ed ctivar.....d in ime r.onient i..

conducted in a manner that will provide employment in the same field at another 1, road term. coextensive

Federal F.egnaler / Vol. E No. 64 / Tuesday. April 3, less / Proposed Relen 13375 conduct ofits employees and therefore.

licensed actwities would cause the staff litiastnam is accardance with 10 CFR as appropnate, the Cummission also will to lose its confidence that there is a 2 ans. EdwoM Heas, fr. AMool Cecier, be taking action against the beensee reasonable assucance that bcensed Altas L as NRC 477 (1988), and Einlay

directly, activities will be condected in Testify lohosstocks, Isac., LJIP-48-17,27 The proposed regulations focus on accordance with the Commission's NRC 5e8 (1986).

wmful misconduct. A violation is willful requirements, and (2) the NRC believes As a supph to se order to an if an individual either knew that the that is has sufficient evidence to prove individual she Cesnsnission asight also 3

conduct was prohibited o-showed a by a preponderance of the evidence that order the faclkty licensee to rusnove the careless disregard for whether the wrongdoing occurred.

Individual been licensed activities. This conduct was p ohibited. Careless A situatlan in which it might be would prov6de additional assurance that disregard has been described as a appropriate to issue an order to an the individualis actually removed.1f the showing of disregard for a governing unhcensed individualis the case of an licensee has already removed the statute or an indifference to its employee of a licensee willfully causing wrongdoer, the NRC could issue an requirements. 7 tons World Airlines. Inc. that licensee to be in violation of order to the licensee confirming the

v. Thurston. 409 U.S.111 (19Eh U.S. v.

Commission requirements. As a result of removal and requiring the licensee to Ilhnois Centrol/lallroa1 Co. 303 U.S.

that individual's action, the Commission notify the NRC if the licensee desires to m

239 (1938). In the Commission's might eo longer have reasonable use the individual in licensed activities statement of considerations for the fmal assurance that requirements necessary in the future, and to provide the basis rule on Completeness and Accuracy of to protect the public health and safety for doing so.These orders could also Information (52 FR 49362 65; December would be followed if that individual direct the licensee to advise any 31.1987) the Commisslun noted that were to continue to engage in activities prospecthe employer conducting willful conduct includes

• careless within the Commission's jurisdiction, licensed activities, who inquires about disregard"in that it " connotes a Another example where on order to an the past employment of the wrongdoer, reckless regard or callous * *

• individual might be appropriate is the of the issuance and publication of the indalerence toward one's case of an unheensed individual who removing or confirming order. %ese responsibihties or the consequences of willfully provides an inspector, latter requirements may be appropriate one's actions? The NRC's Enforcement investigator, or other NRC employee because, while the NRC has preferred policy.10 CI'R part 2, appendix C, with inaccurate or incomplete not to be involved in licensees' General Statement of pohey and information on a matter material to the employment decisions,it has become Procedure for NRC Enforcement Commission's regulatory apparent that licensees need more Actions, states that " willfulness * *

• responsibilities. Additional cumples complete background information about embraces a spectrum of violations include a supervisor who discharges an prospective employees to make better ranging from debberate it tent to violate employee for raising safety concerns, a employment decisions. In some or falsify to and including careless company officer who directs employees instances, checking previous disregard for requirements? A finding of to provide false information to the NRC, employment can be thwarted because careless disregard indicates that the an employee who falsifies records of employers are often reluctant to divulge person acted with reckless indifference required information, or an employee to prospective employers any to the requirement, or with disregard (or who willfully defeats alarms that have derogatory information about former utter unconcern) of the consequences or safety significance, employees, due to state laws and fcur of whether there was compliante. This Depending on the circumstances of tort liability, Similar restrictions have recklessness involves, et a minimum, an ther,e types of cases,it might be been adopted in a final rule of the unconcern as to whether a requirement appropriate to issue an order to the l'ederal Railroad. Administration, M FR was or will be violated, or a situation in individual either prohibiting the 42894 (October 16,1989).

which an individual blinds himself or individual from being involved in NRC Additional examples of potential l

herself to the realities of whether a licensed activiiles, conditioning the application of the proposed rule include violation has occurred or will occur, individual's involvement in those companies that provide tenting services This contrasts with violations caused by activities, or requiring the individual to and whose employees willfully supply

,b simple error, misjudgment.

provide prior notice to the Commission false data to a licensee in on effort to y

miscalculation, ynorance, or confusion before engaging in licensed activities in prevent the licensee from being in on the part of the individual.

the future.The provision for prior notice violation of 10 CTR part 50, appendix B; In most cases, taking action directly would permit the Commlesion to vendors whose willful false certification against the licensee should be sufficient evaluate whether it needs to issue an causes a licensee to acquire components for conduct that does not involve additional order to prohibit or condition that do not meet hcense requirements,

~

wrcngdoing, that is, conduct that does the individual's involvement in licensed such as the ASME code, where required; l

not rise at least to the level of careless activitics or to determine whether and companies that supply components l

disregard. Ilowever, this focus on willful increased inspection effort is needed,in or other items knowing that they do not mhiconduct in the proposed regulations addition, the order might require the comply with their certificates of should not be construed to condone individual to inform future employers compliance. In these cases, depending i

negligent conduct by a person that licensed by the Commission of the on the circumstances, an order m4ht be causes a violation. In cases involving existence of the order,%is would issued to the contractor or vendor, negligent conduct, action against the provide some assurance that, should the prohibiting use of a service, product, or individualis more appropriately individual be employed to perform component in licensed activities, or to handled within the licensee's remM!ial licensed activities in the future, the new the employee who had willfully em;doyer would be aware of the committed the misconduct, prohibiting program.

Cases addressed in this rulemaking individual's past conduct and ensure that employee's involvement in licensed where orders are issued are significant that appropriate osersight is in place.

activities, matters in which (1) the staff concludes Some of these conditions have been The Commission also recognizes that that the person's involvement in used 13 the Commission in settlement of certain misconduct may not be a

c

~

13376 Federail Register / Vol. 55 No. 64 / Tuesday, April 3.1990 / Proposed Ruhs j

,/

i violation of a Commission requirement.

radiographer working independently in -

violation of Commission requirements or However, when that misconduct occurs the field as contrasted with a team places in question the NRC's reasonable in connection with licensed activities or activity at a power plant).

assurance that licensed activities will be reasonably reflects on the ability of the

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

conducted in a manner adequate to individual to safely undertake hcensed disciplinary action taken.

protect the public health and safety. in

!j activities within the Commission's 6.The attitude of the wrongdoer.eg.,

addition. Notices of Violation with civil

'6 jurisdiction and raises a serious admission of wrongdoing. acceptance of penalties will be authorized for willful question as to whether there is responsibility.

misconduct that causes a licensee to be

]

reasonable assurance of adequate 7.The degree of management in violation of Commission protection of the public health and responsibihty or culpabihty.

requirements. While civil penalties will safety if the person continues to be

8. Who identified the willful not be available for willful misconduct involved in licensed activities. NRC misconduct.

that does not cause a licensee to be in should have the ability to issue an order The orders described above would be violation, civil penalties are available 1i to the person involved in the issued only for willful misconduct that for violations of all orders issued under misconduct. %crefore, the Commission bears on the person's ability to carry out the rule.

is including In the prop ed rule a health or safety.related responsibilities.

In sum, orders to unlicensed persons provision that states:"In addition, the in most cases, the order would require may include requirements such as:

Commission may issue an enforcement the person to divulge the existence of

1. A prohibition against any order 8 pursuant to 10 CFR part 2.

the order to a prospective employer or involvement in NRC. licensed activities, subpart B, to address willful misconduct customer involved in licensed activities.

generally for a specified period of time.

h of persons that arises out of activities Ordinarily, the Commission would

2. A prohibition against any

{

within the jurisdiction of the NRC and expect to provide a specific time limit involvement in NRC. licensed activities l

places in question the NRC's reasonable for the provisions of the order, and a until certain conditions are satisfied.

assurance that licensed activities will be process for relaxation of the order.

eg, completing specified training or conducted in a manner that provides These orders will be subject to the meeting ce,tain qualifications.

adequate protection to health and safety procedures and hearing rights of to CFR

3. A requirement to notify the NRC of the public." This provision is intended part 2.8 before tesuming work in licensed to address cases in which the willful Issuance of the orders described activities.

misconduct does not in itself constitute above would have the benefit of making

4. A requirement to tell a prospective or create a violation of Commission the NRC aware of the person's future employer or customer engaged in requirements, either because of the involvement in licensed activities for the licensed activities that the person has wording of the particular requirement time specified in the order, so that the been subject to an NRC order, applicable to the activity or because NRC may monitor that involvement as Orders to licensees who are NRC has not yet acted in an area,1.e, necessary. lt will alan provide future employers or former emplo)ers of drug use by employees of a materials employers involved in licensed activity individuals subject to orders may licensee while engaged in licensed the opportunity to make informed include requirements such as:

activity.This willful misconduct employment decisions, provided that the

1. Removal of an' individual from nevertheless may raise concerns that person complies with the terms of the licensed activity.

cause the NRC to question whether order and informs the NRC and new individua1uirement for retraining certain

2. A re there la reasonable assurance that NRC-employet, as required. lf the person does (s) as a condition of allowing licensed activities, with that person not comply with the terms of the order, the person to continue in licensed present, will be conducted in a manner the failure to do so when identified, activities that provides adequate protection to the could subject the offender to a civil

3. A requirement to advise any health and safety of the public. la these penalty or could be referred to the p ospect ye employer who inquires cases, where there is a reasonable basis Department of justice for criminal about an individual of the existence of for a regulatory concern, lasuance of prosecution, any order issued to the individual.

i orders or demands to show cause might in a separate rulemaking published

4. A requirement to notify the NRC if be appropriate pursuant to the proposed simultaneously with this rulemakir.g. the the employer rehires or restores the 6,i revision to 10 CFR 2.202 and 2.204.

Commission is proposing revisions to individual to licent.ed activity, and to in deciding when to issue an the Commission's procedures in to CFR i

state the basis for so doing' lonal enforcement order, the NRC tecognizes part 2, subpait B, to expressly provide

5. A requirement for addil that judgments will have to be made on for issuance of orders to persons not oversight or independent verification of a case by case basis. llowever,in licensed by the Commission but who are

'" i ' "f d b th

' if 11 making these decisions, the NRC will otherwise subject to the Commission's to c n nue tobein olvedin

[ers""*"d "etiviti" consider factors such as the following:

jurisdiction. Following promulgation of 1.The level of the individual within this rulemakin8 and the Part 2 Ordinarily, requirements such as the o anization.

rulemaking. there will be substantive those listed above will be imposed for a 2.

e sa y consequences o e and procedural rules governing the spec f ed period of time. A person willful misconduct.

Issuance of an order or a show cause subp' ct m an orda may, at any tim, 3.The benefit to the wrongdoer, en demand not only to a licensee as mda im personal or corporate gain.

currently provided' but also to' an request MRC to Max the,th the good cause in accordance wi l-4.The degree of supervision of the unlicensed person whose willful prWsh W e d u.

Individual' 1.e., how closely is the mise n uct caum a gicensee to Mn Orders, including orders imposing Individual monitored or audited, and the likelihood of detection (such as a civil penalties, are published in the

• As indmated in the test. a separate rulemaking is Federal Register and NUREG.0940, vnderway addressing pror.edures for issuins orders.

(Enforcement Actions:Significant

• The term *enfortement order" refe's to an order Umler that proposal. a hearms Wil not be provided dmied to e person but which does not impose e for a show cause demand because those demands Actions Resolved). and are also the l

thit penahy require only a wriHen response, subject of a press release. In addilion,

Federal Register / Vol. 55, No. N / Tuesday, April 3,1990 / Proposed Ihdes 33377 the Comraission intends to establish a directly against enheceed ind6esdeals and Renible as& user as she system of records that will include a list by order or civil penahy or tasuing a Commission. See Power Acaciarbee.

j of all persons currently subject to en civil penalty in the case of a heensed Co. v. laderwen'apef Llmann of Elec Aedio order that affects their participaticm in reactor operator persuant 1e to CHL part and Much. Wor 6ers, AM.-CFO. asr U.S.

j hcensed activities. A list and copies of

$$.' Prior retice vrill be s'ven to the 32 (19st h Ceanectu st Light and /beree all currently e!!cetive orders will be sent Commission on Notices of Viciation Co. v. #wedeer Aegelosory Cwam'n, s 3 le all power reactor licensees twice a without civil penetties that are issued to F.2d 525,527. m.s (DC C6r.1m2): New year.The list, with copies of orders, will unlicensed indirtduals and actions Nompshire v. Asewreic Eacrgy Comvn.

tie made available to other licensees taken against other tmheensed persons.

400 F.2d 178.1n-74 (1st Cir.1989); Seegel and members of the pubhc on request.

such as corporations or partnerships.

v. Atornie Energy Comes'n. 400 F.2d 779.

The Commission believen that these Enforcement actions against unlicensed 783 (DC Cir. timsh but of. Reynolds v.

actions will provide greater assurance persons as with other NRC enforcement UnitedStates,2n6 F.2d 43319th Cir.

that licensees will be aware of persons actions. require the exercise of 1900) (interpreting section 1611in detail who have been the subject of an NRC discretion and will be taken dependent and holding,in the context of the AEC's enforcement order.These at tions should on the circumstances of the case, bomb testing activities. that section proside better accountability for At the time of final rulemaking tm 1611(3) authorized the AEC to take employees, consultants, contractors, and these matters, the Commission also action to govern the activities of private vendors in the nuclear industry and intends to modify its Enforcement licensees and not the activities of the increase their responsibility and thus Policy,10 CW part 2. appendix C, to Commisslan itself, the court's use of the improve the quality of performance, and address enforcement actions against word " licensee" is dictum with regard to i

therefore, the protection of the public unlicensed persons. *Ihe Policy will be the term in the context of this notice).

health and safety. Use of these orders clarified to provide that when the NRC a

ng da should also serve as an effective proposes to take escalated enforcement a{s

( C) deterrent to wrongdoers and inadvertent action against an unlicensed person. an enabling statute, which, in many ways, emplo> ment of wrongdoers throughout enforcement conference will normally the regulated industry. Adoption of be held with that person.The Policy is analogous to the Atomic Energy Act, theseproposed regulations will not alter does not now provide for the amount of also support the principle that the Commissioo's authority is broad in the NRC's procedures for referring civil penalty that may be assessed certain allaged or suspected criminal vendors, contractors, or individuals who scope. The Federal Communications Act violations of the Atomic Energy Act to are subject to civil penalties. Therefore, of 1934 (the 1934 Act) broadly authorizes the FCC to "make such rules and the Departrnent of justice for Table 1 A of the Policy will be modified appropriate action.

to include vendors and contractors with regulations, and issue such orders, not it would be an erroneous readmg of

" Industrial users of material," and inconsistent with (the 1934 Actl. as may the proposed regulations to conclude "other individuals subject to NRC be necessary in the execution of its that conscientious people may be jurisdiction" will be included with f unctions," 47 U.S.C.1541 (1982). This subject to personalliability for mistakes. "Other materiallicensees." The provision la similar to section 1611(3) of The Commission reahres that people Commission also intends to include in the Atomic Energy Act of1954, which may make mistakes while acting in good the Policy examples of when authorites the Commission to " prescribe faith, and enforcement actions directly enforcement action might be taken such rules, regulations, and orders as it against individuals are not to be used against individuals, similar to the may deem necessary to govern any for activities caused by merely neghgent cAamples set out in this Statement of activity authorized pursuant to the conduct.These persons should has e no Considerations. The Policy will also (Atomic Energy Act of 1954l * * ' in fear of individual liability under this reflect that a person subject to an order to protect health and to minimize regulation as the rule requires that there enforcement order will be given a right danger to life or property * * *." 42 be willful misconduct before the rule's to a hearing and, as stated above, U.S.C. 2201(i) (3) (1982). A number of sanctions may be imposed.The consultation with or prior notice to the cases have analyzed r,ection 1541 in Commission recognizes, as stated in Commission will be required.

detail and held that the FCC's ordering

.i section E. " Enforcement Actions This rulemaking implements the authority la necessarily broad. See insoldng Indisiduals." of the NRC Commission's authority under the Fedem/ Cornmunications Commission v.

policy und Procedure for Enforcement Atomic Energy Act of 1954, as amended, NationalCitizens Committeefor Actions. Policy Statement.10 CFR part to issue regulations and orders to any -

Bmodcasting. 436 U.S. 775 at 793 (1978);

2. appesdit C (1W). that enforcement person (defmed in section 11s to include. Uni /W/ States v. Storer Bmodcasting actions involving individuals are c.R., an individual, corporation, firm or a Co. 351 U.S.192 at 203 (1955): National significant actions that need to be Federal. State or local agency) who Smodcasting Co. v. United States. 319 closely controlled and judiciously engages in conduct affecting activities U.S.190 at 196 (1943); Lincoln Telephone applied.The Policy also states that within the Commission's subject. matter and Telegraph Co. v. Federal action will not be taken against an jurisdiction. The few court cases that Communications Commission. 650 F.2d individualif the improper conduct was deal with the scope of the general 1092 (DC Cir.1981); Americon caused by management failures.

authority Congress has granted the Telephone and Tehyruph v. Fedeml The NRC Enforcernent Policy Commission usually de so in the general Communientions Commission. 487 F.2d currently requhes that all enforcement discussion or in passing and conclude 805 (2d Cir.1973); GTE Service Corp. v.

actions involving unlicensed individuals, that section 101 confers uniquely broad Fedeml Comomnications Commission.

and licensed individuals pursuant to 10 474 F.2d 724 (2d Cir.1973); and it'estern CFR part 55. be approved by the Deputy

• Consettatum wMhe Comm=.km d*e not Union Telegmph Co. F. Umfed States.

Executive Director for Nuclear h1aterials P%tude na e=0 from tauns imnadetetW$*

207 F.2d 715,722 (2nd Cir.1959). It has

" """,((yM8$'M,Q[*

been held that the FCC has authority to j

Safety. Safeguards, and Operations y

issue orders under section 1541 to Support.The staff will consult with the suspendins license and oracrins radionm, Commission before taking action saum aitic removed persons whether licensed or not. United

4 9

d373 Federal Register / Vol. 55. No. 64 / Tuesday. April 3,1990 / Proposed Rules States v. Southwestern Cable. 392 U.S.

individuals who willfully cause a who may be hired by others in the 157 at 180-81 (1968).

licensee to be in violation of industry, without knowledge of the prior Section 1811 provides broad authority requirements because they are persons wrongdoing, or who a.v rehired by the to issue regulations as the Commission who violate the licensing provisions former employer,in those instances deems necessary to govern any activity enumerated in section 234. In cases where no order was issued.

authorized pursuant to the Atomic where the Commission issues an order The Commission is concerned about a Energy Act in order to protect the public (other than an order imposing a civil number ofincidents of wi!!ful.

health and safety, Section 161b similarly penalty) to a person based on willful wrongdoing in recent years in which it s

authorizes the Commission to issue misconduct that causes a licensee to be has been limited in its ability to address regulations to impose ** standards and in violation of a Commission the problem directly or to have some instructions" on persons to govern the requirement or to a person whose willful control over the activities of the possession and use of special nuclear misconduct,in the absence of a wrongdoer in the near term. While the material, source material, and byproduct violation, places in question the NRC's number of cases of willful misconduct of material, as may be necessary or reasonable assurance that licensed which the NRC is aware is not large, any desirable to provide for the common activities wl!! be conducted in a manner number is unacceptable and the defense and security and protect the that provides adequate protection to the potential for injury is serious enough public health and safety, health and safety of the public, the order that the problem must be addressed.

Section 234 of the Atomic Energy Act would be issued, in part, pursuant to a The objective of the rule is to put authorizes the NRC to impose civil regulation (e.g., propnsed i 50.5) that everyone subject to the Commission's penalties on unlicensed individuals, was promulgated under a licensing jurisdiction on notice that enforcement including those who conduct licensed provision of the Atomic Energy Act, and action, including civil penalties, might activities as employees of licensees, for a civil penalty would be available for be taken against them for willful violation of the NRC's substantive violations of such an order. in addition, misconduct in relation to NRC licensed requirements. Section 234 reads as criminal sanctions under section 223 are activities. Under section 234 of the available for willful violations of orders Atomic Energy Act, the Commission follows:

and regulations under section 101b and may impose civil penalties on

a. Any person who (1) violates any licensir,g provision of section $3,57.62 c3, et,

l. Injunctions are also available under employees of licensees and others W 82.101,103,101.107, or 109 or any rule, section 232 for violations of Commission willfully cause a violation of a regulat6on, or order issued thereunder, or any

orders, requirement. The Commission also may i

Environmentallmpact: Cottworical impose a civil penalty on a person who

!ssu d tier n ier rI co its an violation for which a license may be revoked Exclusion violates an order issued to that person for willful misconduct, absent a under section taalof the 1954 Actl, shall be The NRC has determined that this violation, that placed in question the subject to a civil pennity, to be imposed by proposed rule relates to enforcement NRC's reasonable assurance that i

the Commission, of nnt to exceed $100mo for matters and, therefore, falls within the licensed activities will be conducted in a I

l cach such violation scope of to CFR 51.10(d). Therefore, manner that provides adequate The licensing provisions listed in neither an environmentalimpact protection to the public health and section 231a generally prohibit the statement not an environmental possession, usc, receipt, or, transfer of assessment has been prepared for this safety, because the order would be,

issued,in part, pursuant to a regulation nuclear malettals or facilities unless proposed rule, that was promulgated under a licensing authorized by a license.The specific prohibitions are es follows: Section 57 PaperwotA Reduction Act Statement provision of the Atomic Energy Act.The 03, and 81 prohibit persons from This proposed rule contains no enforcement actions that are taken, engaging in activities that may be information collection requirements and including orders limiting activities of licensed pursunnt to sections 53,63,81, therefore is not subject to the wrongdoers in the future and civil and 82 unless those persons or their requirements of the Paperwork penalties, will serve as a deterrent to ptincipals hold licenses that permit Reduction Act of 1980 (44 U.S.C. 3501 et others throughout the industry.

The alternatives availabic to the those activities. Section 101 prohibits seq.),

Commission are to propose a rule, as is persons from engaging in activities Rgulatory Analysis done herein, or do nothing. Given the regarding a production or utilization facility that the NRC licenses under The Nuclear Regulatory Commission frequency of these incidents, and the sections 103 or 1D1 unless those persons has statutory authority to issue potential harm to the public as well as -

hold licenses that allow those activities.

enforcement actions against unlicensed individuals working in NRC licensed Section 101 further requires thr.t persons persons whose willful misconduct activities, the alternative of doing licensed under sections 103 or 141 causes a licensee to be in violation of nothing was rejected.The benefits of 1

conduct activities licenred pursuant to the Commission's requirements or taking enforcement action are similar to those sections in accordance with the causes the NRC to question its those of taking action against licensed licenses.

reasonable assurance that licensed entities,in that a civil penalty and The proposed changes are made under activities will be conducted in a manner attendant adverse publicity encourage the authority of 10th and i and the that provides adequate protection to future com.pliance, the Notico of above. identified licensing provisions.

public health and safety, As presently Violallon calls for precise response as to The proposed rhanges will prohibit written, the Commission's regulations do corrective action taken, and, an willful misconduct that causes a not specifically implement that statutory enforcement order,if obeyed, may licensee to be in violation of authority and issuance of these orders.-

directly control the involvement of an -

Commission requirements. By imposing In the past, the Commission has issued individual in licensed activity. The a direct prohibition on unlicensed orders to holders of licenses directing effect of having these options available persons, the Commission will then be removal of wrongdoers from licensed '

in the enforcement program should able to exercise its section 234 authority activities. llowever, this approach does reduce the probability of repetitive to impose civil penalties on unlicensed -

not satisfy concerns about wrongdoers violations by wrongdoers,

j

.g..

Federal Resister / Vol. 55, No. 64 / Tuesday. April 3. 'l990 / Proposed Rules 12379 1

The NRC does not anticipate that 1985). Obligations would not be created reference, Intergovernmental relations, additionalinvestigations will be until an order is issued. at which time Nuclear materials. Nuclear power plants necessary to implement the rule because the person subject to the order would and reactors. Penalty, Reporting and it focuses or the results of have a right to a hearing in accordance recordkeeping requirements, Scientific investigations.The NRC estimates that with the regulations.

equipment.

fewer than five cases per year will 10 CFR Port 150 actually result in enforcement action Bo@nolym.

flazardous materials transportation, i

being taken against unlicensed This proposed rule does not invoh e Iniergovernmental relations. Nuclear individuals.The cost of preparing and any new provisions that would impose materials. Penalty, Reporting and publishing a very lew additional actions backfits as defined in 10 CFR recordkeeping requirements. Security per year beyond the current workload of 50.109(a)(1). Accordingly, a backfit measures, Source material, Special handling of more than a hundred analysis pursuant to 10 CFR 50.109(c)is nuclear material.

escalated enforcement actions per year not required for this proposed rule.

For the reasons set out in the is not significant.

flowever, issuance of orders pursuant so

'Ihe proposed rule w, l be this regulation may involve backfit preamble and under the authority of the d

implemented by processing,in the same considerations, which will be addressed Ato:r.ic Energy Act of1954. as amended, the Energy Reorganization Act of 1974.

manner as other escalated enforcement on a case-by-case basis.

5 : _.

actions, those cases of willful as arnended, and 5 U.S.C. 553, the NRC misconduct that come to the agency's Listof Subjects la proposing to adopt the following attention.The Commission will be 10 CFR Part 30 ara endments to 10 CFR parts 30. 40,50, consulted on actions that involve orders DyProduct mater;al, Government m 81. 70,72.110 and 15a or civil penalties against unlicensed contracts, Intergovernmental relations, PART 30-RULES OF GENERAL Individuals.The Office of Enforcement Isotopes. Nuclear materials, Penalty, APPLICABILITY TO DOMESTIC will also maintain a list of those Radiation protection. Reporting and UCENSING OF BYPRODUCT enforcement orders applicable to recordkeeping requirements.

MATERIAL individual wrongdoers and distributg, 10 CFR Part 40 twice a year to all power reactor Government contracts,llazardous 1.The authority citation for part 30 is licensees, a copy of the list of currently material. transportation. Nuclear revised to read as follows:

effective orders that restrict individuals materials, Penalty, Reporting and Authority: Secs. st. 82.1st,182,183. tac. 68 from licensed activities and copies of recordkeeping requirements, Source Stat. 935, MS. 953. 054,955,as amended, sec.

those orders.The same material will be material. Uranium.

234,83 Stat. 444, as amended (42 U.S C. 2111, avallable to others who request it.The 10 CFR Part 50 2112. 22m. 2232. 2233. 2230. 22B2); secs. 201.

Cost of distributing this information is Antitrust. Cla ssified inforrr ation. Fire as amended. 202. 2no. as Stat.1242. as negligible, protection, Incorporation by reference, amended.1214.1240 (42 U.S.C. 5Mt. 5842.

In light of the benefits of enabling the intrrgovernmental relations, Nuclear 5846).

NRC to use its statutory authority to power plants and reactors, Penalty.

Section 39.7 a'.so issued under pub L 95-address directly the willful misconduct Radiation protection. Reactor siting toi, sec.10. 92 Stat. 2951 (42 U.S C. 5851).

of unlicensed persons,it is appropriate criteria. Reporting and recordkeeping

$*,',I"[fne*n C$

that the Commission adopt the proposed requirements.

(t rule.

10 CFR Port 60 Sect on 30.01 also issued under sec.187. 08 Stat. 955 (42 U.S.C. 2:37).

P " blats, For th pur e o,f n Ryulatory Flexibility Certification pl n

to 3

St as mat m

in accordance with the Regulatory Penalty, Reporting and recordkeeping 30.Mtb). (c) r.nd (fl. 30 t t(a) and (c). and 30.53 Ilexibility Act of 198n 5 U.S.C. 605(b),

requirements, Waste treatment and are issued under sec.10tb. 68 Stat. Ma. as the Commission certifies that this rule,if disposal amended (42 U.S.C. 220t[b)l; I 30.10 is issued adopted, will not have a significant 10 CFR Part 61 under sec.1611. G8 Stat. 949, as amended (42 cconomic impact on a substantial Low. level waste. Nuclear materials, U.S C. 2201(i)); and il 30.6.30.9.30.30. 30.51.

number of small entities.The proposed Penalty, Reporting and recordkeeping 3as2. 30 55. and 30.50(b) and (c) are issued rule puts unlicensed persons on notice requirements, Waste treatment and under sec. toto. 66 stat. 950, as amended (42 that they may be subject to enforcement disposal U.SE 22m(o)).

actinn if they willfully cause a licensee 10 CFR Part ?O

2. Section 30.1 is revised to read as to be in violation of Commission llazardous materials - transpetu; ion, follows:

requirements or subject to an Material control and accounting, enforcement order if their willful Nuclear materials, packaging and i 30.1 Scope, misconduct places in question the NRC's containers, Penalty, Radiation This part prescribes rules applicable reasonable assurance that licensed protection. Reporting and recordkeeping to all persons in the Unite ' States activities will b i conducted in a manner requirements, Scientific equipment, governing domestic licensing of adequate to pro ect the public health Security measures, Special nuclear byproduct material under the Atomic and safety. The pgosed rule, by itself, material.

Energy Act of 1954, as amended (68 Stat.

does not impose 3 ny additional 10 CFR Part 72 919), and under Title 11 of the Energy obligations on entities, including any Manpower training programs: Nuclear Reorganization Act of 1974 (BS Stat.

regulated entities that may fallwithin materials, Occupational safety and 1242), and exemptions from the domestic the definition of *small entitles" as set health Reporting nnd recordkeeping licensing requirements permitted by forth in section O st(3) of the Regulatory requirements, Security measures. Spent section 81 of the Act.This part also 1

Flexibility Act, o r within the dermition fuel.

gives notice, in i 30.10, to all persons -

i of "small busine is" as found in section 3 10 CFR Part 110 whose actions enable a licensee to carry of the Small Du! mes. Act.15 U.S.C. 032, Administrative practice and out activities licensed by the or within the si.e standards adopted by procedure, Classified information, Commission, including individuals, the NRC (50 H. 50241: December 29, l'.xport, import, Incorporation by

. corporations, and other entities, whether

13338 Federal Register / Vol. 55 No. $4 / Tooeday, April 3, 'teso / Proposed Rales or not licensed by die NRC, that they Ide.a sampa.

inued under pub. L or.4te, so seet. sors (42 may be indiv6 dually subject to NRC Except as provided lei il 40.11 to 48.64 US.C. 2:39L liccasen aus also inseed under sec.122,asSat.eaH42 USA 21521 Was enforcement acties for weltful of this part, inclusive, the regulations le 80 h

a m

miscondwet that causes a 16censee to be this part apply to all persono in the

,,fd"8,,50 2$

s.

in violation of an NRC requirement or United States.This part also shes section m103 also inued under eac.10s, as that places in question reasonable notice,in i 40.10. to all persons whose stat.93e. as amended (42 US.C 213eh i

asserence of adequate protection of the actions enable a licensee to carry out Appendix F also luued under sec.187, en public health and safety.

activities licensed by the Commission.

Stat. 955 (42 US.C 2237).

3. Immediately following 9 30.9. a new including individuals, corporations, and For of sec. 22a.es Stat saa, se j

d (42 USC 2273[. Il ao.S. Ines(al i 30.10 is added to read as follows:

other entities,whethef or not licensed a

by the NHC, that they may be and (b). and 50.54(c) are seemed undee sec.

l 30.10 WWul misconduct.

Individuali su ect to NRC enforcement 161b es Stat.948, as amended (42 USE I

A person may not willfully cause a action for willfo misconduct that causes 22o1(b)k ll 50.5. 50.7(a), an10(aHcl. so.34(a) 4, and (e). 50.44(a){c) m4a(a) and (b). 50.47(bl.

licenace to be in violation of any rule, a licensee to be in violation of an NRC 60 48(a), (c). (dl. and (e). 50.49(a). So.54(a). (s).

regulation. or order, or any term, requirement or that places in question (i}(3 j, gtj.(n). (p). (q). (t). (v), and (y). 50.55[f).

condition, or limitation, of any license reasonable assurance of adequate 50.55als). (c)-le). lg). and (h). 50.5W(c). 50.Co(a).

issued by the Conrnission. A person Protection of the public health and 50 62(c). n64(b). and 50. sata) and (t,) are who violates this provision may be

safety, lasued under sec.1611, se Stat.949. as subject to enforcemer i action in

6. Immediately following 6 40.9 a new amended (42 US.C. 22o1(ilh and il 50 49td).-

accordance with the procedures in to i 40.10 is added to read as follows:

QN,,I,I' M,*,"

3 l

CF R part 2. subpart B. In addition, the Commission may issue en enforcement i 40 to WWuf enlocosiduct.

Sc.n(a).le) and tel. So.72(a). so.73(al and Ibk mM. 5078, and 50 90 are losued under nec.

order pursuant to 10 CFR part 2, subpart A person may not willfully cause a telo, sa 51at. 950, as asiended (42 US C B, to address willful misconduct of licensee to be in violation of any rule, 2E(oll.

persons that arises out of activities regulation, or order, or any term' cense a. Section 50.1 is revised to read as within the jurisdiction of the NRC and condition, or limitation, of any li g,;jo,,.

places in question the NRC's reasonable issued by the Commission. A person assurance that licensed activities will be who violates this provision may be i 50.1 sests, purpose, and procedures conducted in a manner that provides subject to enforcement action in -

appacable. -

adequate protection to the health and accordance with the procedures in to The regulations in this part are safety of the public.

CFR part 2, subpart B. In addition, the promulgated by the Nuclear Regulatory Commission may issue an enforcement Commission pursuant to the Atomic PART 40-DOMESTIC UCENSING OF order pursuant 1010 CFR part 2 subpart Energy Act of 1954, as amended (08 Stat.

6OURCE MATERIAL B, to address willful misconduct of 919), and Title !! of the Energy persons that arises out of activities Reorganization Act of 1974 (n3 Stal

4. The authority citation for pa:,. 40 is within the jurisdiction of the NRC and 1242), to provide for the licensing of revised to read as follows.

places in question the NRC's reasonable production and utilization facilities. "Ihis Authority: Secs. 62.63.64.85,81.161.182, assurance that licensed activities will be part also gives notice, in i 50.5, to all 163.180, es Sta t. 932,933,935,94a. 953. 9%

conducted in a manner that provides persons whose actions enable a licensee 055, as amended, seca.11e(2). 83. 84. Pub. L adequate protection to the health and to carry out activities licensed by the 4 83 a.44'4 s smenNt safety of the public.

Commission, including individuals.

U c rp rati ns, and other entities, whether 2014(e)(2). 20s. 3093. 2094. 2095. 2t ti, 2t t a PART 60-DOMESTIC LICENSING OF r n t licensed by the NRC under other 2114. 22o1,2232. 2233. 2238,2282h sec. 274.

PRODUCTION AND UTILIZATION Parts of this chapter, that they may be Pub. L eS373,73 Siat. ete (42 US.C 202t h FACILITIES secs. 201, as amended,202. 204 na Stat.1242, individually subject to NRC enforcement as amended.1244.1246 (42 U.S.C 5841, SM2,

7. The authority citation for part So is action for willful misconduct that causes SM6h acc. 275. 92 Stat. 30n, as amended by revised to read as follows:

a licensee to be in violation of an NRC o

Pub. L 37-415, b6 Stat. 20tl7 (42 U.S.C 2022).

'h Section 40.7 also issued under Pub. L 95 Authorlty: Sees.102,103,104,105.161,182, requiremenL of that plsces in quest *on i

001, sec.10. 92 Stat. 2951 (42 U.S C 5851).

183.100.189. es Stat. 936. 937,938, osa. 953, reasonable assurance of adequate Sectiun 40.31(gl also issued under sec.122. 68 954.955,956, as amended. sec. 234. 83 Stat.

Protection of the public health and Stat. 939 (42 U.S C. 2152). Section 40.40 also 1244, as amended (42 US.C 2132,2133,2134.

safety, iasued under sec.184. 08 Stat. 954, ae 2135, 2201, 2232, 2233, 2236, 2239, 2282): oces.

9. Immediately following l 50.4, a new amended (42 US.C 2234). Section 40 71 also 201, as amended,20a 200. 88 Stat.1241 as

! 50.5 is added to read as follows:

lasued under occ.187. 68 Stat. 955 (42 US.C amended. 1244,1246 (42 U.S.C 584 t 5642, i

2:37).

SM6).

I 50.5 Winfut mtsconduct.

For the purposes of we. 223. 68 Stat 958, as Section 20.7 also issued under Pub. L 95-i A person may not willfull cause a Iicensee to be in v*olation o(any rule, I

amended (42 U.S C 2273k ll 40.3,40.10.

001, sec.10. 92 Stat. 2951 (42 US.C 5851).

i 40.25(d)(1).(3). 40.35(a)-(d) and (fl. 40.4 t(b)

Section 50.10 also issued under seca.101,1&1 and (c). 40.45,40.51(a) and (c), and 40 63 are 68 Stat. 930,955. as amended (42 U.S.C. 2131, regulation, or order, or any term, issued under sec.161b, ca Stat. MS, as 2235h sec.102. Pub. L 91 100. 83 Stat. 853 (42 condition, or limitation, of any license amended (42 U.S.C 220 stb)h n 40.10 is issued U.S.C 4332). Sedons 50.13 and Go.54(dd) also issued by the Commission. A person under sec.1611. 66 Stat. 949, as amended (42 issued under sec.1oa, ca Stat. 939, as w ho violates this provision may be U.S.C 22o1 (llk and il 40.5. 40.0. 40.25(c).

amended (42 US.C 2138). Sccitons Sa23 subject to enforcement action in 50.35. 50.55, and 50.56 also issued under sec.

' (d)(3). and (4). 40.20(c)(2). 40.35(e). 40 42.

accordance with the procedures in10 40.01. 40 62. 40.64. and 40.63 a re issued under 185,68 Stut. 955 (42 US.C. 2235). Sections CFR part 2, subpart B. In addition, the 5 a a e 1 1ss d sec.1cto,60 Stat. 950, as amended (42 US.C

[3a, Commission may issue an enforcement (42 2MoS US.C. 4332). Sections 50.34 and 50.54 also order pursuant to 10 CFR part 2, subpart

5. Section 40 2 is revised to tend as issued under sec. 204. So Stat.1245 (42 U.S C B, to addeces' willful misconduct of follows:

5M4). Sections 50.56. 50.91. and 50.02 also persons that arises out of activities

i; 1

Federal Resister / V21. 55. N. 64 / Tuesday April 3,1990 / Proposed Rules 12381 s

within the jurisdiction of the NRC and CFR part 2. subpart B. In addition, the Commission may issue an enforcement places in question the NRC's reasonable Commission may issue an euforcement order pursuant to 10 CFR part 2. subpart assurance that licensed activities will be order pursuant to 10 CFR part 2. subpart B to address willful misconduct of conducted in a manner that provides B, to address willful misconduct of persons that arises out of activities i

adequate protection to the health and persons that arises out of activities within the jurisdiction of the NRC and safety of the public.

within the jurisdiction of the NRC and places in question the NRC's reasonable places in question the NRC's reasonable assurance that licensed activities will be i

PART to-DISPOSAL OF HIGH-LEVEL assurance that licensed activities will be conducted in a manner that provides s.

RADIOACTIVE WASTES IN GEOLOGIC conducted in a manner that provides adequate protection to the health and REPOSITORIES adequate rotection to the health and safety of the public.

10. The authority citation for part 60 is safety cf e public.

revised to read as follows:

PART 41-LICENSING SPECIAL NUCLEAR MATERIAL Authority: Secs 51.53.62,63.65.81.tet.

REQUIREMENTS FOR LAND

16. The authority citatSn for part 70 is 182.183. 60 Sta t. 929. 930. 932. 933. 935. 948.

DISPOSAL OF RADIOACTIVE WASTE revised to read as follows:

953.954. as amended (42 U.S C 2071. 2073, 2092.2093. 2n95. 2111. 2201. 2232. 2233); secs..

13.The authority citation for part 6t is Authority: Secs. 51. 53.161.182.183. 68 202. 200. 88 Stat.1244.1240 (42 U.S C. 5842.

revised to read as follows:

Sta t. 929. 930. N8. 953. 954.as amended. sec.

SMS). secs.10 and 14. Pub. L 95 001,92 Stat, dy: Secs.53,57,62,63,65.81.101, 234. 83 Stat. 444. as amended (42 U.S C 2071.

2951 (42 U.S C. 2021e aed 5a51); sec.102. Pub.

1*2.183. 68 Stot. 930,932. 933. 935. M8. 953.

2073. 2201,2232. 2233. 2282): secs. 2ct, a.s L 91 190. 83 Stat. 853 (42 U.S.C. 4332); secs. 954, a amended (42 U.S.C. 2073. 2077,2092, amended. 202. 204. 200. 88 Stat.1242, as 114.121. Pub. l. 97 425,90 Stat. 2213. 2228 as 2093. 2095. 2111, 2201. 2232, 2233) secs. 202, amended 1244,1245,1240 [42 U.S.C. 5841.

amended (41 U.S C 10134.101413 200. 88 SE 12R M (42 U.S.C m2. W 5842.5815.5846).

For the purposes of sec. 223. 6a Stat. 958, as secs.10 and 14. Pub. L 95-001,92 Stat. 2951 Sections 70.1(c) and 70.20d(b) also issued amended (42 U.S C 2273): I 64.11 is issued (42 U.S.C 2C21a and $851).

under secs.135,141. Pub. L 97 425. 90 Stat.

under sec.161b. 68 Sts1. 948. as amended (42 for the purpose 8 of Sec. 2232. 2241 (42 U.S.C.10155.101811. Section 958, as amended. (42 U.S.C3"3,68 Stat ya s ssued u e Pu t,see 10 1

273):

in i. A 9a en (2tSC 2201(t)); and 1160.10. 60.71 to sa75 are issued Tables 1 and 2, il 61.3. 61.9b,61.24, also issued under sec.122. 68 Stat. 939 (42 under occ.1610,68 Stat. 950. as amended (42 61.25,61.27(a). 61.41 through 61.43,61.52, U.S.C. 2152). Section 70.31 also issued under U.S C. 2201[o)).

61.53,61.55,61.56 and 61.61 throug,h acc. 57d. Pub. L 93 37,88 Stat. 475 (42 U.S.C i

11. Section 60.1 is revised to read as 61.63 are issued under sec.161b,68 Stat.

2077). Sections 70.30 and 70.44 also issued 948, as amended (42 U.S.C. 2201(b)):

under sec.184. 68 Stat. 954, as amended (42 follows:

I 61.0b is issued under sec.1611. 68 Stat.

U.S.C 2234). Section 70.61 also issued under

$ 60.1 Purpose and scope.

910, as amended (42 U.S.C. 2201(i)):

secs.180.187. 68 Stat. 955 (42 U.S C 2236.

This part prescribes rules governing 61.9a,61.10 through 61.16,61.24. and 2237). Section 7a62 also issued under sec.

the licensing of the U.S. Department of 61.60 are issued under sec.161o,68 Stat.

108,68 Stat. 939, as amended (42 U.S.C. 2138).

e of'j 0 3.70.5&

$' ' 8 I ' pu Energy to receive and possess source, 950, as amended (42 U.S.C. 2201(o)).

amende 4 g2 special nuclear, and byproduct material

14. In i 61.1, paragraph (c) is added to Ta19(e). 7a21(c). 70.22(a), (b). (d)-(k). 70.24(a) at a geologic repository crerations area read as follows:

and (bl. 70.32(a)(31. (5). (6). (d), and til. 70.36.

sited, constructed, or operated in 70.39(b) and (c). 70.4 t(a). 70 42(a) and (c).

accordance with the Nuclear Waste i 61.1 Purpose and scope.

70.56. 70.57(b), (c). and (d). 70.58(a)*1(3). and (h)-(jl are issued under sec.16tb. 68 Sut. 948.

Policy Act oI1982.This part does not apply Io any activity licensed under (c) This part also gives notice,in as amended (42 U.S C. 2201(b)); il 701. 70.1a

) 7a o e an ( l 70 1 q

another part of this chapter.This part i 61.9b, to all persons whose actions fa)a j(

] e also gives notice, in i 60,11, to all enable a licensee to carry out activities 70.5t(c)-(g). 70.50. 70.57(b) and (d), and 70.58 persons whose actions enable a licensee licensed by the Commission, including (a).(g)(3) and (h).[J1 are issued under sec inti.

to carry out activities licensed by the individuals, corporations, and other 68 Stat. 949, as amended (42 U.S.C. 2201till;

~

Commission, including individuals, entitles, whether or not licensed by the and il 7a5. 70 9. 70.20b(d) and (e). 7a38.

corporations, and other entitics, whether NRC, that they may be individually 70.St(b) and (i). 70.52. 70.53. 7a54. ?c.55.

I~

or not licensed by the NRC, that they subject to NRC enforcement action for 70 5B(s)(4). (k). and (t). 70.59, and 70.6o(b) and may be individually subject to NRC willful misconduct that causes a (c) are issued under sec. teto. 68 Stat. 930. as enforcement action for willful licensee to be in violation of an NRC amended (42 U.S.C 2201(o)).

misconduct that causes a licensee to be requirement or that places in question

17. Section 70.2 is revised to read as in violation of an NRC requirement or reasonable assurance of adequate follows:

l-thai places in question reasonable protection of the public health and assurance of adequate protection of the

safety,

{ 70.2 Scope.

public health and safety.

15. Immediately following I 61.9a. a Eucpt as provided in il 70.11 to

12. Immediately following 160.10, a new I 61.9b is added to read as follows:

70.13, inclusive, the regulations in this part apply to all persons in the United new i 60.1t is added to read as follows:

$ 61.9b Willful misconduct.

States.This part also gives notice, in j 60.11 Willful misconduct.

A person may not willfully cause a i 70.10, to all persons whose actions A person may not willfully cause a licensee to be in violation of any rule, enabla a licensee to carry out activities licensee to be in violation of any rule, regulation, or order, or any term, licensed by the Commission, including regulation, or order, or any term, condition, or limitation, of any license Individuals, corporations, and other -

condition, or limitation. of any license issued by the Commission. A person entitles, whether or not licensed by the issued by the Commission. A person who violates this provision may be NRC, that they may be individually who violates this provision may be subject to enforcement action in subject to NRC enforcement action for subject to enforcement action in accordance with the procedures in 10 willful misconduct that causes a accordance with the procedures in 10 CFR part 2, subpart B. In addition, the licensee to be in violation of an NRC

sman redess assister / Vd. 55, No, M / Tusedsy, April 3, ' limo / Pressomed Roles s

requisement er that pieces is questaes (c). 71H8. 7L1R TL136. 7L1R 711R PART 110-CIPORT AND IIDORT OF reassemble asserence of adeguste 711es. FLU 9,72.1?L 71176 rusa 7&ae4.

NUCLEAR SOUIPtfEtfY AND protection of the pebbe health and 72.1as ese ismed umder use. sash, as 86st. 9sa. gaggning, safety.

as amendad (42 UAC 2amtbit il Flauta).

18. Inunediately following 6 70.9. a (e), fut n.217224,72Ja,7tas FLae. 72.32,

22. The authority citation for part 110 new I M10 is edded to teed as foDows:

72.44(a), (bMit (4). (56. (ca (dN11 (2L (el (fl.

is revised to read as follows:

72.4a laL fuo(at 72.sa(bk FLas(aHd). FLs2, 3,g,,g,y. 3,c.,5g, gy g 57,33, g $3,83,

,N

$ 70.10 Itufulsatseenduet.

72 9A 72.98. 71100,72.1021ck {d), (f),71104,

82. Ses.1R 1ssL 111,124,127,138.12e.101, 3 p.,,a,,,,,,,,; igg,gj,e.,,,,

fum ruaa ru22.ru24. run run 1st, sat tas, ssrase. es Stat 92a 9m aan licensce to be in violalion of any rule, fu3a Tu40(bl(cL 72.142,721R 7M44 932,933. 936,937. M8,953,9R 965. M6. as regugation, or org,r, or any term, 72.148,72.150,72.152,72.154,721 4 72.1 %

amended (42 USC 2071,2073. 2M4. 20 7, condetion,orlimitetion,of any heense 72.100, 72.162, 72.1M. 72.106, 72.168. 7u ro.

20s2 2095, 21u, 2112. 2133, 2134. 2139, 713%.

Issued by the Cotamission. A pefoon 72.1n. 72.176. 7uso,72.182, rues. Fuen, 2141. 2154 2158.2201. 2231 2233. 2237.2:39).

fu90, fu92,72.194 are luced wider acc.

ecc. 201,88 StaL 1242, as amend (d l42 UAC.

who violates tble provision may be subject to enforcement action in tell.es Stat. See, se amended (42 UAC.

5841).

accordance with the procedures in 10 2201(l)): and il 72.to(e). 72.11,72.16. 72.22, Sectlan 11a![bM2] also issued under pub. L fu4. 72.26, 72.m 72 30, 72.32. 71M(b)(3).

W2. 93 Stat 710 (22 UAC 2403) Secuan N

CFR part 2, subpart D. in addition, the (c)(5), (d)ta). (c), (f). 7tes!b). (c) 72.5n(b)'

uan aladssued umler sec.122. sa Siam Commission may issue an enforcement H2 2m am! ucem and E, as 72.54(a). (bL (c),72.4 72J0. nJ2,72.74!sk order pursuant to to CI'R part 2 subpart (b) 721e(a). 72Ja(a),12.an,72.t2,72.92(hk

$,'$',;.'d "ob.4 B, to address wl!!ful misconduct of r

n.94(b). 72.140(b), (c), (d). Fue4(s), FM E

- Section naso (bX3) sho lasued under sec persons that arises out of activities 72.148, Fum 72.152,72.1H(a). (bl. fuse, 2n. 92 Stat.142 (42 0.S.C. 2153). Section 4

within the junsdiction of the NRC and 72.1e0, Fue2, rust 71170,72.172, 72.174, u0.51 sho issued under sec. u4. 6n Stat. 954, places in question the NRC's reasonable 72.176, rusa ruas, ruee6 Fus2 are issued as amended (42 USC. 2234L Section no.52 assurance that licensed activities will be under ecc.1eto,08 Stat. 9m as amended (42 also issued under sea, ten. sa Stat 92.5 (42 conducted in a manner that provides UAC 2201(olk UAC 2230). Sections na80.nana aho i

adcquate protection to the health and issued under 5 U.S C,552, $$4. Sections 110-safety of the public.

20. In i 72.2, paragraph (!) is added to 30110.35 alsolasued under 6 UAC 553.

read as follows:

For the purposes of sec. 223,68 Stat 958. as PART F2-LICENStNG emended (42 USC 22731: 11 na20 no.29.

REQUIREMENTS FOR THE I 72.2 Soops.

up.R and 110.120110.129 also Lasued under INDEPENDENT STORAGE OF SPENT secs. w1b and L es Stat. 9 a, Ma. as amended NUCLEAR FUEL AND HIGH-LEVEL (f) This part also gives notice,in

[42USC,221 d

11arb

,p g,

9,, nend RADIOACTIVE WASTE i 72.12, to allpersons whose schons U.S.C. 2201tij): and i s ua7a,110.53 sho 19 The authority citation for part 72 is enable a licensee to carry out activities issued under sec.1sto, so Stat. 050, se revised to read as fo11ows-licensed by the Commission, including amended (42 UAC. 2201(o)).

individuals, corporations, and other Authodty Seca. 51,53,57,82,63,65,69, et, entitles, whether or not licensed by the 23 In i 11 1. ParaSraPh (a)is revised to read as fo ows.

161,182,1a3.184,186,187,1s0 68 Stat.929, NRC, that they may be individually 93n.932,933,934,935,948,953,954,955,as subject to NRC enforcement action for I 110.1 Purpose and scope.

amended sec. 234. 83 Stat. 444. es anwnded (42 U S C 2071,2072. 2on,2002, aves,20e5, -

willful misconduct that causes a 2099. 2111, 2201, 2232.2233, 2234. 2236, 2237, licensee to be !n violation of an NRC (a) The regulations in this part prescribe licensing, enforcement, and 2238, 2282), sec. 274. Pub. L e6 373, n Stat.

requirement or that places in question rulemaking procedures and criteria, 6a8, as amended (42 USC. 2021): acc. act, ne reasonable assurance of adequate under the Atomic Energy Act, for the amended,202, too, se Sta t.1242, es ameruled, protection of the public health and export of nuclear equipment and 1244,1246 (42 UAC 5841,5842,56 6h Pub. L safety

• material, as set out in i 110.8, and the ec. 52,I Lio a

(2 21,lmmediately following I 72.11 a import of nuclear equipment and 4332); Soes. ut, n2,133, US, u7.141, Puh L new I 72.12 is added to read as follows:

material, as set out in i 110.9. This part i

97 425,96 Stat. 2229,223a 2232,2241, sec.148, also gives notice, in i 110.7b, to all

' ('

Puh L 100$203,101 Stat.133a235 (42 UAC l 72.12 WWul misconduct.

persons whose aetions enable a licensec t'

}

1o151,1o152, 1o153,10155.10157,10161.

A person may not willfully cause a to carry out activities licensed by the 1o168).

licensee to be in violation of any rule.

Commission, including individuals, Section 72.4412) eho issued under seca.

regulation, or order, or any term, corporations, and other entities, whether 142(b) and 148(c). (d), Pub. L 100 203,101 condition, or limitation, of any license

= or not licensed by the NRC, that they issued by the Commission. A person may be individually subject to NRC 1

e d1 to 72 48 ssued er l

sec.1r.9. 68 Stat. 955 (42 UAC. 2239h sec.134, who violates this provision may be enforcement action Int willful l

Pub. L 97-425,90 Stat. 2230 (42 U.S C.10154).

subject to enforcement action in misconduct that causes a licensee to be Section 72.93(d) also lstund under occ.145(g),

accordance with the procedures in to in violation of an NRC requirement or Putt L too.203, toi stat. nac 235 (42 UAc CFR part 2, subpart B. In addition, the that places in question reasonable 10165(g)). Subpart l stso issued under secs.

Commission may lasue an enforcement assurance of adequate protection of the 2(2),2(15),2(19).117(a),141(b). Pub. L 97 425. order pursuant to 10 CFR part 2, subpart public health and safety, on Stat. 2202, 2203, 2204,2222,2224 (42 UAC B, to address willful misconduct of l

L to101. tou7ta).10101(h)h persons that arises out of activities

24. lmmediately following i 110.?a* a (Y2t N. at within the jurisdiction of the NRC and new I 1103b is added to read as a

amend n

2, 72.22, 72.24, 72.2a. 72.28(dJ. 72.30. 72.32, places in question the NRC e reasonable follows:

72.44(a). (b)(11, (4). (5). (c), (d)(t). (21. te). (f),

assurance that licensed activities will be 72.4 ate),72.so(a) 72.52(bl. 7232(b), (c),

conducted in a manner that provides i 110.7b Winful misconduct.

72.74(a). (bh 7236. T2J8. 72.104. 7uo6,72.uD, adequate protection to the health and A person may not willfully cause a ru 22, 72.124. 72.120, 72.12a, ruso. 7u eolb),

safety of the public.

licensee to be in violation of nny rule.

s Fedssel Register / Vol C. No. Se / Tuesday. April 3. leso / Proposed Rades SSMS s

e regulation, er order, or any terra, assurance of edegente protection of the to affect the legal seseus of any petition condition, or lievitation, of any license pundic health end safety, or its final e; _ ~ -

issued by the Commission. A person

27. In i 1BBJ0. peregraph(b)(5) is safes: Comments on petitions recetved who violates this provision may he added to read as follows:

must identify the petrtion docket rraraber subject to enforcement action in involved and most be rewived on or i

accordance with the procedures it 10 l 150 to Recognmon art %a State before: June 18.1990.

scensees.

CFR part 2. subpart B. In addition, the Aeonesses: Send comments on any Commission may issue an enforcement petition in triplicate to Federal Aviation order pursuant to to CPR part 2. subpart (b),,,

Administration. Office of the Chief D. to address willful misconduct of

[5]llay riot willfully cause a b.oensee Counsel. Atin: Rules Docket ( AGC-10).

persons that arises out of activities to be in violation of any rule, regulation. Petition Docket No. _

800 within the juriuliction of the NRC and or order, or any term, condition, or Independer e Avenue.SW.,

places in question the NRC's reasonable limitation, of any license issued by the.

Washington. DC 20591.

assurunce that licensed activities will be Commission. A person who violates this F

URTHER INFORMAT. he act, vision muy be subject to enforcement conducted in a manner that provides pro ion in accordance with the p

y a

adequate protection to the health and C py of any final d,sposition are filed in i

safety of the public.

procedures in 10 CFR part 2. subpart B.

In addition, the Commission may issue the assigned regulatory decket and are PART 150-EXEMPTIONS AND en enforcement order pursuant to 10 available for examination in the Rules CONTINUED REGULATORY CFR part 2. subpart B to address willful Docket (AGC-10) room 915G, FAA AUTHORITY IN AGREEMENT STATES misconduct of persons that arises out of floadquarters Duilding (FOB 10A). 800 AND IN OFFSHORE WATERS UNDER activities within the jurisdiction of the Independence Avenue.SW.,

SECTION 274 NRC and places in question the NRCs Washington. DC 20591; telephone (202) reasonable assurance that licensed 287-3132.

25. The authority citation for part 150 activities will be conducted in a manner

%is notice is published pursuant to continues to read as follows:

that provides adequate protection to the paragraphs (b) and (f) of i 11.27 of part Authority:Sec.161. 68 Stat. tWL as health and safety of the public.

11 of the Federal Aviation Regulations amended. sec. 274. 73 Stat. Bas (42 U.S.C Dated at Rockville. Marylaml.this 28th day (14 CFR part 11).

2201. 20211. ecc. 201, s8 Stat.1242. as of March 19ua-Issued in Washington. DC., on March 28.

amended {42 U.S.C 5441).

For the Nuclear Regulatory Commission.

3990*

Sections 150.3.150.15, im15a.150.31.

arnual j. Chin Denise Donobne Hall.

150.32 also issued under sets.11el21. 81,68 l

Stat.923.935,as amended, secs.83.84.92 Secn' tory of the Commission.

Afanager. Presmm Af.mogement Stoff, Office 1

Siat 3033. 3tD9 (42 U.S C 2m4e!!). 2111,2113.

[FR Doc. 90 7470 Filed 4-2-90; 8.45 cm) of the Chief Counsel.

(

2114). Section 15014 also issued under sec.

eensso cooe p,sSese Petit. ions for Rulemaking I

53. 68 Stat. 93(L as amended (42 U.S.C 2073).

' ~ "

~~

~ ~ ~ ~ -

DocAetNo.:20143.

Section 1215 also issued under secs.135.

3 3 MMf8I42 DEPARTMENT OF TRANSPORTATION Petitioner: AirTransport Association '

S of America (ATA).

issued under sec.122. 68 Stat. 939 (42 U.S.C Federal Aviation Administration 2152). Section 1m30 also issued under sec.

Regulations AffectM: 14 CFR 121.311.

234. 83 Stat. 444 (42 U.S C 2282) 14 CFR Ch. I Description of Petition:The petitioner For the purposes of sec. 223. 68 Stat.108. as proposes to remove existing language amended 142 U.S.C 2273); ll 1m2tt b)(21-151 (Summary Notice No. PR-90-51 that allows children who have not and 150.21 are issued under sec.161b, La Stat.

reached their second birthday to be held ons, as amended (42 U.S C 220ttbil 181m14 Peution for Rulemaking; Summary and in the laps of adults durin8 akeoff and t

and 150.20ib)(5) are issued i.nder sec.1sti Ga Disposition Stat. 949, as amended (42 U.S C 2201(ill; and

)anding operations. The petitioner il 150.16150.19 and 150 20(b)(1) are issued AGENCY:Fedcral Aviation proposes that children who have not under sec.16to. 68 Stat. 950, as amended (42 Administration (FAA). DOT.

reached their second birthday be

' 'l U'8 C 22*l*II' Actiow: Notice of petitions for restrained by FAA/Nationalliighway

• b

" (NIITSA)

. Section 150.2 is revised to read as lemak ece ed and of dispositions

.cd de i ti he requirements of NHTSA Federal Motor I 150.2 Scope.

SUMMARY

t Pursuant to FAA's Vehicle Standard No. 213 or equivalent

%e regulations in this part apply to rulemaking provisions governing the and the restraint be required for use all States that have entered into application, processing, and disposition during takeoff, landing and any time the agreements with the Commission or the of petitions for rulemaking (14 CFR part pilot in command requires seat belts to Atomic Energy Commission pursuant to 11), this notice contains a summary of be fastened.

subsection v4b of the Act.%is part certain petitions requesting the init.. tion P. ~ '

ar's Reason for the Request:

i also gives notice, in i 150.20b(5) to all of rulemaking procedures for the Th ner states that the petition is l

persons whose actions enable a heensee amendment of specified provisions of bas (.

ecent FAA research and to carry out activities licensed by the the Federal Aviation Regulations and of devek :.cnt conducted by the FAA l

Commission, including individuals, denials or withdrawals of certain Civil AeromedicalInstitute.

corporations, and other entitles, whether petitions previously received. %e DocAet No.: 26165.

or not licensed by the NRC, that they purpose of this notice is to improve the Petitioner:Fairchild Altcraft I

may be individually subject to NRC public's awareness of. and participation Corporation.

enforcement action for willful in, this aspect of FAA's regulatory Regulations Affected 14 CFR misconduct that causes a licensee to be ac'Ivities. Neither publication of this 23.203(a)(2).

In violation of an NRC requirement or notice nor the inclusion or omission of Petitioner's Request:To eliminate that places in question reasonable information in the summary is intended requirements for an accelerated entry l

l l

l

.