ML20128N505
| ML20128N505 | |
| Person / Time | |
|---|---|
| Issue date: | 04/17/1996 |
| From: | Meyer D NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Morrison D NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES) |
| Shared Package | |
| ML20128N048 | List:
|
| References | |
| FRN-61FR43406, FRN-61FR43409, RULE-PR-2, RULE-PR-51 AF43-2-016, AF43-2-16, NUDOCS 9610160411 | |
| Download: ML20128N505 (26) | |
Text
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cc: Martin
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MEMORANDUM T0: David L. Morrison, Director
> Office of Nuclear Regulatory Research
- FROM
- David L. Meyer, Chief d-44t*te 1 Rules Review and Directives Branch l Division of Freedom of Information and Publications Services Office of Administration
SUBJECT:
0FFICE CONCURRENCE ON A DIRECT FINAL RULE AND PROPOSED RULE REGARDING DELETION OF OUTDATED REFERENCES AND MINOR CHANGE .
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i The Office of Administration concurs, subject to the comments provided, on the
- direct final rule and proposed rule regarding deletion of outdated references i and minor change. We have attached a mrked copy of the package that presents j our comments.
We have included the Regulatory Flexibility Certification statement in the proposed rule. Please include as part of the statement the reasons for the certification. The statement must include detailed information on the number
- and type of small entities involved and the effect of the rule on them.
We have forwarded copies of the direct final rule and proposed rule to the
- Information and Records Management Branch. Office of Information Resources
- Management, for their comment and concurrence concerning the paperwork management aspects of these rulemaking actions. We have requested that they j respond directly to you.
If you have any questions concerning this matter, please have a member of your
- staff contact Betty K. Golden, 415-6863, or Michael T. Lesar, 415-7163, Rules Review Section, Division of Freedom of Information and Publications Services.
Attachments:
i 1. Direct final rule l 2. Proposed rule I
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l 9610160411 961009 PDR PR 2 2 61FR43406 PDR
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i ATTACHMENT 1 DIRECT FINAL RULC
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[7590-01-P]
NUCLEAR REGULATORY COMMISSION O CFR Parts 2 and 51 Deletion of Outdated References and Minor Change k .
RIN 3150-AF43 AGENCY: Nuclear Regulatory Commission.
ACTION: Direct final rule.
SUMMAP,Y: The Nuclear Regulatory Commission (NRC) is amending its regulations i c., . Y CRti +nc e%h p r n isst ny f)pf Juw,. bees, g e m u d N 'rc todeleteglr;fu,u,.;;; t; Ancodix L to fu trn rarc 2, ; ...; 2.h M gg /,(fc / /,ff
^;;:dh4has-b;;; 7:w;;d fr:- ^ C9 ;f ; sJs, al ^cuuiacions oecause: ic ia -
a pnl iev Xt st::;r,t r- T,i,i a, u3 ul a t e wP. Thisjb'tecO' inal rule also provides that the NRC may use discretion as to whether to require a written explanation or 7hi s statement in reply to a notice of violation g f the NRC believes that t % p gepf g g 4 licensee or other person who received the notice of violation has alrc e mnm% 7 lo delelt i
\ adequately addressed all the issues contained in that notice, at the 00Mc, \e d -
I'c (e re n r o s
'. discretion of the NRC, further written _. response.s may not,..be re_quirfed. nd c_i m fg j gg to m np G o n ~c !
( re%vid ko n% }
l DATE: This final rule is effective on [ insert date 60 days after publication] l unless significant adverse comments are raceived by the hRC. Comments should be submitted by [ insert data 30 days after publication). If the effective i date is deleyed, timely notice will be publishtu in the Federal Register.
ADDRESSES: Mail written comments to: Secretary, U.S. Nuclear Reguletcry l Commissi.:n, Washington, DC, 20555-0001. ATTN: Docketing and Service Branch.
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1 Hand deliver comments to: 11555 Rockville Pike, Rockville, MD, between l 7:4d'amand4:15pmFederalworkdays.
For information on submitting comments electronically, see the discussion under Electronic Access in the Supplementary Information Section.
c, , copua 4'or e R e c)
raoies of comments received may be examined,"at the NRC Public Document Room, 2.?0 L Street NW. (Lower Levt:), Washington, DC.
i FOR FURTHER INFORMATION CONTACT: M. L. Au, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-6181. E-Mail: INTERNET:MLA@NRC. GOV.
SUPPLEMENTARY INFORMATION:
Background
4 The NRC has removed Appendix C, " General Statement of Policy and Procedure for NRC Enforcement Actions," from 10 CFR Part 2 (60 FR 34380; June 30, 1995) inasmuch as the Enforcement Policy is a Policy Statement, not a regulation. The enforcement policy, " General Statement of Policy and Procedures for NRC Enforcement Actions -- Enforcement Policy," was published as a Policy Statement on June 30, 1995 (60 FR 34381). It was also published as NUREG-1600 in July 1995.
There are two sections (10 CFR 2.8(b) and 51.10(d)) in the Commission's regulations that still reference Appendix C to Part 2. This rulemaking deletes both cutdated references. This rulemaking also amends 5 2.201,
" Notice of Violation," to provide that the NRC may use discretion as to ,
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! whether to require a written explanation orLstatement in reply to a notice of
, N violation. If the NRC believes that the licensee has already adequately 1 addressed all the issues contained in that notice, further written responses i l l m6y not be required.
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j Discussion l
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> Section 2.8 Information collection requirements: OMB approval. A ca uen QL l Section 2.8(a)Dtates that the Office of Management and Budget (0MB) has
- p onf-to</ in 4*+ 1 i approved the information collection requirements /. Section 2.8(b) states that l l the approved information collection requirements appear in Appendix C to i 10 CFR Part 2. Because Appendix C has been removed from Part 2, there are no
. longer any information collection requirements in this part. Thus, 5 2.8 is amended to state that there are no information collection requirements l
! contained in this part. It should be noted that any burden for the i information collections related to enforcement actions ig currently associated -
l with the policy statement (June 30, 1995; 60 FR 34380), rather than with f Part 2.
Section 2.201 Notica of violation.
Section 2.201(a) states that, in response to a notice of violation, a licensee or other person subject to the jurisdiction of the Commission tc whom a notice of violation has been sent will be required to submit a written N statement in reply, including corrective steps that have been taken, [and the dcte when full compliance will be achieved. However, when a licensee i other th person has already adequately addressed in-writ 4ng\e issues contained in th 3
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i notice of violation the licensee or other person has already, in effect,
} responded to the violation and a further written statement may be unnecessary. ,/
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'TM T d os % $ 9.'Jo l (.% 4 1 -Te cl ri f, th is pusitivn, y&cegrept 'e'r is amended to replace the existing l r W N "*
. phrase "will require" with "may Ir qu4re.d This change grants the NRC I discretion on whether to require the submittal of a written statement if the NRC believes that the licensee or other person has already adequately addressed all the issues contained in that notice of violation.
Section 51.10 Purpose and scope of subpart; application of regulations of Council on Environmental Quality, c_u < r t e Section 51.10(d)" states,p"These actions include issuance of notices, -
orders, and denials of requests for action pursuant to Subpart B of Part 2 of this chapter, matters covered by Part 15 and Part 160 of this chapter, and any other matters covered by Appendix C to Part 2 of this chapter." Because Appendix C to 10 CFR Part 2 has been deleted, this sentence is incorrect.
Thus, 5 51.10(d) is amended by deleting the reference to Appendir C to 10 CFR Part 2 forcement-related actions identified in the tormer Appendix C to 10 CFR Part 2 will be adde as examples to the list of actions in 5 51.10(d).
Electronic Access Comments may be submitted electronically, in either ASCII text or Wordperfect format (version 5.1 or later), by calling the NRC Electronic Bulletin Board (BBS) on FedWorld. The bulletin board may be accessed using a 4
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j personal computer, a modem, and one of the commonly available communications j software packages, or directly via Internet.
If using a personal computer and modem, the NRC rulemaking subsystem on
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FedWorld can be accessed directly by dialing the toll free number 1-800-303-l 9672. Communication software parameters should be set as follows: parity to l i
- none, data bits to 8, and stop bits to 1 (N,8,1). Using ANSI or VT-100 terminal emulation, the NRC NUREGs and RegGuides for Comment subsystem can
]
then be accessed by selecting the " Rules Menu" option from the "NRC Main l
Menu." For further information about options available for NRC at FedWorld, i #
consult the " Help /Information Center"1from the "NRC Main Menu." Users will l find the "FedWorl( Online User's Guides" particularly helpful . Many NRC l subsystems and data bases also have a " Help /Information Center" option that is tailored to the particular subsystem.
The NRC subsystem on FedWorld can also be accessed by a direct dial phone number for the main FedWorld BBS, 703-321-3339, or by using Telnet via Internet: fedworld. gov. If using 703-321-3339 to contact FedWorld, the NRC subsystem will be accessed from the main FedWorld menu by selecting the
" Regulatory, Government Administration and State Systems," then selecting
" Regulatory Information Mall ." At that point, a menu will be displayed that has an option "U.S. Nuclear Regulatory Commission" that will take you to the NRC Or.line main menu. The NRC Online area also can be accessed directly by typing "/go nrc" at a FedWorld command line. If you access NRC from FedWorld's main menu, you may return to FedWorld by selecting the " Return to FedWorld" option from the NRC Onlin Main Menu. However, if you access NRC at FedWorld by using NRC's toll-free number, you will have full access to all NRC systems but you will not have access to the main FedWorld system.
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i If you contact FedWorld using Telnet, you will see the NRC area and i
4 menus, including the Rules menu. Although you will be able to download i ,
documents and l_ eave messages, you will not be able to write comments or upload 1
i files (comments). If you contact FedWorld using FTP, all files can be
, accessed and downloaded but uploads are not allowed; all you will see is a 1
1 list of files without descriptions (normal Gopher look). An index file listing all files within a subdirectory, with descriptions, is included.
i There is a 15-minute limit for FTP access.
i Although FedWorld can be accessed through the World Wide Web, like FTP, l that mode on'y provides access for downloading files and does not display the i
NRC Rules Menu.
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! For more information on NRC bulletin boards call Mr. Arthur Davis,
- j. Systems Integration and Development Branch, NRC, Washington, DC 20555, l telephone (301) 415-5780; e-mail AXD3@nrc. gov.
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. Procedural Background I
l l Because NRC considers this action noncontroversial and routine, we are
- approving it without seeking public comments on proposed amendments. This action will become effective on (60 days aft'.. publication in the Federal Register). However, if the NRC receives significant adverse comments by (30 L days after publication in the Federal Register), then the NRC will publish a j document that withdraws this action and will address the comments received in
} response to the requested revisions which have been proposed for approval and 1
are being concurrently published in the proposed rules section of this Federal
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Register. Comments will be addressed in the final rule on this proposal. The NRC will not initiate a second comment period on this action.
l Environmental Impact: Categorical Exclu: ion ,
The NRC has determined that this direct final rule is the type of actinn described as a categorical exclusion in il 51.22(c)(1) and 51.22(c)(2).
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, Therefore, neither an environmental impact statement nor an environmental l assessment has been prepared for this direct final rule, ,
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Paperwork Reduction Act Statement !
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l This direct final rule contains no information collection requirements, and therefore, is not subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). Existing information collections that have been approved by the Office of Management and Budget, approval number 3150-0136, have been transferred to the polic) statement.
Public Protection Notification l
The NRC may not conduct or sponsor, and a person is not required to j 1
respond to, a collection of information unless it displays a currently valid OMB control number.
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l l l Regulatory Analysis l l l i
This direct final rule deletes an outdated statement and provides that l
the NRC may use discretion regarding the submittal of a written response from a licensee if the NRC believes that the licensee or other person has already adequately addressed all the issues contained in a notice of violation.
Deleting the outdated statement will have no impact on licensees, the NRC, or the public. The NRC's discretion on requiring reports responding to a notice of violation will reduce the burdens of preparing unnecessary reports by licensees and of reviewing these reports by the NRC without compromising the public health and safety. However, it is impossible to quantify the amount of reduction in burden because the number of discretions to be authorized cannot be estimated. Therefore, the burden under the direct final rule would be at most equal, but probably less than, the burden under the existing regulations.
M aseu on the avove aiscussion, tne NHL concludes Lnat Lne uiret.L final iUlc Afd be pi oinuttpted. Thi5 t c>o si dute s % e regqMO g
[ cMqsis bc Wis died bed rtale, Backfit Analysis The NRC has determined that
- backfit rule, 10 CFR 50.109, does not e r ~-
'bnu di< ed WmW twie apply to this rule, @ therefore, a backfit analy;is is not require *di ecause these amendments do not involve any provisions that would impose backfits as defined in 10 CFR 50.109(a)(1). I - ~ _ _
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List of Subjects 10 CFR Part 2 l Administrative practice and procedure, Antitrust, Byproduct material, Classified information, Environmental protection, Nuclear materials, Nuclear I
power plants and reactors, Penalties, Sex discrimination, Source material,
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Special nuclear material, ste treatment and disposal.
10 CFR Part 51 Administrative practice and procedure, Environmental Impact statement, Nuclear power plants and reactors, Reporting and recordkeeping requirements.
For reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974 as amended, and 5 U.S.C. 552 and 553, the NRC is adopting the following amendments to 10 CFR parts 2 and 51.
PART 2 - RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS
- 1. The authority citation for part 2 eontinues-to read as follows: '
AUTHORITY: Secs. 161, 181, 68 Stat. 948, 953, as amended (42 U.S.C.
2201, 2231); sec. 191, as amended, Pub. L.87-615, 76 Stat. 409 (42 U.S.C.
2241); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 U.S.C. 552.
Section 2.101 also issued under secs. 53, 62, 63, 81, 103, 104, 105, 68 Stat. 930, 932, 933, 935, 936, 937, 938, as amended (42 U.S.C. 2073, 2092, 9
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'1 2093, 2111, 2133, 2134, 2135); sec. Il4(f), Pub. L.97-425, 96 Stat. 2213, as amended (42 U.S.C. 10134(f)); sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332); sec. 301, 88 Stat. 1248 (42 U.S.C. 5871). Sections l 2.102, 2.103, 2.104, 2.105, 2.721 also issued under secs. 102, 103, 104, 105, 183, 189, 68 Stat. 936, 937, 938, 954, 955, as amended (42 U.S.C. 2132, 2133, 1
2134, 2135, 2233, 2239). Section 2.105 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C. 2239). Sections 2.200-2.206 also issued under secs.
161b, i, o, 182, 186, 234, 68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 1
U.S.C. 2201 (b), (i), (o), 2236, 2282); sec. 206, 88 Stat 1246 (42 U.S.C.
5846). Sections 2.600-2.606 also issued under sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332). Sections 2.700a, 2.719 also issued under 5 U.S.C. 554. Sections 2.754, 2.760, 2.770, 2.780 also issued under 5 U.S.C. 557. Section 2.764 also issued under secs, 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 2.790 also issued under sec. 103, 68 Stat. 936, as amended (42 U.S.C. 2133) and 5 U.S.C. 552.
Sections 2.800 and 2.808 also issued under 5 U.S.C. 553. Section 2.809 also issued under 5 U.S.C. 553 and sec. 29, Pub. L.85-256, 71 Stat. 579, as amended (42 U.S.C. 2039). Subpart K also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L.97-425, 96 Stat. 2230 (42 U.S.C. 10154).
Subpart L also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239).
Appendix A also issued under sec. 6, Pub. L.91-560, 84 Stat. 1473 (42 U.S.C.
l 2135). Appendix B also issued under sec. 10, Pub. L.99-240, 99 Stat. 1842 l (42 U.S.(.. 2021b et seq.).
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- 2. Section 2.8 is revised to read as follows:
5 2.8 Information collection requireme..ts: OMB approval.
This part contains no information collection requirements and therefore is not subject to requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
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- 3. p Eccti; 2.201, paragraph (a) is revised to read as follows: f 5 2.201 Notice of violation.
(a) In response to an alleged violation of any provision of the Act or this chapter or the conditions of a license or an order issued by the Commission, the Commission may serve on the licensee or other person subject to the jurisdiction of the Commission a written notice of violation; a separate notice may be omitted if an order pursuant to 5 2.202 or demand for information pursuant to 5 2.204 is issued that otherwise identifies the apparent violation. The notice of violation will concisely state the alleged violation and may require that the licensee or other person submit, within 20 days of the date of the notice or other specified time, a written explanation or statement in reply if the Commission believes that the licensee has not already addressed all the issues contained in the notice of violation, including:
(1) Corrective steps which have been taken by the licensee or other person and the results achieved; (2) Corrective steps which will be taken; and (3) The date when full compliance will be achieved.
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PART 51 - ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS
- 4. The authority citation for Part 51 continues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. !48, as amended, sec. 1701, 106 Stat.
2951, 2952, 2953, (42 U.S.C. 2201, 17f); secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S. 5841, 5842). Subpart A also issued under National Environmental Policy Act of 1969, secs.102,104,105, 83 Stat.
853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub. L.95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80. and 51.97 also issued under secs. 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241, and sec. 148, Pub. )
L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat. 688, as amended by 92 Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear Waste Policy Act of 1982, sec 121, 96 Stat.
2228 (42 U.S.C. 10141). Sections 51.43, 51.67, and 51.103 also under Nuclear Waste Policy Act of 1982, sec 114(f), 96 Stat. 2216, as amended (42 U.S.C.
10134(f)).
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- 5. In
^51.10, paragraph (d) is revised to read as follows:
1 51.10 Purpose and scope of subpart: Applications of regulations of Council on Environmental Quality 12
m- -,,-*- - - -->-L . s - - a (d) Commission actions initiating or relating to administrative or 1
judicial civil or criminal enforcement actions or proceedings are not subject to Section 102(2) of NEPA. These actions include issuance of notices of violation, orders, and denials of requests for action pursuant to Subpart 8 of Part 2 of this chapter; matters covered by Part 15 and Part 160 of this chapter; and issuance of confirmatory action letters, bulletins, generic letters, notices of deviation, and notices of nonconformance.
Dated at Rockville, Maryland, this day of , 1996.
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For the Nuclear Regulatory Commission.
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James M. Taylor, Executive Director for Operations.
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(d) Commission actions initiating or relating to administrative or
! judicial civil or criminal enforcement actions or proceedings are not subject l l to Section 102(2) of NEPA. These actions include issuance of notices of 1 i violation, orders, and denials of requests for action pursuant to Subpart B of I
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l Part 2 of this chapter; matters covered by Part 15 and Part 160 of this chapter; and issuance of confirmatory action letters, bulletins, generic j letters, notices of deviation, and notices of nonconformance. l 4
I Dated at Rockville, Maryland, this day of , 1996.
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! For the Nuclear Regulatory Commission.
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1 James M. Taylor,
- 4 Executive Director for Operations.
i I i l RECORD NOTE: A copy of the Direct Final Rule and Proposed Rule i was sent to 0IG for information on .
e' l .( , i r DOCUMENT NAME: 0:\AU\P2MINCHG.FR7 *See previous concurrences _
l OFFICE DRA:RDB* DRA:RDB* D:04 / i D:NMSS D:NRR
- , su i NAME
- MAu/ayw TMartin AMdrr' s CPaperiello WRussell
! DATE: 03/07/96 03/14/96 t//[/96 / /96 / /96 0FFICE D:0E ADM OGC D:IRM D:REE. EDO NAME: JLieberman DMeyer W0lmstead GCanford JTaylor OATE: / /96 / /96 / /96 / /96 /[//p/96 / /96 0FFICIAL RECORD COPY RES FILE CODE:
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1 (d) Commission actions initiating or relating to administrative or judicial civil or criminal enforcement actions or proceedings are not subject i to section 102(2) of NEPA. These actions include issuance of notices of i
violation, orders, and denials of requests for action pursuant to subpart 8 of l
part 2 of this chapter; mattery covered by part 15 and part 160 of this f
3 chapter; and issuance of conf: rmatory action letters, bulletins, generic letters, notices of deviation, and notices of nonconformance.
Dated at Rockville, Mary and, this day of , 1996.
f F r the Nuclear Regulatory Commission.
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.[ James M. Taylor, Executive Dihre tqr for Operations.
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- RECORD NOTE
- A copy of the proposed rule was se to OIG j for information on .
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DOCUMENT NAME:G:\AU\P2MINCHG.FR7 0FFICE DRA:RDBf DRA:RDB D:DRA D:NMSS D:NRR l l
NAME: MAukh* TMart [ BMorris CPaperiello WRussell l DATE: 9 / 7 /96 % /N /96 / /96 / /96 / /96 1
0FFICE D:0E ADM OGC D:IRM D:RES ED0 !
NAME: JLieberman DMeyer W0lmstead GCanford DMorrison JTaylor DATE: / /96 / /96 / /96 / /96 / /96 / /96 0FFICIAL RECORD COPY RES FILE CODE:
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t ATTACHMENT 2 PROPOSED RULE 1
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[7590-01-P]
NUCLEAR REGULATORY COMMISSION t
% 10 CFR Parts 2 and 51
/-
Deletion of Outdated Raferences and Minor Change -
IN 3150-AF43-AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed rule. l
SUMMARY
- The Nuclear Regulatory Commission (NRC) is amending its regulations .
L h pa igum tid han bnn u m w .! fe m c o n r W f e O to delete-414 reference , tv- AppenJ L C Lu 10 0FD o v+ 2, ir,aseuch as A Appondiv r hu ha;r, i Cese6d f a uni i.hu Cude vi f;d0ral ";3u'idLions '6C;U;0 U it i A licy-Stetement, nnt a r.eaulatinn, This proposed rule also provides that
? the NRC may use discretion as to whether to require a written explanation or statement in reply to a notice of violati If NRC believes that t flicensee or other person who received the notice of violation has alread adequately addressed all the issues contained in that notice, at the g retion of the NRC, further written responses may not be reouired.
Wio46UffMEamuq% h M M %W##
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.anaudntyo39An&nvD c, -
DATES: Commenfs on the proposed rule must be received on or before (30 days after publication in the Federal Register). l l
l ADDRESSES: Mail written comments to: Secretary, U.S. Nuclear Regulatory l
Commission, Washington, DC, 20555-0001. ATIN: Docketing and Service Branch.
Hand deliver comments to: 11555 Rockville Pike, Rockville, MD, between 7: am and 4:15 pm Federal workdays.
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I For information on submitting comments electronically, see the discussion under Electronic Access in the Supplementary Information Section.
Copas e q tornwaig c,cy ,y d mo q w ( yem ,,W4 , o r co p , e 1 [or % )
(fe od WQ U k CL 94WC kumtnb lootn p go t %d Qw, Q, o ggf (,y - )
i 3 l va a w m e on , b e .
l FOR FURTHER INFORMATION CONTACT:
M. L. Au, Office of Nuclear Regulator {
000 Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555 telephone -
(301) 415-6181. E-Mail: INTERNET:MLA0NRC. GOV.
SUPPLEMENTARY INFORMATION:
For additional information see the Direct Final Rule published in the ,
l rules section of this Federal Register. l l
l Procedural Background I Because NRC considers this action noncontroversial and routine, we are publishing this proposec rule concurrently as a LDirect F'inal Rule. The Direct p p t-
. Final [ulewillbecomeeffectiveon(60daysafterpublicationintheFederal Register). However, if the NRC receives significant adverse comments on the y direct final Rule by (30 days after publication in the Federal Register), then the NRC will publish a document that withdraws the pirect finalyfule. If the t
pirect[inal gule is withdrawn, the NRC will address in a /inal[ule the comments received in response to +.he proposed revisions. Absent significant modifications to the , ted revisions requiring republication, the NRC will not initiate a second comment period on this action in the event the irect
\[inal f/ffule is withdrawn.
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l j Electronic Access Comments may be submitted electronically, in either ASCII text or Wordperfect format (version 5.1 or later), by calling the NRC Electroni'c
]
i Bulletin Board (BBS) on FedWorld. The bulletin board may be accessed using a i personal computer, a modem, and one of the commonly available communications i
j software packages, or directly via Internet.
i j If using a personal computer and modem, the NRC rulemaking subsystem on l FedWorld can be accessed directly by dialing the toll free number 1-800-303-9672. Communication software parameters should be set as follows: parity to l none, data bits to 8, and stop bits to 1 (N,8,l). Using ANSI or VT-100 i
j terminal emulation, the NRC NUREGs and RegGuides for Comment subsystem can 1
i then be accessed by selecting the " Rules Menu" option from the "NRC Main l
! i "i u . " For further information about options available for NRC at FedWorld, i;
consult the " Help /Information Center"from the "NRC Main Menu." Users will
- /
'ind the "FedWorld Online User's Guides" particularly helpful. Many NRC subsystems and data bases also have a " Help /Information Center" option that is tailored to the particular subsystem.
The NRC subsystem on FedWorld can also be accessed by a direct dial phone number for the main FedWorld BBS, 703-321-3339, or by using Telnet via Internet: fedworld. gov. If using 703-321-3339 to contact FedWorld, the NRC subsystem will be accessed from the main FedWorld menu by selecting the
" Regulatory, Government Administration and State Systems," then selecting
" Regulatory Information Mall ." At that point, a menu will be displayed that has an option "U.S. Nuclear Regulatory Commission" that will take you to the NRC Online main menu. The NRC Online area also can be accessed directly by typing "/go nrc" at a FedWorld command line. If you access NRC from 3
l 1
l FedWorld's main menu, you may return to FedWorld by selecting the " Return to l FedWorld" option from the NRC Online Main Henu. However, if you access NRC at FedWorld by using NRC's toll-free number, you will have full access to all NRC systems but you will not have access to the main FedWorld system.
If you contact FedWorld using Telnet, you will see the NRC area arid ~
menus, including the Rules menu. Although you will be able to downloao documents and leave messages, you will not be able to write comments or upload files (comments). If you contact FedWorld using FTP, all files can be accessed and downloaded but uploads are not allowed; all you will see is a list of files without descriptions (normal Gopher look). An index file listing all files within a subdirectory, with descriptions, is included.
There is a 15-minute time limit for FTP access.
Although FedWorld can be accessed through the World Wide Web, like FTP, that mode only provides access for downloading files and does not display the NRC Rules Menu.
For more information on NRC bulletin boards call Mr. Arthur Davis, Systems Integration and Development Branch, NRC, Washington, DC 20555, telephone (301) 415-5780; e-mail AXD30nrc. gov.
- ~- .
W' , , . -
fo/
% 2_ List of Subjects ,
10 CFR Part 2 Administrative practice and procedure, Antitrust, Byproduct material, Classified information, Environmental protection, Nuclear materials, Nuclear power plants and reactors, Penalties, Sex discrimination, Source material, Special nuclear material, $dstetreatmentanddisposal. -
4
g b CO y Cd>[ L[ /
Regulatory Flexibility Certification As required by the Regulatory Flexibility Act of 1980, 5 U.S. C. 605(b), the Commission certifies that this proposed rule does not have a significant economic impact on a substantial number of small entities. (INCLUDE SUCCINCT STATEMENT OF THE REASONS FOR THIS CERTIFICATION. THE STATEMENT MUST INCLUDE DETAILED INFORMATION ON THE NUMBER AND TYPE OF SMALL ENTITIES INVOLVED AND THE EFFECT OF THE RULE ON THEM). l 1
e
,e -- . - - - - - , , - - - , - - , - - -
4
- l 1
- l 1
j Administrative practice and procedure, Environmental Impact statement, Nuclear power plants and reactors, Reporting and recordkeeping requirements.
PART 2 - RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS l AND ISSUANCE OF ORDERS
. (A l gM y
- 1. The authority citation for Part 2 centinn e to read as follows:
p AUTHORITY: Secs. 161, 181, 68 Stat. 948, 953, as amended (42 U.S.C.
i 2201, 2231); sec. 191, as amended, Pub. L.87-615, 76 Stat. 409 (42 U.S.C.
^?41); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 U.S.C. 552.
Section 2.101 also issued under secs. 53, 62, 63, 81, 103, 104, 105, 68 l Stat. 930, 932, 933, 935, 936, 937, 938, as amended (42 U.S.C. 2073, 2092, 2093, 2111, 2133, 2134, 2135); sec. Il4(f), Pub. L.97-425, 96 Stat. 2213, as amended (42 U.S.C. 10134(f)); sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332); sec. 301, 88 Stat. 1248 (42 U.S.C. 5871). Sections 2.102, 2.103, 2.104, 2.105, 2.721 also issued under secs. 102, 103, 104, 105, 183, 189, 68 Stat. 936, 937, 938, 954, 955, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2233, 2239). Section 2.105 also issued under Pub. L.97-415, 96 Stat. 2073 (42 U.S.C. 2239). Sections 2.200-2.206 also issued under secs.
161b, i, o, 182, 186, 234, 68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 U.S.C. 2201 (b), (i), (o), 2236, 2282); sec. 206, 88 Stat 1246 (42 U.S.C.
5846). Sections 2.600-2.606 also issued under sec. 102, Pub. L.91-190, 83 Stat. 853, as amended (42 U.S.C. 4332). Sections 2.700a, 2.719 also issued under 5 U.S.C. 554. Sections 2.754, 2.760, 2.770, 2.780 also issued under 5 U.S.C. 557. Section 2.764 also issued under secs. 135, 141, Pub. L.97-425, 5
96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 2.790 also issued under i sec. 103, 68 Stat. 936, as amended (42 U.S.C. 2133) and 5 U.S.C. 552. '
Sections 2.800 and 2.808 also issued under 5 U.S.C. 553. Section 2.809 also issued under 5 U.S.C. 553 and sec. E9, Pub. L.85-256, 71 Stat. 579, as amended (42 U.S.C. 2039). Subpart K also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L.97-425, 96 Stat. 2230 (42 U.S.C. 10154).
I j
4 Subpart L also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239).
Appendix A also issued under sec. 6, Pub. L.91-560, 84 Stat. 1473 (42 U.S.C.
2135). /.ppendix 8 also issued under sec. 10, Pub. L.99-240, 99 Stat. 1842 (42 U.S.C. 2021b et seq.).
i PART 51 - ENVIR0'! MENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS l
- 2. The authority citation for Part 51 continues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat.
2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842). Subpart A also issued under National Environmental Policy Act of 1969, secs.102, 104, 105, 83 Stat.
853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub. L.95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80, and 51.97 also issued under secs. 135, 141, Pub. L.97-425, 96 Stat. 2232, 2241, and sec. 148, Pub.
L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat. 688, as amended by 92 Stat. 3036-3038 6
- d. '0; r
(42 U.S.C. 2021) an'd'under' Nuclear Waste Policy Act of 1982, sec 121, 96 Stat.
2228 (42 U.S.C. 10141). Sections 51.43, 51.67, and 51.109 also under Nucleer Waste Policy Act of 1982, sec ll4(f), 96 Stat.'2216, as amended (42 U.S.C.
10134(f)).
Dated at Rockville, Maryland, this day of , 1996.
For the Nuclear Regulatory Commission.
James M. Taylor, Executive Director for Operations.
a 7
A Fa3 P0/2.O NUREG-1600 General Statement of Policy and Procedures for NRC Enforcement Actions l l
Manuscript Completed: June 1995 Date Published: July 1995
- Omce of Enforcement
! U.S. Nuclear Regulatory Commission Washington, DC 20555-0001
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This ~ document includes the U.S. Nuclear Regulatory Comission's 1
(NRC's or Commission's)~ revised General Statement of Policy and Procedure for Enforcement Actions (Enforcement Policy) as it was i published in the Federal Register on June 30, 1995 (60 FR 34381). )
, This document also includes the notice announcing the removal of the '
i Enforcement Policy from the Code of Federal . Regulations j (60-FR 34380; June 30, 1995). The Enforcement Policy is a general
- statement of policy explaining the NRC's policies and procedures in initiating enforcement actions, and of the presiding officers and the Commission in reviewing these actions. This policy statement is applicable to enforcement .in matters invc.1ving the radiological :.
- health and safety of the putlic, including employees' health and safety, the common defense and security, and the environment. This statement of general policy and procedure is published as NUREG-1600
' to provide widespread dissemination of the Commission's Enforcement
- Policy. However, this.is a policy statement and not a regulation.
4 The Commission may deviate from this statement of policy and
! _p rocedure as appropriate under the circumstances of a particular Case, t
. Questions concerning the Enforcement Policy should be directed to the NRC's Office of Enforcement at 301-415-2741.
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' iii NUREG-1600
J f
Contents Abstract ................................ iii Notice Announcing Removal of the Enforcement Policy From the Code of Federal Regul ations . . . . . . . . . . . . . . . . . . . . . 2 Statements of Consideration for Revised Enforcement Policy . . . . ... . 3 Revised Enforcement Policy ...............s.. . . . .. . 5
- Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 5 ,
I. Introduction and Purpose ............... . . . . . . . 5 l II. Statutory Authority ........................ 5 l A. Statutory Authority . . . . . . . . . . . . . . . . . . . . . . . 5 B. Procedural Framework ...... . . . . . . . . . . . . . . . . 6 l III. Responsibilities ......................... 6 IV. Severity of Violations . . . . . . . . . . . . . . . . . . . . . . . 7
. A. Aggregation of Violations . . . . . . . . . . . . . . . . . . . . 7 1 B. Repeti ti ve Viol ations . . . . . . . . . . . . . . . . . . . . . . 7 i C. Willful Violations ............. . . . . . . . . . . 7 D. Violations of Reporting Requirements . . . . . . . . . . . . . . 8 V. Predecisional Enforcement Conferences . . . . . . . . . . . . . . . 8 i VI. Enforcement Actions . . . . . . . . . . . . . . . . . . . . . . . . 9 1 A. Notice of Violation . . . . . . . . . . . . . . . . . . . . . . . 9
)
i B. C i vi l Penal ty . . . . . . . . . . . . . . . . . . . . . . . . . . 9 1
- 1. Base Civil Penalty ....................9
- 2. Civil Penalty Assessment . . . . . . . . . . . . . . . . . . 9
- a. Initial Escalated Action . . . . . . . . . . . . . . . . 12
- b. Credit for Actions Related to Identification . . . . . . 12
- c. Credit for Prompt and Comprehensive Corrective Action . . . . . . . . . . . . . . . . . . 13
- d. Exercise of Discretion . . . . . . . . . . . . . . . . . 14 C. Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
, D. Related Administrative Actions . . . . . . . . . . . . . . . . . 14 VII. Exercise of Discretion . . . . . . . . . . . . . . . . . . . . . 15 A. Escalation of Enforcement Sanctions . . . . . . . . . . . . . . 15
- 1. Ci vil Penal ti es . . . . . . . . . . . . . . . . . . . . . . 15
- 2. Orders . . . . . . . . . . . . . . . . . . . . . . . . . . 15
- 3. Daily Civil Penalties . . . . . . . . . . . . . . . . . . . 15 B. Mitigation of Enforcement Sanctions . . . . . . . . . . . . . . 15
- 1. Licensee-Identified Severity Level IV Violations . . . . . . 15 J
- 2. Violations Identified During Extended Shutdowns l or Work Stoppages . , , . . . . . . . . . . . . . . . . . 15 1 j- 3. Violations Involving Old Design Issues . . . . . . . . . . . 16
- 4. Violations Idantified Due to Previous Escalated Enforcement Action . . . . . . . . . . . . . . . 16
- 5. Violations Involving Discrimination . . . . . . . . . . . . 16
- 6. Violations Involving Special Circumstances . . . . . . . . . 16 1 Exercise of Discretion for an Operating Facility . 16 C. . . . . . . . l VIII. Enforcement Actions Involving Individuals . . . . . . . . . . . 17 IX. Inaccurate and Incomplete Information . . . . . . . . . . . . . . 19 X. Enforcement Action Against Non-Licensees . . . . . . . . . . . . . 19 1 XI. . Referrals to the Department of Justice . . . . . . . . . . . . . . 20 L XII. Public Disclosure of Enforcement Actions . . . . . . . . . . . . 20 XIII. Reopening Closed Enforcement Actions . . . . . . . . . . . . . 20 v NUREG.1600 il
x ma awnm.ues neum.un ru ~uris - . au n .. -
- j Supplements Supplement I - Reactor Operations . . . . . . . . . . . . . . . . . . . . 20
- Supplement II - Part 50 Facility Construction . . . . . . . . . . . . . . 20 Suppl ement III - Safeguards . . . . . . . . . . . . . . . . . . . . . . . 21 Supplement IV - Health Physics (10 CFR Part 20) . . . . . . . . . . . . . 22 !
Supplement V - Transportation . . . . . . . . . . . . . . . . . . . . . . 22 Supplement VI - Fuel Cycle and Materials Operation . . . . . . . . . . . . 23 Supplement VII - Miscellaneous Matters . . . . . . . . . . . . . . . . . . 24 Supplement VIII - Emergency Preparedness . . . . . . . . . . . . . . . . . 25 4
Mgure Civil Penalty Assessment Flowchart ...................11 Tables 4
1A Base Civil Penalties . . . . . . . . . . . . . . . . . . . . . . . . 14 18 Base Civil Penalties . . . . ....................14 i i
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NUREG-1600 vi
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'; June 30,1995 2 i .
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i Part lil l Nuclear Regulatory i
l COMMISSION l
Enforcement Actions Policy and Procedure: Final Rule and Notice i
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4 34380 Feder'l Register / Vol. 60, No.126 / Friday, June 30, 1995 / Rules and Regulations NUCl. EAR REOULATORY NRC Enforcement Program," was effect." (Brock v. Cathedral Bluffs Shale COMMISSION published in April 1995. The team Oil Co.,796 F.2d 533,539 (D.C. Cir.
report, in Recommendation IL G-3, 1986) citing 44 U.S.C.1510 (1982)).
. 10 CFR Part 2 recommended that the Enforcement 'Iberefore, because the Enforcement NMg be removed from the Code of Policy is not a regulation, the Policy and Procedure for Enforcorrn,nt Federal Regulations (CFR) because the Commission is removing it from the Actions; Removal Enforcement Policy is not a regulation. Code of Federal Regulations. Revisions The NRC Enforcement Policy has of the Enforcement Policy will continue AGENCY: Nuclear R"8ulato'Y b3en codified at 10 CFR Part 2 Commgsalon. to be published in the Federal Register, Appendix C to provide widespread To ensure widespread dissemination, ACTION: Policy statement. dissemination of the Commission's the Enforcement Policy will be provided sunsaAARY:The Nuclear Regulatory Enforcement Pohcy. Howem, aftw the to licensees, made available on an Commission (NRC)is removing its Commissim first, published the electronic bulletin board, and published General Statement of Policy and Enfonment Pohey on October 7,1980 as NUREG-1600, " General Statement of 6
Procedure for Enforcement Actions ,3 gned t I '" "
(Enforcement Policy) from the Code of the NRC rc ent. n ament Actiono, #
Federal Regulations becam the Policy is a olicy statement and not a regulation. The Commission's reason for Paperwork Reduction Act Statement Enforcement Policy is not a regt l ation having a policy statement rather than a DATES:This action is effective on pne rule was explained in the Statement of This policy statement contains no 30,1995. anied the information collection requirements Submit comments on or before August Considerations publication of the 1982 that En.
accomporcement and therefore is not subject to the 14,1995. Comments received after this Paperwork Reduction Act of 1980 (44 Policy. The Commission stated then:
date will be considered ifit is practical An underlyin basis of this policy that is to do so but the Commission is able t List ofSubjects in 10 CFR Part 2 reflected throus out it is that the casure consideration only for comments detennination,of the appropriate sanction received on or before this date. requires the exercise of discretion such that Administrative practice and ADDRESSES: Send written comments to: each enforcement action is tailored to the procedure, Antitrust' Byprod.uct The Secretary of the Commiss!on, U.S. particular factual situation. In view of the material, Classified information, Nuclear Regulatory Commission, discretion provided, the enforcement policy Environmental protection, Nuclear Washington, DC 20555. A'ITN: is being adopted as a statement of general materials, Nuclear power plants and policy rather than as a regulation, reactors Penalties, Sex discrimination, Docketing and Service Branch. Hand notwithstanding that the statement has been deliver comments to: 11555 Rockville Source material, Special nuclear promulgated with notice and comment Pike, Rockvilb, Maryland, between 7:45 procedures. A general statement of policy material Waste treatment and disposal.
am and 4:15 pm, Federal workdays. will ermit P the Commission maximum flexibility in revising the policy statement PART 2-RULES OF PRACTICE FOR Copies of comments received may be DOMESTIC LICENSING PROCEEDINGS 8"
examined at the NRC Public Document , 'yh',p pp ent, w 1 e vised as AND ISSUANCE OF ORDERS Room,2120 L Street, NW, (Lower necessary to reflect changes in policy and Level), Washington, DC. direction of the Commission (47 FR 9989; 1. The authority citation for part 2 FOR FURTHER INFORt4ATION CONTACT: March 9,1992). cutinu_es to read,in part, as follows:
Jaines Lieberman, Director, Office of For the same reasons, the Commission Authority: Secs. 161,181,68 Stat. 948, 4
Enforcement U.S.NuclearRegulatory continues to hold the view that the 953, as amended (42 U.S.C. 2201,2231h sec.
Commission, Washington, DC 20555 Enforcement Policy is a policy 191, as amended, Pub. L.87-615,76 Stat. 409 (301) 415-2741. statement. However, at least one court, $,$g224ks t j,sgtet.1242, as 4
SUPPLEasENTARY INFORAAATION: On May in considering whether an enforcement 13,1994, the NRC's Executive Director policy was a policy statement or a Appendix C to Part 2(Removed /
for Operations established a review regulation, noted that if the policy wem team to assess the NRC enforcement published in the CFR,it would be 2. Appendix C to Part 2 is removed.
program. The review team , ' port, properly treated as a regulation because Dated at Rockville, MD, this 23rd day of NUREG-1525, a " Assessment of the the CFR is reserved for documents I m ,19e5.
"having general applicability and legal . For the Nuclear Regulatory Commission.
5 Copiss of NUREG-1525 may be purchased from IOb8 C= NOTI 8, the Superintendent of Documents. U.S. Government Royal Road. Springfield. Virglola 221s1. A cop la Secrekryof the Commission.
Printins Office. P.O. Box 37062, washington DC also available for inspection and copying for a 20047082. Copies are also available from the in the NRC Public Document Room. 2120 L Street. [FR Doc. 95-15951 Filed 6~29-95: 8:45 aml National Technical Informatton Service, s2as Port NW. (l.ower t.evel). War.hington. DC 20sss-o001, an.uho Coos reto-e9P NUREG-1600 2
. Fid:r:1 RTgistir / Vol. 60, No.126 / Friday, Junn 30, 1995 / Notices 34381 NUCLEAR 9EGULATORY As reflected in the severity levels. safety (2) To encourage prompt COMMISSION significance includes actual safety identification Jnd prompt, consequence, potential safety consequence, comprehensive correction of violations.
Revision of the NRC Enforcement and regulatory significance. The use of graduated sanctions from Notices of IV. Severity of Violations PolleY Violation to orders further reflects the AGENCY: Nuclear Regulatory varying seriousness of noncompliances. Severity Level V violations have been Commission.
- The enforcement conference is an eliminated. The examples at that level
" 8 ACTIONolicy statement. have been :vithdrawn from the nd a di f a 11ss es ore supplements. Formal enforcement
SUMMARY
- As a result of an assessment k br d cisi i
[g*though e nferen e take time an actions will now only be taken for of the Nuclear Regulatory Commission's effort for both the NRC and licensees, they violations categorized at Severity Level (NRC) enforcement program, the NRC generally contribute to better decision- I to IV to better focus the inspection and has revised its General Statement of making. enforcement pacess on safety. To the Policy and Procedure for Enforcement . Enforcement actions deliver regulatory extent that minor violations are Actions (Enforcement Policy or Policy). messages pmperly focused on safety.Thes* described in an inspection report, they By a separate action published today in messages emphasize the need for licensees will be t labeled as Non-Cited Violations and c
the Federal Pegister, the Commission is Idjt , d to siItoinUtial (NCVs). When a licensee does not take removing the Enforcement Policy from opportunities to identify and prevent corrective action or repeatedly or the Code of Federal Regulathns- violations, willfully commits a minor violation DATES:This action is effective on June . The use of discretion and judgment such that a formal response would be 30,1995, while comments are being throughout the deliberative process needed, the violation should be received Submit comments on or before recognizes that enforcement of NRC categorized at least et a Severity Level August 14,1995. Additionally, the aquirements does not lend itself to jy,
- 'h*"I'**"*'**"'
Commission intends to provide en The NRC staff will be reviewing the opportunit for public comments after However, the Review Team found that les in the this revise Enforcement Policy has enforcement program at severity level exam $e next a months.
' the existingded mixed regulatory supplements over t been in effect for about 18 months. times prov The purpose of this review is to ensure ADDRESSES: Send written comments to: messages to licensees,and room for the examples are appropriately focused The Secretary of the Commission, U.S. im rovement existed in the En on:ement Pohey.The review on safety significance,includ>
Nuclear Regulatory Commission, consideration of actual safety Washington, DC 20555. ATTN: s sted t a th program s focus s c o.
consequence, potential safety Docketing and Service Branch. Hand consequence, and regulatory deliver comments to: 11555 Rockville . Emphasize the importance ofidentifying significance.
Pike, Rockville, Maryland, between 7:45 Problems before events occur, and of taking cm and 4:15 pm, Federal workdays. pr mpt, comprehensive corrective action V. Predecisional Enforcement Copies of comments received may be whe pr emsam e" ' " #*"#**
. , , t licensees with axamined at the NRC Public Document multiple enforcem ,nt oent actions in a relatively Room,2120 L Street, NW. (Lower Enforcement conferences are 148 short period and renamed "predecisional enfo,v.ement Level), Washlagton, DC. . Focus on current performance of conferences." These conferences should FOR FURTHER INFORMATION CONTACT: licenseos, be held for the purpose of obtaining James Lieberman, Director Office of In addition, the review team found information to assist NRC in making Enforcement, U.S. Nuclear Regulatory that the process for assessin8 civil enforcement decisions when the agency Commission, Washington, DC 20555, penalties could be simplified to improve reasonably expects that escalated (301) 415-2741. the predictability of decision-makin8 enforcement actions will result. They SUPPLEMENTARY INFORMATION: On May and obtain better consistency between should also normally be held if 13,1994, the NRC's Executive DIroctor regions. requested by a licensee. In addition they for Operations established a review As a result ofits review, the review should normally be held before issuing team to assess the NRC enforcement team made several recommendations to an order or a civil penalty to an program. In its report (NUREC-1525,i revise the NRC Enforcement Policy to unlicensed individual.
" Assessment of the NRC Enforcement produce an enforcement program with Program," A ril 5,1995), the review clearer regulatory focus and more in light of the chan s to the team concluked that the existing NRCpredictability. The Commission is Enforcement Policy, t e Commission anforcement program, as implemented, issuing this policy statement after has decidad to continue a trial program
, is appropriately directed toward considering those recommendations and of conducting approximately 25 percent supporting the a8ency's overall safety the bases for them in NUREG-1525. f eligible conferences open to public mission. This conclusion is reflected in The more significant changes to the observation pendmg further evaluation.
several aspects of the program: current Enforcement Policy are (See 57 FR 30762; July 10,1992, and 59 described below.* FR 36796: July 19,1994). The intent of
. The Policy recognizes that violations open conferences is not to maximize have differing degrees of safety significance. I. Introduction and Purpose public attendance, but is rather for This section has been modified to determining whether providing the th u inte e uEt U."S. en ent emphasize that the purpose and public with an opportunity to observe Printins OfGce. Mall Stop SSOP, Washington. DC objectives of the enforcement program the regulatory process is compatible 20402-9328. Coples are also available from the are focused on using enforcement with the NRC's ability to exercise its National Technical loformation Service, 52s5 Pon regulatory and safety responsibilities.
actions:
ev e$le ins an py g ah P (1) As a deterrent to emphasize the Importance of compliance with The provisions of the trial program have been incorporated into the Enforcement in the NRC Public Document Room. 2120 L Street.
NW. (Lower Levell, washington, DC 2055s-0001. requbements; and Policy.
l'
. 34382' Federal Register./ Vol. 60, No.126 / Frid:y, Junt 30, 1995 / Notices j i
each of these decisionalpoints may . 1 VL Enforcement Actions warrant a more financially meaningful Penally. A g500 civil penalt have severt I associated considerations f A~Motice of Violotion Severity LevelIII violation at 50% (yof for for a any given case. However. the >
'Ihis section was modified to clarify the Severity tavel l base amount) does outcome of a case, absent the exercise of j' that the NRC may waive all or portions not reflect the seriousness of this type - discretion, is limited to three results: no t of a licensee's written response to a of violetion for this category oflicensee. civil penalty, a base civil penalty, or a ]
~ Notice of Violation to the extent It is notedthat with the revised base civil penalty escalated by 100% j
, relevant Information has already been assessment approach, these licensees D. Related Administmt/ve Actions )-
provided to the NRC in writing or will not normally receive a civil penalty i documented in an NRC inspection %e reference to related :
if prompt and comprehensive conective administrative mechanisms have been report and is on the applicable docket action is taken for isolated non-willful l-t*P laced with related administrative In the NRC Public Document Room. Severity LevelIII violations. ;
actions to clarify the documents as ~'
j R. Civil Penalty - 2. Civil Penalty Assessment actions.
- 1. Base Civil Penalty This section has been renamed.to VII. Exercia ofDiscrudom mnect the for ======
Tables 1 A and 1B have been revised.
civil Pena a su tan y 7' In Table 1B the percentage for Severity ThegabilitQto exercise discretion is level IV violations has been' deleted since such violations will not be subject changed The mvised process is inte Qld vid e M k i m )
j
] . ntinIe to emphastae compliance the normal approach to either increase to civil penalties. lf a violation that or decrease sanctions where ry in a manner that deters future
. would otherwise be categorized at a ygog,ggoo,. to ensure that the sanction reSects the q Severity Level IV violation merits a civil . Encourage pro t identification signincance of the circumstances and g
- penalty because ofits si ficance, the and prompt, compre naive correction - conveys the appro riste regulatory e
- violation would normal y be categorized of violations and their root causes; masage. This sect on has been modiRed u at a Severity ImvelIIL e Apply the recognition of good past to provide examples where it is j 4, Table 1A has been simplified to performance to give credit to a licensee appropriate to consider civil penalties
- combine categories of licensees with the committing a non-willful SLIU or escalate civil penalties a same base penalty amounts.The base violation who has had no previous notwithstanding the normal amaa===aar q 3
penalty amounts have generally significant violations during the past 2 pmcess in Section VI of the 3 remained unchan .The mvised Enforcement Policy. One significant ,y' ears policy notes that t e base penalties may ). [ong ,or 2 inspections (whicheveris example to note involves the loss of a be adjusted on a case-by-case basis to , pg,'ce greater attention on situations source. This example is being added to ,
, reflect the ability to pay and the gravity of greater conc 6.n (i.e., where a licensee emphasize the importance of licensees d being aware of the location of their y of the violation.10 CFR Part 35 has had more than one significant g
sources and to recognise that there jl 1
licensees (doctors, nuclear pharmacies, violation in a 2-year or two-inspection and other medical related licensees) are period, where corrective action is less should not be an economic advantage j i for inappropriate disposal or transfer. t j
combined into an overall medical o.tegory, based on the similarity of than prompt and comprehensive,or where egregious circumstances, such as As to mitigation of sanctions for j !
j
- hazards. Because transportation where it is clear that repetitiveness or violations involving special i f violations for all licensees are primarily willfulness, are involved)
- circumstances, mitigation can be ,
concemed withthe potential for considered if the licensee has ;
. Streamline the NRC decisional i' personnel exposure to radiation, the process in a manner that will preserve demonstrated overall sustained j
. violations in this area will be treated the Judgment and discretion, but will Performance which has been 1 ;
i same as those in the heshh physics area. provide a clear normative standard and particularly good. The levels of approval The $100,000 base civil penal y produce relatively predictable results for exercising discretion are described jl ,
l ;
emount for safeguards violations, which for routine cases and in this section. Finally, Table 2, applies to only two categories of . Provide clear guidance on applying " Examples'of Progressions of Escalated ]
j licensees, fuel fabricators and fewer adjustment factors in various Enforcement Actions for Similar a I
- independent fuel and monitored types of cases,in order to increase Violations in the Same Activity Area retrievable storage installations, has consistency and predictability. Under the Same License," has been
, been deleted.The penalty amount for Once a violation has been categorized withdrawn from the Enforcement 4 safeguards shouldbe the same as for at a Severity LevelIII or above, the Policy. The guidance in that table is not 4 i other violations at these facilities. NRC assessment process considers four basic needed because the policy is clear that !
- has not had significant safeguards decisional points: each case should be judged on its own i violations at these facilities. If the (1) Whether the licensee has had a merits, esnecially those repetitive
- i. penalty that would normally be assessed previous escalated enforcement action violation cases to which the table 2
for operational violations is not during the past 2 years or past 2 applied.
(dequate to address the circumstances VIII. Enforcement Actions Involving of the violation, then discretion would ins( Whether
$)ections, whichever the licensee is longer:
should be Individuals 4 be used to determine the appropriate given credit for actions related to l
penalty amount. identification: The Enforcement Policy has been i
! Thebase civil penalty for"other" (3) Whether the licensee's corrective clarlfled to provide that some action is $
! materials licensees, currently set at actions may reasonably be considered normally to be taken against a licensee d ,
for violations caused by significant acts i i 31000, has been increased to 55000. The prompt and comprehensive; and
, primary concerns for these licensed (4) Whether,in view of all the of wrongdoing by its employees,
,- activities are Individual radiation circumstances, the case in question mntractors, or contractors employees.
~ exposure and loss of control of material warrants the exercise of discretion. As The Policy has also been modified to to the environment, both of which described in the Enforcement Policy, state that the nine factors in Section VIII
! NUREG-1600 4 9
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_ _ . _ _ _ _ _ - _ . _ __, ~ _ _ . . _ - ..__ _ __. __ _ _ _ . _ _ _ -- .-- -
I Federal Regleter / Vcl. 60, No.120 / Friday, Juna 30, 1995 / Notices 34383 should be used to 'essist in the <tacialan 3. Violations in Old DeelenIssum of compliance which the NRC expects.8 on whether enforcement action should 4. Violations iden Due to Previous Each enforcement action is dependent '
i be taken against an unKcimsed Escalated Enfoscoment Action on the circumstances of the case and
- 5. Vloistions involving Discrimination requires the exercise of discretion aAer l' individual as well as the lie ====a. %e e. volvings#
- ' Policy currently uses these factors to consideration of these policies and determine whether to take enforoceent ures. In no case, however, will c narcia of macreden for en opmaung
'. ' action against an unlicensed person Far.llity who cannot achieve and '
- rather than the licensee. These changes . VIIL anforcement Acuoosinvolving maintain adequate levels of protection
- are consistent with thelatent of the Individuals be permitted to conductlicensed Commissioninprornu the rule on IX. Innocurate and Incomplete Information activities.
d:liberatemisconduct 56 40664, X. Enfor-mase Action Agalast Non-Licensees II. Statutory Authorit and Procedural 40666 August 15,1991).IAss Framewmk I XL Refurals W the Departant ofJutice e ficant cases be treated as an
! under Secti B.1. A Imtter of xH.Nmedem omnfora-==* , A. S6 story Authority
{ Re dis not a sanction andis now XHL Roopealms dond Ee'orcenwat Acticos b NRC's enforcement jurisdiction is
- re to es an adatinistrative action supplements drawn fromthe AtomicEnergy Act of
, consistent with Section VI.D of the 1954, as amended,and the Energy y,,g ,
Policy. Reorganisation Ad (ERA) of1974, as The Commission expects that the The following she-=t of general amended.
i channes to the Enforcement Policy- policy and procedure explains the Section tot of the Atomic Energy Act
! should resultin anincreasein the enforcement policy and procedures of authorises the NRC to conduct l Protection of the public health and the U.S. Nuclear Regulatory inspections and investigations and to
- . safety by better emphasising the Cormnission (NRC or Commisalon) and issue orders as may be nacasaary or
! Preventlon, detection, and correction of the NRC staff (staff)ininitiating desirable to promote the common violations before events occur with enforcement actions, and of the defense and security or to protect health j
a impact on the public.In about 2 years presiding ofBoers and the t'm=mial- or to minimise danger tolife or the Commissionintends to review the in reviewing these actions.%is pro .Section 186 authorises the Enforcement Policy. In that regard, it is statement is applicable to enforcement to revoke licenses under cartain i cxpected that in about 18 months an in matters involving the radiological circumstances (e.g., for material false
- cpportunity will be provided to receive health and safety of the public, statements,in response to conditions l Public comments on the including employees' health and safety, that would have warranted refusal of e
- Implementation of this Policy, the common defense and security,and ' license on an original application, for a the environment.8 %is statement of lica=='s failure to build or operate a i General Statement of Policy a ad facility in accordance with the terms of Procedure for NEC Enforcement gent.ral policy and use willbe published as 1600 to provide the permit or llanes, and for violation AcHons of an NRC regulation). Section 234 '
! widupread dissemination of the .
3 Table of Ceokne' Commission's Enforcement Policy. authorises the NRC to impose civil
- Preface However, this is a policy statement and Penalties not to exceed 3100,000 per L Introduction and Purpose not a Tegulation. The Comreission may violation per day for the violatic . of l contain specified licensing provlatons of IL Statutory Authority deviate from this statement of policy A. Statutory Authtirtty and procedure as appropriate under the the A'
- t, rules, orders, and license terms
} B. Procedural Promework circumstances of a particular case. implementing these provialons, and for i IIL Responsibilltles violations for which licenses 'can be IV. Severity of Violatione L Introduction and Purpose revoked. In addition to the enumerated
. R t we V e a The purpose of the NRCenforcement Provisions in section 234, sections 84
, C. WlYful Violations program is to support the NRC's overall and 147 authorise the imposition of D. Violations of Reporting Requirenants safety mission in protecting the public civil penalties for violations of i V. Predecletonal Enforcement Conferences and the environment Canalstent with regulations implementing those VL Enforcement Actions , enforcement action should Provisions. Section 232 authorizes the i A. Notice of Violation that be u kd. NRC to seek in unctive or other e Ashaunt to emphasise the eqMe Me Wohn d O lty 2.CivilPenalty Amessment importana of compliance with oguirmnents, requirements, and f th Energy i s. InitialEscalated Action Reorganization Act authorizes the NRC e To encourage prompt identillation
- b. Credit for Actions Related to Identification and prompt, comprehensive correction to impose civil penalties for knowing I c. Credit for Prompt and Comprehensive ofviolations, and conscious failures to provide
- Cmctlw Action certain safety information to the NRC.
Consistent with the rpose of this Cha ter16 of the AtomicEnergy Act j d. Exwcles of Discretion program, prompt and us
" Provi s for varyinglevels of criminal
- h. et d Administrative Actions enforcement action will taken when j VII. Exwcise of Discretion dealing withlicensees, vendors,2 8'rMs A. Becelation of Enforcement Sanctions contractors, and their employees. who NaC D'=poun pM adhus tWives of aa=== and spaP
.1.CivilPenalties - do not achieve the necessary meticulous %eefore, the tenn *ifoo. mats for NRC Heensa.nese"is u
- 2. Orders attention to detail and the high standard he Polley. Howoow. in thou came whwe the NRC
- 3. Dolly Ovtl Penalties determines that it is op priate to take enforcement action a non-ileensee or i B. Mitigation of Enforcement Sanctions '^"
j 1. nose-ldentliled Severity LevellV tione
.gg o, dimenwe willbe deltmeans indiv thee in o willbe seed.
as used in this policdia enenbent action St individuals and non.
- 2. Violatione Identified During Extended ab tamof**vendar"
. .epplier acts or serview to be use licensees is addrdin sectione vm and X.
. Shutdowns or Work Stoppages NRC lice facility or activity. respectively.
- 5 NUREG-1600 4
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-- . . -- ._ .. . -.- . _ - - - - - - . - - . - - - _ - - . - - ~ -
y 34384 Federal Regist:r / Vol. 60 No.126 / Friday, Juns 30, 1995 / Notices ,
i penalties (i e., monetary fines and - provide hearing rights,as only including the decision to issue a N.otice 1 imprisonment) for willful violations of Information is being sought. A licensee of Violation, or to propose or impose a i the Act and regulations or orders issued must answer a Demand. An unlicensed civil penalty and the amount of this
- under sections 65,161(b),161(1), or person may answer a Demand by either penalty, after considering the general 161(o) of the Act. Section 223 provides providing the requested information or principles of this statement of policy
. that crimin. penalties may be imposed explaining why the Demand should not and the technical significance of the
! cn certain individuals em loyed by have been issued. violations and the surrounding
' firms constructing or su in basic circumstances.
f components of any utill tion acilityif. IH. Responseihtles Unless Commission consultation or 4 thz individual knowingly and willfully The Executive Director for Operations notification is required by this policy,
! vislates NRC requirements such that a (EDO) and the principal enforcement the staff may depart, where warranted in basic component could be significantly officers of the NRC, the Deputy the public's interest, from this policy as i
j impaired. Section 235 provides that Executive Director for Nuclear Material provided in Section Vil," Exercise of -
I criminal penalties may be imposed on Safety, Safeguards and rations Enforcement Discretion."The
< persons who interfere with inspectors. Support (DEDS) and the uty Commission will be provided written
- Section 236 provides that criminal Executive Director for Nu r Reactor notification of all enforcement actions l penalties may be imposed on persons Regulation, Regional Operations, and involving civil penalties or orders. The who attempt to or cause sabotage at a Research (DEDR), have been delegated Commission will also be provided
< nuclear facility or to nuclear fuel. the authority to approve orissue all notie in those cases where discretion is
- - Alleged or suspected criminal violations escalated enforcement actions.* The exercised as discussed in Section
- cf the Atomic t'.nergy Act are referred to DEDS is responsible to the EDO for the VII.B.6. In addition, the Commission
] ths Department of Justice for NRC enforcement programs.He Office will be consulted prior to taking action t appropriate action, of Enforcement (OE) exercises oversight in the following situations (unless the
!- of and implements the NRC urgeccy of the situation dictates
- 8. PmceduralFramework enforcement programs. The Director, immediate action):
i Subpart B of to CFR part 2 of NRC's OE, acts for the Deputy Executive (1) An action srting a licens3e's i regulations sets forth the procedures the Directors in enforcement matters in operation that ruquires belancing the
, NRC uses in exercising its enforcement their absence or as delegated. public health and safety or common f authority.10 CFR 2.201 sets forth the Subject to the oversight and direction defense and security implications of not procedures for issuing notices of of OE, and with the approval of the operating with the potential radiological l
1 violation. appropriate Deputy Executive Director, or other hazards associated with
- ne procedure to be used in assessing where necessary, the regional offices continued operation; j civil penahles is set forth in to CFR normally issue Notices of Violation and (2) Proposals to impose civil penalties 2.205. This regulation provides that the proposed civil penalties. However, in amounts greater than 3 times the
- ' civil penalty process is initiated by subject to the same oversight as the Severity Level I values shown in Table
- r. Issuing a Notice of Violation and regional offices, the Office of Nuclear 1A; Proposed imposition of a Civil Penalty. Reactor Regulation (NRR) and the Office (3) Any proposed enforcement action The licensee or other pe sor. is provided of Nuclear Material Safety and that involves a Severity LevelI L
an opportunity to contest its writing the Safeguards (NMSS) may also issue violation; i pr: posed imposition of a r.ivil penalty. Notices of Violation and proposed civil (4) Any enforcement action that After evaluation of the :esponse, the penalties for certain activities. involves a finding of p material false
' civil penalty may be mitigated, remitted. Enforcement orders are normally issued statemert cr imposed. An opportunity is provided by a Deputy Executive Director or the (5) Exa t.ising discretion for matters
- j. for a hearing if a civil penalty is Director, OE. However, orders may also meeting the criteria of Section VII.A.1 be issued by the EDO, especially those for Commission consultation; imposed. If a civil penalty.is not paid
,. f llowing a hearing or if a hearing is not involving the more significant matters. (6) Refraining from taking enforcement action for matters meeting i requested, the matter may be referred to The Directors of NRR and NMSS have
- ths U.S. Department of Justice to also been delegated authority to issue the criteria of Mion VII.B.2:
' (7) Any proposed e % emet action institute a civil action in District Court. orders, but it is expected that normal that involves the issuance oLa civil
! The procedure for issuing an order to use of this authority by NRR and NMSS Institute a proceeding to modify, will be confined to actions not Penalty or order to an unlicensed 1 suspend or revoke a license or to take associated with compliance issues. The individual or a civil penalty to a Director, Office of the Controller, has licensed reactor operator, i other action against a licensee or other (8) Any action the EDO believes 1 person subject to the jurisdiction of the been delegated the authority to issue warrants Commission involvement;
- Commission is set forth in to CFR orders where licensees violate I
j 2.202. The licensee or any other person. Commission regulations by nonpayment 8 infolv ]:f0 of vYs gat c OI) e adversely affected b the order may oflicense and inspection fees.
request a hearing.T e NRCis in recognition that the regulation of FePort where the staff (other than the O!
nuclear activities in many cases does staff) does not arrive at the same authorized to make orders immediatal c nelusions as those in the 01 report cffective if reautred to protect the pubfic not lend itself to a mechanistic concernin issues ofintentif the j health, safety, or interest, or if the treatment judgment and discretion must be exercised in determining the Director o 01 concludes that i- violation is willful. Section 2.204 sets Commission consultation is warranted; out the procedures for issuing a Demand severity levels of the violations and the and for Information (Demand) to a licensee appropriate enforcement sanctions, (10) An proposed enforcement action 3
cr other person subject to the on which he Commission asks to be Commission's jurisdiction for the
- The term " escalated enforcenwnt action" as o on or corJuhed.
purpose of determining whether an
[ crder or other enforcement action
,"g",$',Pyol{,n vMadon (or problem) or any order based upon a should be issued. The Demand does not viotauon.
3 NUREG-1600 6 l
l a
- Federal Register / Vol. 60, No.126 / Frid:y, Juni 30,1995 / N:tices 34385 i Supplements I through VH1 provide a repetitive violation will depend on the -
IV Severity of Violations . circumstances, such as, but not limited examples and serve as guidance in Regulatory requirementss have to, the number of times the violation has saf eds,or determining the appropriate severity - occurred, the similarity of the violations v: tying degrees of safety'ce refore, level for violations in each of the eight I' environmental significan .
activity areas. However, the examples and their root causes, the adequacy of the relative importance of each m neither exhaustive nor controlling, previous corrective actions, the period I vi:lation, including both the technical.
in addition, these examples do not of time between the violations, and the
' significance and the regulatory signincance of the violations.
. -significance is evaluated as the Arst step crate new requirements. Each is in the enforcement process. designed to illustrate the signlAcance C. Willful Violations i
offormal that the NRC places on a particular tvoe Willful violations m by definition of
! Consequently, for p of violation of NRC requirements. Esc}:
i cnforcement action, vi em cular concern to the Commission i
n:rmall categorisedin terms of four of the examples ift the supplements is useits mgulatay programisbased
- - Irvels ofeeverity to show their relative Predicated on a violation of a regulatory on licensees and their contractors.
i -
im retuirement. . employees,and agents acting with cigbrtance activity areas: within each of the following Tne NRC reviews each ce* Vat .
considered for enforcement action on its integrity and communicating with
"*** own merits to ensure that the severity of candor. Willful violations cannot be i
! tolerated by either the Commissio or a fi, p$g$Y "
gig, i #
86uards.
a violation is characterised at the level licensee. Licensees m expected to take IV. Health Physics; best suited to the signincance of the particular violation. In some cases, significant emdialactionin ,
f' V. Trans lon: responding to willful violations I ~ VI. Fuel e and Meternels . special circumstances may warrant an Vit. Misce laneous Matters; commensurate with the circumstances l adjustment to the severity level Vllt. Emeegsacy Properedams' such that it demonstrates the 4
categorisation. seriousness of the violation thereby -
4 Licensed activities will be plamdin A. Aggreption of 1 Jolions creating a deterrent effect within the l the activity area most suitable in light of licensee'sorganisation. Although j the particular violation involved A groupof Severhy InvolIV vernovel of the person is not necessarily including activities not dinctly covered violations may be evaluated in the aggregate and assigned a single, required, substantial disciplinary action i by one of the above listed areas, e.g., is expected.
export license activities. Within each increased severity level, thereby Thwefore, the severitylevel of a activity area, Severity level I has been resulting in a Severity Invol IH problem.
i violation may be increased if the
! assigned to violations that are the rnost if the violations have the same circumstances surrounding the matter j significant and Severity LevelIV . undulying cause or programmatic denciencies, or the violations involve careless disregard of
- violations are the least signiScant.
contributed to or were unavol'dable requirements, deception, or other i Severit involI and 11 vtalations are of inoications of willfulness. The term i vary si ificant regulatory concern. In consequences of the underlying " willfulness" as used in this policy ,
a gine , violations that are included in problem.Normally, Severity Level H
! these severity categories involve actual and III violations m not aggregated into embraces a spectrum of violations ) -
a hiaher severity level. ranging from deliberate intent to violate a: - er high potential impact on the public. l Severity Level HI violations are cause tee purpose of aggregating violations or falsify to and including careless '
l is to focus the licensee's attention on the disregard for requirements. Willfulness r for signincent regulatory concern.
does not include acts which do not rise S2vority Level IV violations are less fundamental underlying causes for to the level of careless disregard, e.g.,
serious but are of more than mlHbr which enforcement action appears concern: 1.e., if left uncorrected, they warranted and to reflect the fact that inadvertent clerical errors in a i could leed to a more serious concern. several violations with a common cause document submitted to the NRC. In The Commission roccanises that there may be more significant collectively determining the spec!fic severity level are other violations of mlnor safety or than individually and may therefore, of a violation involving willfulness, l
t environmental concern which are below warrant a more substantial enforcement consideration will be given to such thelevelof signincance of Severity action. factors as the position and i LevelIV violations.'lliese minor afbilities of the person involved j violations are not the subject of formal R. Repetitive Violations [ viola ~ tion (e.g., licensee ofHciala l snforcement action and are not usually The severity level of a Severity Imvel or non supervisory empi yee),the - l f
described in inspection reports. To the IV violation mcy be increased to signlAcance of any under ng violation, 1l extent such violations are described, Severity 1Avel UI,If the viflation Can be the intent of the violator ( .e., Caroless
{ disregard or deliberateness), and the 1 they are noted as Non Cited Violations.* considered a repetitive violationJ'Ihe
' Comparisons of algnincance between purpose of escal6ng the coverity level economic or other advantage,if any.
j activit areas areina propriate.For of a repetitive v{olation is ta gained as a result of the violation. The sxamp e,the i=>Wpaey of any hasard acknowledge une added sirniiicence of relative weight given to each of these j to the public associated with Severity the situeuon based on the licensee's Level l violations in Reactor Operations failure to implement offe.:tive corrective a m twm"ucenses ornclel = wed la thi. ;
j Poucy statenwnt mum a Arabune supwvisor or j is not directly comparable to that action fur the previove <lolation. The above. e lleensed Individual. a radietten safety .
i associated with SeverityInvoll decision to corsiste the severity level of omem, or en authortmd user of licennd metalal 4
violations ha Facility Construction. whether or notlisted on e Ikonse. Notwithetending
- en ladividual's job title. eererity level 1
'h term "; opstitive violation" or "shnDer i s N term " requirement" es used in tble policy violation" es used in tble policy anaeama=4 means categerlastion for willful acts involving individuele i means a legally binding requirement such as e a violation that reasonably could have been who can be conaldered licensee ometale will conalder several lectore, including the position of j, statute, segulation, licones candition. technical specincellen. er order.
prevented by a liconese's corrective action for a previous violation normally ocarring (1) within the individual relative to the licensee's 7
j
- A Noncred Vloietlen (NCV)le a vlotetton that the past 3 years of the inspection et leeue. or (t) the organisettonal structure and the Individual's hee not been formelleed lato a to CPR .2et Notice parlod within the last two 1-- " =. whichever responelbilities relative to the overelskt of licensed j
of Vloletion. is longer. activitlee end to the use of Ilconeed meterial.
i 7 NUREG-1600
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f 34386 FederOI Register / Vol. 60, No.126 / Friday, JunQ 30, 1995 / Noticos i
factora in arriving at the appropriate . - is not held, the licensee will normally is a rr.atter of public record, such as an severity level will be dependent on the be requested to provide a written adjudicatory deciolon by the circumstances of the violation. response to an inspection report,if Department of Labor. In addition, with However, if a licensee refuses to correc' issued, as ta the licensee's views on the the approval of the Executive Director a minor violation within a reasonable apparent violations and their root for Operat, ns, conferences will not be time such that it willfully continues, the causes and a description of planned or open to the public where good cause has violation should be categorized at least implemented corrective action. been shown after balancing the beneSt at a Severity LeveIIV, During the predecisional enformment of the public observation against the conference, the licensee, vendot, or potentlal impact on the agency's D. Violotions of Reporting Requirements other persons will be given an enforcement action in a particular case.
The NRC expects licensees to provide opportunity to provide information As soon as it is determined that a complete, accurate, and timely consistent with the purpose of the conference will be open to public information and reports. AccordinglY. conference, including an explanation to observation, the NRG will notify the unless otherwise categorized in the the NRC of the immediate corrective licensee that the conference will be Supplements, the severity level of a actions (if any) that were taken open to public observation as part of the violation involving the failure to make following identification of the potential agency's trial program. Consistent with
. a required report to the NRC will b* violation or nonconformance and the the agency's policy on open meetings,
' based upon the significance of and the long-term comprehensive actions that " Staff Meetings Open to Public,"
circumstances surrounding the matter were taken or will be taken to prevent Published September 20,1994 (59 FR that should have been reported. recurrence.1.icensees, vendors, or other 48340), the NRC intends to announce liowever, the severity level of an persons will be told when a meeting is OPen conferences normally at least 10 untimely report, in contrast to no report, a Predecisional enforcement conference. working days in advance of conforences may be reduced depending on the A predecisional enforcement through (1) notices' posted in the Public circumstances surr aunding the matter. conference is a meetimt between the Document Room,(2) a toll-free A licensee will not normally be cited for NRC and the licenset ionferences are telephone recording at 800452-9674, a failure to report e condition or event normally held in the wglonal offices and (3) a toll-free electronic bulletin unless the licensee was actually aware and are not normally open to public board at 800-952-9678. In addition, the of the condition or event that it failed observation. However, a trial program is NRC will also issue a press release and to report. A licensee will, on the other being conducted to open approximately notify appropriate State liaison ofHoers hand, normally be cited for a failure to 25 percent of all eligible conferences for that a predecisional enforcement report a condition or event if th* public observation, i.e., every fourth conference has been scheduled and that licensee knew of the information to be eligible conference involving one of it is open to public observation.
reported, but did not recognise that it three categories of licensees (reactor, The public attending open was required to make a report. hospital, and other materials licensees) conferences under the trial program may V, Fredecisional Enforcement will be open to the public. Conferences observe but not participate in the Conferences will not normally be open to the public conference. It is noted that the purpose of conducting open conferences under Whenever the NRC has learned of the if the enforcement action being lated. the trial program is not to maximize ;
existence of a potential violation for conte (1) 7ould b's taken against an Public attendance, but rather to l which escalated enforcement action determine whether providing the public individual, or if the action, though not l appears to be warranted, or recurring with opportunities to be informed of taken against an individual turns on nonconformance on the part of a NRC activities is compatible with the vendor, the NRC may provide an whether an individual has committed -
doing. NRC's ability to exercise its regulatory opportunity for a predecisional. wron$nvolves (2) significant personnel and safety responsibilities. Therefore, enforcement conference with the failures where the NRC has requested members of the public will be ellowed licensee, vendor, or other person before that the individual (s) involved be access to the NRC regional offices to taking enforcement action. The purpose present at the conference; attend open enforcement conferences in of the conferen,is to obtain (3)Is based on the findings of an NRC accordance with the " Standard information thai will assist the NRC in Office ofInvestigations report; or Operating Procedures For Providing determining the appropriate (4) Involves safeguards information, Security Support For NRC Hearings And enforcement action, such as:(1) A Privacy Act information,orinformation Meetings," published November 1,1991 common understanding of facts, root which could be considered proprietary; (56 FR 56251). These procedwee 4 causes and missed opportunities in addillon, conferences will not provide that visitors may be subject to '
associated with the apparent violations, normally be open to the public if: personnel screening, that signs, banners, (2) a common understanding of (5) The conference involves medical posters, etc., not larger than 18" be !
correc;1ve action taken or planned, and misadministrations or overexposures permitted, and that disruptive persons l (3) a common understanding of the and the conference cannot be conducted may be removed.
significance ofissues and the need for without disclosing the exposed Members of the public attending open lasting comprehensive correctivr action. Individual's name; or conferences will be reminded that (1)
If the NRC concludes that it has (6) The conference will be conducted the apparent violations discussed at sufficient information to make an by telephone or the conference will be predecisional enforcement conferences informed enforcement decision, a conducted at a mlatively small are subject to further review and may be conference will not normally be held licensee's facility, subject to change prior to any resulting unless the licensee requests it. However, Notwithstanding meeting any of these enforcement action and (2) taa an opportunity for a conference will criteria, a conference may still be open statements of views or expressions of normally be provided before issuing an if the conference involves issues related opinion made by NRC employees at order based on a violation of the rule on to an ongoing adjudicatory proceeding predecisional enforcement conferences, Deliberate Misconduct or a civil penalty with one or more intervenors or where or the lack thereof, are not intended to to an unlicensed person. If a conference the evidentiary basis for the conference represent final determinations or beliefs.
_ .-- - - . - . ~
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Federal liegister / Vol. 60, No.120 / Friday, Jun 30, 1995 / Noticcs 34387
,, . Persons attending open conferences will to be under oath. Normally, responses management involvement in licensed be provided an opportunity to submit under oath will be required only in activities and a decrease in protection of written comments concerning the trial connection with Severity Levell,II, or the public health and safety.
program anonymously to the regional ill violaitons or orders.
The NRC uses the Notice of Violation 1. Base Civil Penalty effice.These comments will be subsequently forwarded to the Director as the usual method for formalizing the The NRC imposes different levels of cf the Office of Enforcement for review existence of a violation. lasuance of a penalties for different severity level
, and consideration. Notice of Violation is normally the only violations and different classes of When needed to protect the public enforcement action taken, except in licensees, vendors, and cther persons.
health and safety or common defense cases where the criteria for issuance of Tables 1A and 1B show the base civil and security, escalated enforcement civil penalties and orders, as set torth in penalties for various reactor, fust cycle, actios, such as the issuance of an Sections VLB and VLC, respectively, are materials, and vendor programs. (Civil immediately effective order, will be met.11owever, special circumstances penaltias issued to individuals are taken before the conference. In these regarding the violation Ilndings may determined on a case-by-case basis.)'Ihe cases, a conference may be held after the warrant discretion being exercised such structure of these tables generall) ML, -
escalated enforcement action is taken, that the NRC refrains from issuing a into account the gravity of the violation VI. Enforcement Actions yMitigation tice of Violation. (See Section as a primary consideration and the VII.B.,,)
of Enforcement Sanctions. ability to pay as a secondary This section describes the In addition, licensees are not ordinarily consideration. Generally, operations onforcement sanctions available to the cited for violations resulting from involving greater nuclear material NRC and specifies the conditions uder matters not within their control, such as which each may be used. The basic equipment failures that were not inventories and greaterpotential consequences to the pclic and licensee enforcement sanctions are Notices of avoidable by reasonable licensee quality empt yees receive b%her civil VI:lation, civil penalties, and orders of assurance measures or management enal les. Regarding .he secondary various ty es. As discussed furtherin controls. Generally, however, licensees factor of ability of various classes of Section V .D, related administrative are held responsible for the acts of their licensees to a the civil penalties,it is actions such as Notices of employees. Accordingly,this policy Nonconic-mance, Notices of Deviation, should not be construed to excuse not the NR s ntention that the Confirmatory Action Letters, Letters of economic impact of a civil penalty be so personnel errors, severe that it puts a licensee out of B. Civi/ Penolty business (orders, rather than civil n rmat o a se o lement the cnforcement program. In se7ecting the A civil penalty is a monetary penalty Penaltics, are used when the intent is to (nforcement sanctions or administrative that may be imposed for violation of(1) suspend or terminate licensed activities) actions, the NRC will consider certain specified licensing provisions of or adversely affects a licensee's ability enforcement actions taken by other the Atomic Energy Act or to safely conduct licensed activities.
Federal or State regulatory bodies supplementary NRC rules or orders; (2) The deterrent effect of civil penalties is having concurrent jurisdiction, such as any requirement for wh!ch a license best served when the amounts of the in transportation matters. Usually, may be revokod; or (3) reporting Penalties take into account a licensee's whenever a violation of NRC requirements under section 206 of the ability to psy. In determining the requirements of more than a minor Ene y Reorganization Act. Civil amount of civil penalties for licensees c ncern is identified, enforcement pena ties are designed to deter future for whom the tables do not reflect the action is taken. The nature and extent of violations both by the involved licensee ability to pay or the gravity of the i th2 enforcement action is intended to violation, the NRC will consider as as well as by other licensees conducting reflect the seriousness of the violation similar activities and to emphasize the necessary an increase or decrease on a involved. For the vast majority of need for licensees to identify violations case-by-case basis. Normally,if a violations, a Notice of Violation or a and take prompt comprehensive licensee can demonstrate financial Notice of Nonconformance is the normal corrective action. hardship, the NRC will consider cction. Civil penalties are considered for Payments over time, including interest, Severity Level III violations. In addition, rather than reducing the amount of the A. Notice of Violotion civil penalties will normally be assessed Civil enalty. P However, where e licensee A Notice of Violation is a written for Severity level I and 11 violations and claims financial hardship, the buensee notice setting forth one or more knowing and conscious violations of the will normally be required to address violations of a legally binding reporting requirements of section 206 of why it has sufficient resources to safely requirement.The Notice of Violation the Energy Reorganization Act. conduct licensed activities and pay n:rmally requires the recipient to Civil penalties are used to encourage license and inspection fees, provide a written statement describing prompt identification and prompt and 2. Civil Penalty Assessment (1) the reasons for the violation or, if comprehensive correction of violations, contested, the basis for disputing the to emphasize compliance in a manner In an effort to (1) emphasize the violation; (2) corrective steps that have that deters future violations, and to importance of adherence to been taken and the results achieved:(3) serve to focus licensees
- attention on requirements and (2) reinforce prompt corrective steps that will be taken to violations of significant regulatory self-identification of problems and root prevent recurrence; and (4) the date concern. causes and prompt and comprehensive when full compliance will be achieved. Although management involvement, correction of violations, the NRC Th3 NRC may waive all or portions of direct or indirect,in a violation may reviews each proposed civil penalty on a written response to the extent relevant lead to an increase in the civil penalty, its own merits and, after considering all information has already been provided the lack of management involvement relevant circumstances, may adjust the to the NRC in writing or documented in may not be used to mitigate a civil base civil penalties shown in Table 1 A cn NRC inspection report.The NRC may penalty. Allowing mitigation in the and IB for Severity LevelI, II, and III require responses to Notices of Violation latter case could encourage the lack of violations as described below.
I 34388 Federal Register / Vol. 60, No.126 / Friday, June 30, 1995 / Notices {
whether the licensee's corrective actions each violation or pmblem, absent the .Il
%e civilpenalty asessament process considers four decialonal points: (a) are prornpt and consprehensive; and (d) exordse of discretion, is limited to one whether,in view of all the of the following three results: no dvil !
Whether thelicensee has had any d cumstances, the matterin question penalty, a base civil penalty, or a base previous escalated enfwr== mat action dril enaltyescalated by 200E ne rpquires the exercise of discretion. P (regardless of the acthity area) during Dow chart presented below is a graphic the past 2 years or past 2 inspections. Although each of these decisions) points may have several namaciat.a representation of the civilpenalty whicheverislonger;(b)whether the ==-ent process, liansee should be given credit for considerations for any given case, the actions related to identiacation; (c) outcome of the assessment process for enzasecoes =
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- c. Initial escolated acilon. When the (1) Whether the problem requiring licensee cmdit for actions related to .. i NRC determines that a non-willful corrective action was NRC identified, identincation normally should consider [ l Severity Level 111 violation or poblem licensee-identified, or revealed through the ease of disconry, whether the event 4 1 r has occurred, and the licensee has not an event;'
(11) Whether prior opportunities occured as the result of a licensee self-monitoring effort (i.e., whether the f
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had any previous escalated actions l (regardless t,f the activity area) during existed to identify the problem requiring licensee was "looking for the problem"), 2 l tha past 2 years or 2 inspections,. corrective action, and if so, the age and the degree of licensee initiative in - 4 i
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- . whichevsr is longer, the NRC will number of those oppostunities; identifying the problem or problems -
consider whether the licensee's (iii) Whether the problem was requiring corrective action, and whether corrective action for the present . revealed a the result of a licensee self- prior opportunities existed to identify :
violation or problem is reasonably monitoring effoit, such as conducting an the problem.
., prompt and comprehensive (see the audit, a test, a surveillance, a daign Any of these considerations may be :
3 discussion under Section VI.B.2.c. review, or troubleshooting, overriding if particularly noteworthy or below). Using 2 years as the basis for (iv) For a problem revealed through particularly egregious. For example, if ~
- casessment is expected to cover most an event, the ease of discovery, and the the event occurred as the result of .1
, situations, but considering a slightly degree oflicensee initiative in conducting a survemance or suniser -l l 1:nger or shorter period might be identifying the root cause of the - self-monitoring effort (i.e., the licensee ' I I wirranted based on the circumstances Problem and any andociated violations; wu looking for the problem), the l
! of a particular case. The starting point (v) For NRC Identified issues, whether limnsee should normally be given credit i i of this period should be considered the the ilconses would likely have for identification. As a second instance, d:te when the licensee was put on identified the issue in the same time- even if the problem was easily n:tice of the need to take corrective Period if the NRC had not been discovered (e.g., myseled by a large spill action. For a licensee-identined involved; ofliquid), the NRC may choose to give virlation or an event, this would be (vi) For NRC identified issues, credit because noteworthy licensee a when the licensee is aware that a whether the licensee should have effort was exerted in ferreting out the I problem or violation exists requiring identi81ed the,imie (and taken action) :oot cause and associated violatlods, or
! corrective action, For en NRC-identifid earlier;and simply because no prior opportunities vi:lat%n, the starti point would be bH)For casuin yh!ch tip NRC (e.g., procedural cautions, post-when tia, NRC puts e licensee on identifies the overah problem requiring maintenance testing, quality control i notice, which could be during the cormcun action (e.g., a programmatic issue), the degree of licensee initiative failures, readily observable
-in meter k[
i inspection, at the inspection exit trends, or reputed or 1 S or lack of initiative M identifying the annunciator warnings) existed to i mieting, or as part of post-inspection
- Problem or problems requiring identify theproblem. ;l communication.
! If the corrective action is judged to be corrective action. (iii) NRC-Identified, When a problem $
(2) Although some cases may consider requiring corrective action is NRC-
- ' hrompt iolationand comkrehensive, norma should be issud a Notice of all of the above factors, the importance identified, the decision on whether to 3(
with no associatedcivil penalty, If the of each factor will very based on the give the licensee credit for actions
. corrective action is judged to be less type of can as discussed in the related to Identification should thin prompt and comprehensive, the following general guidance: normally be based on an additional <
l (tj 1,1censee-Identified..When a question: should the licensee have N:tice of Violation normally should be
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l Issued with a base civil penalty. Problem requiring corrective action is reasonably identified the problem (and c l
- b. Cmdl!for octions reloted to licensee-identified (i.e., identified taken action) earlieri In most cases, this reasoning may be l
i identificotton. (1) If a Severity Level I or before the problem has resulted in an k I
11 violation or a willftal Severity LevelIll event), the NRC should normall give based simply on the ease of the NRC {q violation has occurred-or if, during the the licensee credit for actions re sted to inspector's discovery (e.g., conducting a ;
i past 2 years or 2 inspections, whichever identification, regardless of whether walkdown, observing in the control U ;
- ~ Drior opportunities existed to ident.ify room, performin8 a confirmatory NRC Is longer, the licensee has been issued y at least one other escalated action--the the oroblem. radiation survey, hearing a cavitating i civil penalty assessment should (l()ldentified Through an Event. pump, or finding a valve obviously out '
normally consider the factor of When a problem requiring corrective of position). In some cases, the y !
idrntification in addition to corrective action is identified through an event, I consee's missed opportunities to Y action (see the discussion under Section the decision on whether to give the identify the problem might include a j VI.B.2.c below). As to identification, similar previous violation NRC or t ent the NKC should consider whethe the industry notices, internal audits, or ;
licensee should be given credit UN g,'i'.",lp,*l
,q,ip . .u1hj i,, mm dttyobrious ab human readily observable trends. M, l
tctions related to identification. oburnoon or tuerumentauon. or p) a r.Eolostcal If the NRC identifies the violation but in each case, the decision should be imp.ct on personnet or the environment in excess concludes that, under the i focused on identification of the problem of resulatory ilmita, such as an ovwexposure, a circumstances, the licensee's actions [
requiring corrective action. In other words, although giving credit for
(*,*"jk'd,"'"','$3N[pD'" related to identification were not unreasonable, the matter would be identification and Corrective Action shouH be separate decisions, the equipment ratio,e discovered throvsh a spill of 11guld. e loud notee, the failure to have a system raPond a rly,or an a .nunciator alarm would treated as licensee-identified for urposes of assessing the civil penalty.
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concept ofIdentification presumes that
. the identifier recognizes the existence of $'*"
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simtiarty if a itcensee di covered,through n such cases, the question of Identification credit shifts to whether E
a problem, and understands that quarterly dosimetry readinsa, that employen had the licensee should be penalized for P corrective action is needed.The ban ina utely monitored for radiation. the NRC's identification of the problem.
decision on Identification requires '
l'd Eu~do"w"""r','b s"o' dYtb*'"~adings MWW mah. N %M ?
considering all the circumstances of discioned an onrexposure, the issue wouid be identification @ situations (i.e., where identification including: considered an ennt. multiple violations exist, some NRC- [ ,
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i Federd Register / Vol. 60, No.126 / Friday, June 30, 1995 / Notices 34391 identified, some licensee-identified, or The evaluation of missed Regardless of other circumstances where the NRC prompted the licensee to opportunities should normally depend (e.g., psst enfomement history.
tako action that resulted in the on whether the infonnation available to identification), the licensee's corrective. ,
' identification of the violation), the the licensee should reasonably have actions should always be evaluated as NRC's evaluation should normally caused action that would have part of the civil penalty assessment prevented the violation. Missed process. As a reflection of the determine whether the licensee could reasonably have been expected to opportunities is normally not applied importance given to this factor, an NRC where the licensee appropriately judgment that the licensee's corrective identify the violation in the NRC's reviewed the opportunity for action has not been prompt and .
absence. This determination should consider, among other things, the timing application to its activities and comprehensive will always result in cf the NRC's discovery, the information reasonable action was either taken or iscuing at least a base civil penalty.
available to tla licensee that caused the planned to be taken within a reasonable in assessing this factor, consideration time.
will be given to the timeliness of the NRC concern, the specificity of the corrective action (including the NRC's concern, the scope of the In some situations the missed licensee's e(forts, the level of licensee Opportunity is a violation in itself. In promptness in developing the schedule resotm s ;.... L 1:. :nvestigation, and these cases, unless the missed for long term corrective action), the e ade uacy of the licensee a root cause whether the NRC's path of analysis had opportunity is a Severity LevelIII ana sis for the violation, and, given the violation in itself, the missed been dismissed or was being pursued in si ficance and complexity of the Opportunity violation may be grouped parallel by the licensee. with the other violations into a single issue,the comprehensiveness of the In some cases, the Iicensee may have S W m **@h*' IIowever, corrective action (i.e., whether the nt fled if the missed opportunity is the only action is focused narrowl to the violati n(an ah violation, then it should not normally be specific violation or broa ly to the the violations),but fall,Y a ei d to recognize counted twice (i.e., both as the violation general area of concern). Even in cases and as a missed op rtunity " double when the NRC, at the time of the nece saryc n ens ve a o ere counting") unless e number of enforcement conference, identifies this is true the decision on whether to Opportunities missed was particularly additional peripheral or minor Ei vo licensee credit for actions related to i corrective action still to be taken, the identification should focus on sknificant.
he timin licensee may be given credit in this area, identification of the problem requiring should also bof the missed opportunityconsidered. While a rigid as long as t corrective action (e.g., the programmatic time-frame is unnecessary, a 2 year addressed the underlying root cause and breakdown). As such, depending on the erlod should generally be considered are considered sufficient to prevent chronology of the various violations, the [or consistency in implementation, as recurrence of the violation and similar earliest of the individual violations the period reflecting relatively current violations.
might be considered missed performance. Normally, the ju igment of the opportunities for the licensee to have (3) When the NRC determines that the adequacy of corrective actions will identified the larger problem. !!censee should receive credit for hinge on whether the NRC had to take (v) Missed Opportunities to Identify. actions related to Identification, the action to focus the licensee's evaluative Missed opportunities include prior civil penalty assessment should and corrective process in order to obtain notifications or missed opportunities to normally result in either no civil comprehensive corrective action. This identify or prevent violations such as (t) penalty or a base civil penalty, based on will normally be judged at the time of through normal surveillances, audits, or whether Corrective Action is judged tq tlie enforcement conference (e.g., by quality assurance. (QA) activities; (2) be reasonably prompt and outlining substantive addufonal areas ;
through prior notice i.e., specific NRC or comprehensive. When the licensee is where corrective action is needed).
industry notification; or (3) through not given credit for actions related to Earlier informal discussions between other reasonable Indication of a identification, the civil penalty the licensee and NRC inspectors or potential problem or violation, such as assessment should normally result in a management may result in improved observations of employees and Notice of Violation with either a base corrective action, but should not contractors, and failure to take effective civil penalty or a base civil penalty normally be a basis to deny credit for corrective steps. It may include findin8s escalated by 100% depending on the Corrective Action. For cases in which of the NRC, the licensee, or industry quality of Corrective Action, because the the licensee does not get credit for made at other facilities operated by the licensee's performance is clearly not actions related to identification because licensee where it is reasonable to expect acceptable. the NRCidentified the preblem, the the licensee to take action to identify or c. Cmditfor prompt and assessment of the licensee's corrective prevent similar problems at the facility mmprehensive corrective action. The action should begin from the time when subject to the enSrcement action at r urpose of the Corrective Action factor the NRC put the licensee on notice of issue. In assessing this factor, is to encourage licensees to (1) take the the problem. Notwithstanding eventual consideration will be given to, among immediate actions necessary upon good comprehensive corrective action, if other things, the opportunities available discovery of a violation that will restore immediate corrective action was not to discover the violation, the ease of safety and compliance with the license, taken to restore safety and compliance discovery, the similarity between the regulation (s), or other requirement (s); once the violation was identified, violation and the notification, the and (2) develop and implement (in a corrective action would not be perio'd of time between when the timely manner) the lasting actions that considered prompt and comprehensive.
violation occurred and when the will not only prevent recurrence of the Corrective action for violations notification was issued, the action taken violation at issue, but will be involving discrimination should (or planned) by the licensee in response appropriately comprehensive, given the normally only be considered to the notification, and the level of significance and complexity of the comprehensive if the licensee takes management review that the notification violation, to prevent occurrence of prompt, comprehensive corrective received (or should have received). violations with similar root causes, action that (1) addresses the broader 13 NUREG-1600
- - - - - _ - - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ __ w
i 34392 Federal nelster / Vol. 60, No.126 / Friday, Juns 30, 1995 / Noticis environment for raisin g safety concems correction of an improperly constructed willfulness. Otherwise, a prior opportunity for a hearing on the order in the workplace, and L2) provides a safety-related system or component: or (ill The licensee's quality assurance is afforded. For cases in which'the NRC
- remedy for the particuLar discrimination I pro 8 ram implementation is not adequate believes a basis could reasonably exist ct issue. l
- d. Eiercise of discretion. As provided to provide confidence that construction for not taking the action as proposed, !
In Section VII," Exercise of Discretion," activities are being properly carried out; the licensee will ordinarily be afforded l (c) When the licensee has not an opportunity to show why the order disc'retloa may be exarcised by either should not be issued in the proposed !
escalaths or mitigating the amount of responded adequately to other enforcement action: manner by way of a Demand for tha civfl penalty detennined after Information. (See 10 CFR 2.204) applying the civil penalty adjustment (d) When the licensee interferes with D. Reloted administrative actions. In factoe to ensure that the proposed civil the conduct of an inspection or investigation: or addition to the formal enforcement pendly reflects the NRC's concem (e) For any reason not mentioned actions, Notices of Violation, civil regarding the violation at issue and that above for which license revocation is penalties, and orders, the NRC also uses it conveys the appropriate message to administrative actions, such as Notices thi licensee. However, in no instance legally authorized, Suspensions may apply to all or part of Deviation, Notices of will a civil penalty for any one violation of the licensed activity. Ordinarily, a Nonconformance, Confirmatory Action exceed $100,000 per day. licensed activity is not suspended (nor Letters, Letters of Reprimand, and is a suspension prolonged) for failure to Demands for Information to supplement TABLE 1 A.-Base Civil Penalties comply with requirements where such its enforcement program.The NRC failure is not willful and adequate expects licensees and vendors to adhere
$100,000
- c. Power reactors .
corrective action has been taken. to any obligations and commitments
- b. Fuel fabricators, industrial resulting from these actions and will not
- 3. Revocation Orders may be used:
processors, and independent hesitate to issue appropriate orders to spent fuel and monitored re- (a) When a licensee is unable or 25,000 unwilling to comply with NRC ensure that these obligations and trievable storage installations
- c. Test reactors, mas and ura- requirements; commitments are met.
nium conversion faceties. (b) When a licensee refuses to correct 1. Notices of Deviation are written contractors, vendors, waste a violation; notices describing a licensee's failure to disposal licensees, and in- (c) When licensee does not respond to satisfy a commitment where the 10.000 a Notice of Violation where a response commitment Involved has not been Q,.~.. was required; made a legally binding requirement. A domic, medical, or h me. (d) When a licensee refuses to pay an Notice of Deviation requests a licensee terial recensee ' .. - 5.000 to provide a written explanation or applicable fee under the CommisJion s
'This applies to nonprofit institutions not regulations; or statement describing corrective steps 0*
,,%8g'90'c'ma nu d
jy (e)For any other reason for which revocation is authorized under section taken (or planned), the results achieved, and the date when corrective action will i
i i
I cian offices. 180 of the Atomic Energy Act (e.g., any be completed, condition which would warrant refusal 2. No,tices of Nonconformanca are i TABLE 18.-BASE CIVit PENALTIES of a license on an original application). written notices describing vendor's f !
Base civil pen.
- 4. Cease and Desist Orders may be failures to meet commitments which alty amount (Per- used to stop an unauthorized activity have not been made legally binding '
Severity level centof amount that has continued after notification by requirements by NRC. An example is a the NRC that the activity is commitment made in a procurement
"'Y"D unauthorized. contract with a licensee as requ_ ired by '
l
- 5. Orders to unlicensed persons, 10 CFR Part 50, Appendix B. Notices of I 100 Nonconformances request non-licensees 80 including vendors and contractors, and to provide written explanations or til . . . . . . 50 employees of any of them,are used when the NRC has identified deliberate statements describing corrective steps C. Orders. An order is a written NRC misconduct that may cause a licensee to (taken or planned), the results achieved, '
directive to modify, suspend, or revoke be in violation of an NRC requirement the dates when corrective actions will !
a license;to cease and desist from a or where incomplete or inaccurate be completed, and measures taken to given practice or activity; or to take such information is deliberately submitted or preclude recurrence.
other action as may be proper (see to where the NRC loses its reasonable 3. Confirmatory Action Letters are CFR 2.202). Orders may also be issued assurance that the licensee will meet letters confirming a licensee's or in lieu of, or in addition to, civil NRC requirements with that person vendor's agreement to take certain
- involved in licensed activities. actions to remove significant concerns penalties, as appropriate for Severity Level I, II, or til violations. Orders may Unless a separate response is about health and safety, safeguards, or b1 issued as follows: warranted pursuant to 10 CFR 2.201, a the environment.
Notice of Violation need not be issued 4. Letters of Reprimand are letters l
- 1. License Modification orders are addressed to individuals subject to Issued when some change in licensee where an order is based on violations described in the order. The violations Commission jurisdiction identifying a equipment, procedures, personnel, or described in an order need not be significant deficiency in their management controls is necessary, d: categorized by severity level, performance of licensed activities. ,
- 2. Suspension Orders may be use j (a)To remove a threat to the public Orders are made effective 5. Demands for Information are >
t h:alth and safety, common defense and immediately, without prior opportunity demands for information from licensees for hearing, whenever it is determined or other persons for the purpose of !
security, or the environment; 1 (b)To atop facility construction when, that the public health, interest, or safety enabling the NRC to determine whether (i) Further work could preclude or so requires, or when the order is an order or other enforcement action should be issued.
significantly hinder the identification or responding to a violation involving NUREG-1600 14
. _ ~ ~ . _ _ . _ _ . . _ . _ _ _ . . _ _ _ _ . _ _ _ _ . _ . _ _ _ _ - _ _ _ _ _ _ _ _ _
4 Federal Register /.Vol. 'BO, No.126 /' Friday, June 30, 1995 / Noticos 34393 (e) Situations when the excessive when discretion should be considered i VII. Exercise of Discretion . for departing from the normal approach l No'twithstanding the normal guidance duration of a problem has resulted in in a Section VI.B include but are not contained in this policy, as provided in substantialincrease in risk:
(f) Situations when the licensee made limited to the following: Severity Level Section !!!, " Responsibilities," the NRC a conscious decision to be in 1. Licensee-Identified 2
may choose to exercise discation and noncompliance in order to obtain an IV Violations.The NRC, with the l - either escalate or miti to enforcement economic benefit; or approval of the Regional Administrator I
sanctions within the bmmission's (g) Cases involving the loss of a orhis designee, may refrain from statutory authority to ensure that the source. In addition, unless the licensee issuing a Notice of Violation for a j f lti I 88II-Id*ntill88 and reports tip loss to the Severity LevelIV violation that is I approprfs el fle th level of NRC NRC, these cases should normally result documented in an inspection report (or I concern regarding the violation at issue in a civi al in an amount at least officist field notes for some material I and conveys the appropriate message to in the o er of e cost of an authorized cases) and described therein as a Non-
- he licensee *
' disposal of the material or of the transfer Cited Violation (NCV) provided that the inspection report includes a.brief
- A. Escalation of Enforcement Sanctions of the material to an stithorised sc
- !pi d .- description of the corrective action and
~
Th NRC considers violations 2. Orders.The NRC may, where that the violation meets all of the cMegorized at Severity Imvel I, II, or III necessary or desirable, issues orders in following criteria:
i to be of si ificant ulatory concern. conjunction with or in lieu of civil (a) It was identified by the licensee.
! If the appbcation of normal including identification through an guidance In this policy does not result Penalties to achieve or formalise 2 corrective actions and to deter further event:
(b)It was not a violation that could 1
in a rovaan apfropriate of the a riate De utwith therecurrence sanction, of serious violations.
- 3. Daily civil penalties.In order to reasonably be expected to have been '
j E ocutive Directoran consult!tio recognize the added technical safety prevented by the licensee's corrective i with the EDO and Commission, as latory significance action for a previous violation or a I warranted, the NRC may apply its full significance for those cases or]rew a very stmng previous licensee finding that occurred i enforcement authority where the action message is warranted for a significant within the past 2 years of the inspection 1 is warranted. NRC action mayinclude violation that continues for more than at issue, or the period within the last i (1) escalating civil penalties, (2) issuing me day,the NRC may exercise two inspections, whichever is longer:
l e propriate orders, and (3) assessi discretion and assess a separate (c)It was or will be corrected within
! cfv11 penalties for continuing viola 7ons violation and attendant civil penalty up a reasonable ific correctivetime, 1 on a action committed to the licensee by 2
limit f $100,000 day basis,rviolation up to the statutoby. to the statutory limit of $100,000 per for the end of the inspect on, including each day the violation continues.The 1.Civilpenshies Notwithstanding NRC may exercise this discretion if a immediate corrective action and
- the outcome of the normal civil penalty 1
assessment rocess addressed in Section licensee was aware or clearly should comprehensive corrective action to have been aware of a violation, or if the prevent recurrence;
,' VI.B. the Ni C may exercise discretion licensee had an opportunity to identify (d)It was not a willful violation or if i by eitbar proposing a civil penalty and cornct the violation but failed to do it was a willful violation:
- where application of the factors would so. (i)The information concerning the 5 otherwise result in zero penalty or by violation, if not mluired to be mported, i escalating the amount of the resulting B. Mitigation ofEnforcement Sanctions was promptly provided to appropriate civil penalty)(i.e., base he NRC may exercise discretion and NRC personnel, such as a resident l civil penalty to ensure that theor twice the base proposed civil ' naky reflects the refrain or a Notice from issuing a civil of Violation,if (nelty and/ inspector or regional section or branch outcome chief-
, significance of e circumstances and of the normal process described in (11) The violation involved the acts of I ropriate regulatory a low.levelindividual(and not a conveys the abicensee. ConsultationSection VI.B does not result in a i' messahe to thwith t e Commission issanction requimd cor.sistent with an appropriate licensee official as defined in Section if the
- regulatory niessage. In addition, even if IV.C);
! deviation in the amount of the civil the NRC exacises this discretion, when (iii) The violation appears to be the i nelty proposed under this discretion the licensee IJled to make a required isolated action of the employee without l om the amount of the civil penalty 'oport to the NRC, a separate management involvement and the l assessed under the normal process is violation was not caused by lack of enforcement action wl,Il normally be more than two times the base civil Issued for the licensee a failure to make management oversight as evidenced by a 1B.ples required report.The approval of the either a history ofisolated willful bnelty shown in Tables 1A andDimetor, Officewhen this discretion of Enforcement, with should or a lack of adequate audits Colations i be conaldered include,but are not consuhation with the cppropriate oc supervision of employees; and
! limited to the followina: Deputy Executive Director as warranted, (iv) Significant remedial action l (a) Problems categorfz' ed at Severity commensurate with the circumstances LevelI or II; is rviuired for exercising discretion of i
the type described in Section VII.B.1.b was taken by the licensee such that it i (b) Overexposures, or releases of where a willful violation is involved, demonstrated the seriousness of the radiological materialin excess of NRC violation to other employees and 2 and of the types described in Sections requirements; VII.B.2 through VII.B.5. Commission contractors, thereby creating a deterrent
- (c) Situations involving particularly effect within the licensee's organization.
- poor licensee performana, or involving consultation Is required for exercising Although removal of the employee from willfulness; discretion of the type described in i
Section VII.B.2 and the approval of the licensed activities is not necessarily J (d) Situations when the licensee's required, substantial disciplinary action i previous enforcement history has been appropriate Deputy Executive Director and Commission notification is required is expected.
l particularly poor, or when the current 2. Violations identified During violation is directly repetitive of an for exercising the discretion of the type earlier violation; described in Section VII.B.6. Examples Extended Shutdowns or Work i.
i-l 15 NUREG-IHO
34394' Federal Register / Valf 60, No.126 / Friday, Jun3 30,1995 / Noticas f St: pages.The NRC may refrain from violation was caused by conduct that is action when the licensee has addressed issu ng a Nodce of Violation or a not reasonably linked to preseat tim overall work environment for raising
- for a violation - performance (normally, violations that safety concerns and has publicised that
- that proposed civileher is identified penalty (i) the NRC are hasat least 3 years old or violations a laint of discrimination for j taken significant enforcement action occurring during plant construction) e in protected activity was made .
based upon a major safety event and there had not been prior notice so to L, that the matter was settled I ' contributing to an extended shutdown ' that the licensee should have reasonably to the satisfaction of the employee (the af an cperating reactor or a material identified the violation earlier. This terms of the specinc settlement exercise of disuetion is to place a agreement need not be ed), and that, i licensee (or a work stoppage at a a construction site), or (11) the licensee premium on licensees initiating efforts if the DOL Area OfBa enters an extended shutdown or work to identify and correct subtle violations discrimination, the lican=== has taken i st:ppage related to generally poor that are not likely to be identified by action to positively reemphanka that j i - performance over a long period of time, routine efforts before degraded safety discrimination will not be toleratsd. 1 2
provided that the violation is systems are called upon to work. Similarly, the NRC may refrain from ; .j l documented in an inspection report (or 4. Violations Identined Due to taking enforcement action if a licensee j
! cfficial field notes for some material Previous Escalated Enforcement Action. settles a matter promptly after a person l The NRC may refrain from issuing a comes to the NRC withoutgoing to the ;
cases) and that it meets all of the DOL.Such discretion would normally I
following criteria: Notice of Violation or a proposed civil j not be exercised in cases in which the i (1) It was either licensee. identified as Penahy for a violation that is identified licensee does not appmpriately address a result of a comprehensive program for after the NRChas taken macalated i j problem identification and correction enforcement action for a Severity IAveI the overall work enyignnsnant (e.g., by j that was developed in response to the II or III violation, provided that the using training, postings, avised policies
' or procedures, any necessary shutd:wn or identified as a result of an . violation is documented in an
. emphyee allegation to the licensee:(if inspection report (or official field notes disciplinary action, etc., to i the NRC identifies the violation and all for some material cases) that includes a communicate its policy against c f tha c,ther criteria are met, the NRC description of the corrective action and discrimination) or in cases that involve:
. sh uld determine whether enforcement that it meets all of the following criteria: allegations of discrimination as a result i action is r--- -- to achieve remedial (a) It was licensee.identined as part of of providing inforrnation directly to the
, actirn, or if discrdlon may stillbe the corrective action for the previous NRC, allegations of discrimination escalated enforcement action: caused by a manager above Erst.line i
(b)It has the same or similar root supervisor (consistent with current
, ahriste.) is based u n activities of the cause as the violation for which Enforcement Policy classi8 cation of licensee rior to t events leading to th2 shut own; escalated enforcement action was Severity levelI or 11 violations).
2 (c)It would not be categorised at a issued: allegations of discrimination where a (c) It dess not substantially change the history of findings of discrimination (by severity level higher than Severity Level safety significance or the character of the DOL or the NRC) or settlements
- gg'.
j ' (d)It was not willful; and . the regulatory concem arising out of the suggests a programmatic rather than an ,
' initial violation; and isolated discrimination problem, or I
(:) The licensWs decision to restart (d)It was or will be corrected, thi plant requires NRC concurrence. allegations of discrimination which
- 3. Violations Involving Old Design liicluding immediate corrective action appear particularly blatant or egregious.
lasues. The NRC may refrain from and long term comprehensive corrective 6. Violations involving Special i pr: posing a civil penalty for a Severity action to prevent recurrence, within a Chcumstances. Notwithstanding the lAvil 11 or 11I violation involving a past reasonable time following identlflCation. outcome of the normalCivil penalty
- 5. Violations involving Certain assessment process addressed in Section 1 probirm, such as in engineering, design, i erinst:llation, provided that the Discrimination Issues. Enforcement VI.B. as provided in Section 111, vistition is documented in an discretion may be exercised for " Responsibilities," the NRC may reduce
- Inspection report (or official field notes discrimination cases when a licensee or refrain from issuing a civil penalty or
! who, without the need for government a Notice of Violation for a Severity Level for some material cases) that includes a intervention, identifies an lasue of
- description of the corrective action and 11 or 111 violation based on the merits of i that it meets all of the following criteria: discrimination and takes prompt. the case after considering the guidance comprehensive, and effective corrective in this statement of policy and such (t)It was licensee identified as a result ofits voluntary initiative; action to address both the particular factors as the age of the violation, the i (b)It was or will be corrected, situation and the overall work ufety significance of the violation, the
! including immediate corrective action environment for raising safety concems. overall sustained performance of the
- and long term comprehensive corrective Similarly, enforcement may not be licensee has been particularly good, and i action to prevent recurrence, within a warranted where a complaint is filed other relevant circumstances, including reasonable time following identification with the Department of Labor (DOL) any that may have changed since the j (this action should involve expanding under Section 211 of the Energy violation.This discretion is expected to f thi initiative, as necessary, to identify Reorganisation Act of1974,as be exercised only where application of
- cth
- r failures caused by similar root amended, but the licensee settles the the normal guidance in the policy is causes); and matter before the DOL makes an initial unwarranted.
(c)It was not likely to be identified finding of discrimination and addresses ,
i (aft:r the violation occurred) by routine the overall work environment. C.Exemise of Discretionforon Altematively,if a finding of Operating Facility i lic:nsee efforts such as normal i survilllance or quality assuranco (QA) discrimination is made, the licensee On occasion, circumstances may arise ectivities. may choose to settle the case before the where a licensee's compliance with a in addition, the NRC may refrain from evidentiary hearing begins. In such Technical Specification (TS) Limiting
! Issulng a Notice of Violation for cases cases,the NRC may exercise its Condition for Operation or with other
- that meet the above criteria provided the discretion not to take enforcement license conditions would involve an
, NUREG-1600 16 i --
--e-. , e-, ,
i Federtl Regist:r / Vol. 60, No.126 / Friday, Juno 30, 1995 / Notices 34395 7
, unnecessary plant transient or exercised with roepect to equipment or knowingly, or with careless disregard performance of testing, inspection, or systems only when it has et least (i.e., with more than mere negligence) failed to take required actions which system realignment that is inappropriate concluded that, notwithstanding the with the specific plant conditions, or conditions of the license:(1) The have actual or potential safety 1 unnecessary delays in plant startup equipment or system does not perform significance. Most transgressions of without a corresponding health and a safety function in the mode in which individuals at the level of Severity IAvel
. safety benefit. In these circumstances, operatlon is to occur:(2) the safety 111 or IV violations will be handled by
- the NRC staff may choose not to enforce function performed by the equipment or citing only the facility licensee.
' the applicable TS or other license system is of only marginal safety More serious violations, including condhlon. This enforcement discretion, benefit, provided remaining in the those involving the integrity of an
- designated as a Notice of Enforcement current mode increases the likelihood of individual (e.g., lying to the NRC)
! Discretion (NOED), will only be an unnecessary plant transient; or (3) concerning matters within the scope of exercised if the NRC staffis clearly the TS or other license condition the individual's responsibilities, will be considered for enforcement action satisfied that the action is consistent requires a teet, inspection or system 4
with protecting the public health and realignment that is inappropriate for the against the individual as well as against safety. A licensee seeking the issuance particular plant conditlons, in that it the facilitv licanaae. Action assinst the does not provide a safety benefit, or individual, however, will not be taken of a NOED must provide a written justification, or in circumstances where may, in fact, be detrimental to safety in if thelmproper action by the individual good cause is shown, oral justlAcetion the particular plant condition. was caused by management failures, followed as soon as possible by written The decision to exercise enforcement The following examples of situations i
! justification, which documents the discretion does not change the fact that illustrate this concept:
safety basis for the request and provides a violation will occur nor does it imply
- Inadvertentindlvidualmistakes
- whatever other information the NRC that enforcement discretion is belag resulting from inadequate training or i staff deems necessary in making a exercised for any violation that may guidance provided by the facility have led to the violation at issue. In licensee, i decision on whether or not to issue a each case where the NRC staff has
- Inadvertently missing an i NOED.
The appropriate Regional chosen to issue a NOED, enforcement insignificant procedural requirement l when the action is routine, fairly Administrator, or his or her designee, action will normally be taken for the 1 may issue a NOED where the root causes, to the extent violations uncomplicated, and there is no unusual noncompliance is temporary and were involved, that led to the circumstance indicating that the nonrecurring when an amendment is noncompliance for which enforcement procedures should be referred to and not practical. The Director, Office of discretion was used. The enforcement followed step by-step.
l Nuclear Reactor Regulation, or his or action is intended to emphasize that
- Compliance with an express
- her designee, may lasue a NOED if the licensees should not rely on the NRC's direction of management, such as the expected noncompliance will occur authority to exercise enforcement Shift Supervisor or Plant Manager,
- during the brief pariod of time it discretion as a routine substitute for resulted in a violation unless the requires the NRC staff to process an compliance or for requesting a license individual did not express his or her emergency or exigent license amendment. concern or objection to the direction.
amendment under the provisions of 10 Finally,it is expected that the NRC
- Individual error directly resulting l
CFR 50.91(a)(5) or (6).The person staff will exercise enforcement from following the technical advice of exercising enforcement discretion will discretion in this area infrequently, an expert unless the advice was clearly document the decision. Although a plant must shut down, unreasonable and the licensed For an operating plant, this exercise of refueling activities may be sus nded, ladividual should have recognised it as enforcement discretion is intended to or plant startup may be dela , absent such.
l
- minimize the potential safety the exercise of enforcement incretion.
- Violations resulting from consequences of unnecessary plant the NRC staff is under no obligation to inadequate procedures unlessthe i
transients with the accompanying take such a step merely because it has individual used a faulty procedure operational risks and impacts or to been requested. The decision to fomgo knowing it was faulty and had not enforcement is discretionary. When attempted to get the procedure l
j eliminate realignmenttesting,h whic is inappropriateenforcement forinspection, or system discretion la to be .
corrected.
! the particular plant conditions. For exercised, it is to be exercised only if Listed below are examples of 4 plants in a shutdown condition, the NRC staff is clearly satisfied that situations which could result in exercising enforcement discretion is such action is warranted from a health enforcement actions involving Intended to reduce shutdown risk by, and safety perspective. Individuals, licensed or unlicensed. If l the actions described in these examples or Vill. Enforcement Actionsinvolving 4
a8ain, system avoiding realignment testink.
w ich Inspection is are taken by a licensed operator or taken
! Individuals 4
inappropriate for the particular plant deliberately by an unlicensed
! conditions, in that, it does not provide Enforcement actions involving individual, enforcement action may be 1 a safety benefit or may,in fact, be individuals, including licensed taken directly against the individual.
detrimental to safety in the particular operators, are significant personnel However, violations involving willful plant condition. Exercising enforcement actions, which will be closely controlled conduct not amounting to deliberate discretion for plants attempting to and judiciously applied. An action by an unlicensed individualin startup is less likely than exercising it enforcement action involving an these situations may result in for an operating plant, as simply individual will normally be taken only enforcement action against a licensee delaying startup does not usually leave when the NRC is satisfied that the that may impact an individual.The the plant in a condition in which it individual fully understomt, or should situations include, but are not limited could experience undesirable transients. have understos a.his or her to, violations that involve:
In such cases, the Commission would responsibility; knew, or should have
- Willfully causing a licensee to be in expect that discretion would be known,the required actions; and violation of NRC requirements.
4 17 NUREG-1600
34396 F deral Registir / Vol. 60, No.126 / Fridly, June 30, 1995 / Notices ,
i licensee, th's NRC recognizes that until certain conditions are satisfied, i e Willfully taking action that would ,
J h:v caused a licensee to be in violation judgments will have to be made on a e.g., completing specified training or i
meetin8 certain qualificatibns. i cf NRC repements but the action did esse by case basis. In making these
- Require notification to the NRC l decisions, the NRC will consider factors not do so because it was detected and corrective action was taken. such as the following: dividual within before resuming work in licensed ;
e Recognizing a violation of 1.The level of the in activities.
- the organization.
- Require the person to tell a ;
procedural requirements and willfully prospective employer or customer [, i not taking corrective action. 2. The individual's training and experience as well as knowledge of the engaged in licensed activities that the 'c l e Willfully defeating alarms which -*
person has been subje'ct to an NRC l h:va safety significance. potential consequences of the e Unauthorized abandoning of reactor wrongdoing. order.
In the case of a licensed operator's f J
- 3. The srfety consequences of the controls.
e Dereliction of duty. misconduct.
failure to meet applicable fitness.for- 9) e Falsifying records required by NRC 4. The benefit to the wrongdoer, e.g., duty requirements (10 CFR 55.53(j)), the z NRC may issue a Notice of Violation or ,
regulations or by the facility license. personal or corporate gain. a civil penalty to the Part 55 licensee, j
- e. Willfully providing, or causing a 5. The degree of supervision of the or an order to suspend, modify, or
- l lic;nsee to provide, an NRC inspector or individual, i.e., how closely is the e invutigator with inaccurate or individual monitored or audited, and revoke the Part 55 license. These actions J 1
may be taken the first time a licensed <
incomplete information on a matter the likelihood Sietection (such as a .;
matIrial to the NRC. radiographer wor) ing independently in operator fails a drug or alcohol test, that is, receives a confirmed positive test e Willfully withholding safety the field as contrasted with a team significant information rather than that exceeds the cutoff levels of to CFR f activityat a power plant). Part 26 or the facility licensee's cutoff f making such information known to 6. The employer s response, e.g., levels, if lower, flowever, normally only y appropriate supervisory or technical disciplinary action teken.
- 7. The attitude of the wrongdoer, e.g., a Notice of Violation will be issued for pessonnel in the licensee's organization. the first confirrned positive test in the t e Submitting false information and as admission of wrongdoing, acceptance of absence of aggravating circumstances a re: ult gaining unescorted access to a responsibility. - such as errors in the performance of
\
f nuclear power plant. 8. The degree of man ement licens&d duties or evidence of prolonged It e Willfully providing false data to a use:In addition, the NRC intends to lic:nsee by a contractor or other person responsibility
- 9. Who identified or culpab itfs.
the m conduct. issue an order to suspend the Part 55 who provides test or other services, Any proposed enforcement action license for up to 3 years the second time whtn the data affects the licensee's involving individuals must be issued a licensed operator exceeds those cutoff l compliance with to CFR part 50, with the concurrence of the appropriate levels. In the event there are less than appendix B,or other regulatory Deputy Executive Director,The 3 years emaining in the term of the mquirement particular sanction to be used should be individual s license, the NRC may e Willfully providing false determined on a case-by-case basis.,e consider not renewing the individual's c:rtification that components meet the Notices of Violation and Orders are license or not issuin a new license after ;
4 requirements of their intended use, such examples of enforcement actions that the three year perio is completed.The 4
as ASME Code. may be a propriate against individuals. NRC Intends to issue an order to revoke
.
- Willfully supplying,by vendors of The admfnistrative action of a Letter of 55 license the third time a equipment for transportation of the Part also be considered.in licensed operator exceeds those cutoff radioactne material, casks that do not Reprimand addition, the mhRC may issue Demands levels. A licensed operator or applicant compt with their certificates of for Information to gather information to who refuses to participate in the drug com ance. enable it to determine whether an order and alcohol testmgy. 4 ms e illfully performing unauthorized or other enforcement action should be bypassin8 of required reactor or other established by the tacility licensee or Issued, who is involved in th a sale, use, or ficility safety systems. Orders to NRC-licensed reactor i e Willfully taking actions that violate possession of an illegia drug is also Tecimical S 3ecification Limiting perators ma involve suspension for a subject to license suspension, D Conditions for Operation or other 8Pecified pe od, modification, or revocation,'or denial. @
rey cation of theirindividuallicenses. In addition,the NRC may take
- license conditions (enforcement action Orders to unlicensed individuals might enforcement action against a licensee W for a willful violation will not be taken if tha't violation is the result of action include provisions that would: that may impact an individual, where M e Prohibit involvement in NRC the conduct of the individual places in takzn following the NRC's decision to '
forego enforcement of the Technical licensed activities for a specifled period question the NRC's reasonable of time (normall the period of assurance that licensed ' activities will be
- J l
Sprcification or other license condition Su8 Pension-wou d not exceed 5 years) or properly conducted. The NRC may take or if the operator meets the
' en emed adon b masons M re utrements of 10 CFR 50.54 (x),(i.e.,
m Except for individuals subject to civil penalites would warrant refusal to ifsue a license Lq un ess the operator acted unreasonably under section 206 of the En Reorganization Act considering all the relevant ot ton, u amended. NRC wt i not normally impose on an original application. Accordingly.
i circumstances surrounding the against en individual. However, appropriate enforcement actions may be %[
' a civil 234 action penaltf o the Atomic Energy Act (AEA) gives taken regarding matters that raise issues cmergency.)
Normally, some enforcement action is [l $ **p ",*"$,'j' '*/gd" )bn j ',,f the AEA to included duty, individuals.
or other matters aPenaju that may not of integrity, ,
[1 co taken against a licensee for violations Section its o M caused by significant acts of wrongdoing variety of orsaniations. and any repruentatives or necessarily be a violation of specific #
by its employees, contractors, or asents. This gives the Commission authority to Commission requirements.
c1v p lee n l ennu or In the case of an unlicensed person, ;
contractors' employees. In deciding ,, , ,, ,Qyen ojt whether a firm or an individual, an .%
whether to issue an enforcement action requi,emeni directly impo.ed on them is to an unlicensed person as well as to the committed. order modifying the facility license may ]
NUREG-1600 18
l l
Feder:1 Regist:r / Vol. 60, No.126 / Friday, Juns 30, 1995 / Notic;s 34397 l be issued to require (1) The removal of action may be taken for en failure to provide significant the persen trom all licensed activities unintentionally incomplete or information. In any event, in serious for a specified period of time or inaccurate oral statement provided to- cases where the licensee's actions in not indefinitely. (2) prior notice to the NRC the NRC by a licensee official or others ccrrecting or providing information before utilizing the person in licensed on behalf of a licensee,if a record was raise questions about its commitment to activities, or (3) the licensee to provide made of the oralinformation and safety or its fundamental i notice of the issuance of such an order provided to the licensee thereby trustworthiness, the Commission may I to other persons involved in !! censed permitting an opportunity to correct the exercir,e its authority to issue orders activilles making reference inquiries. In oral information, such as if a transcript modifying, suspending, or revoking the addition, orders to employers might of the communication or meeting license. The Commission recognizes require retraining, additional oversight, summary containing the error was made that enforcement determinations must er independent verification of activities available to the licensee and was not be made on a case-by-case basis, taking performed by the person,if the person subsequently corrected in a timely into consideration the issues described is to be involved in licensed activities. manner, in this section.
Inac rate and Incomplete X. Enforcement Action Against Non-ina u$.te i comp $eb tion, the decision toissue a Notice of A violation of the regulations Violation for the initial inaccurate or The Commission's enforcement policy involving submittal of incomplete and/ incomplete information normally will is also applicable to non-licensees, or inaccurate information, whether or be dependent on the circumstances, including employees of licensees, to including the ease of detaction of the contractors and subcontractors, and to not considered a material false statement, can result in the full range of error, the timeliness of the correction, employees of contractors and enforcement sanctions.The labeling of a whether the NRC or the licensee subcontractors, who knowingly provide communication failure as a material identified the problem with the components, equipment, or other goods falso statement will be made on a case- communication, and whether the NRC or services that relate to a licensee's by-case basis and will be reserved for relied on the information prior to the activities subject to NRC regulation. The egregious slotations. Violations correction. Generally,if the matter was prohibitions and sanctions for any of involving inaccurate or incomplete promptly identified and corrected by these persons who engage in deliberate information or the failure to provide the licensee prior to reliance by the misconduct or submission of significant information identified by a NRC, or before the NRC raised a incomplete or inaccurate information licensee normally will be categorized question about the information, no are provided in the rule on deliberate based on the guidance herein, in Section enforcement action will be taken for the misconduct, e.g., to CFR 30.10 and 50.5.
IV, " Severity of Violations," and in initialinaccurate or incomplete Vendors of products or services Supplement Vll. Information. On the other hand,if the provided for use in nuclear activities are The Commission recognizes that oral misinformation is identifir 1 after the subject to certain requirements designed Information may in some situations be NRC relles on it, or after some. question to ensure that the products or services inherently less reliable than written is raised regarding the accuracy of the supplied that could affect safety are of submittals because of the absence of an information, then some enforcement high quality.Through procurement opportunity for reflection and action normally will be taken even ifit contracts with reactor licensees, vendors management review. However, the is in fact corrected. However,if the may be required to have quality Commission must be able to rely on oral initial submittal was accurate when assurance programs that meet applicable communications from licensee officials made but later turns out to be erroneous requirements including to CFR Part 50, concerning sl8nificant information. because of newly discovered Appendix D, and 10 CFR Part 71 Therefore, in determining whether to information or advance in technology, a Subpart H. Vendors supplying products take enforcement action for an oral citation normally would not be or services to reactor, materials, and 10 statement, consideration may be given CFR Part 71 licensees are subject to the appropriate if, when the new to factors such as (1) The degree of information became available or the requirements of to CFR Part 21 knowledge that the communicator advanceme'nt in technology was made, regarding reporting of defects in basic should have had, regarding the matter, the initial submittal was corrected, components, in view of his or her position, training, The failure to correct inaccurate or When inspections determine that and experience; (2) the opportunity and incomplete information which the violations of NRC requirements have time available prior to the licensee does not identify as significant occurred, or that vendors have failed to communication to assure the accuracy normally will not constitute a separate fulfill contractual commitments (e.g,10 or completeness of the information:(3) violation. However, the circumstances CFR Part 50, Appendix B) that could the degree of intent or negligence, if surrounding the failure to correct may adversely affect the quality of a safety any, involved; (4) the formality of the be considered relevant to the significant product or service, communication;(5) the reasonableness determination of enforcement action for enforcement actlan will be taken.
of NRC reliance on the information:(6) the initial inaccurate or incomplete Notices of Violation and civil penalties the importance of the information statement. For example, an will be used, as appropriate, for licensee which was wrong or not provided; and unintentionally inaccurate or failures to ensure that their vendors (7) the reasonableness of the incomplete submission may be treated have programs that meet applicable explanation for not providing complete as a more severe matter if the licensee requirements. Notices of Violation will and accurate information. later determines that the initial be issued for vendors that violate 10 Absent at least careless disregard, an submittal was in error and does not CFR Part 21. Civil penalties will be incomplete or inaccurate unsworn oral correct it or if there were clear imposed against individual directors or statement normally will not be sub}ect opportunities to identify the error. If responsible officers of a vendor to enforcement action unless it involves information not corrected was organization who knowingly and significant information provided by a recognized by a licensee as significant, consciously fall to provide the notice licensee official. However, enforcement a separate citation may be made for the required by to CFR 21.21(b)(1) Notices g i
l 19- NUREG-1600 f r
4 34398 Federd Register / Vol. 60, No.126 / Frid:y, June 30, 1995 / Notic:s __
cf Nonconfonnance will be used for able to perform its intended safety 3. Insttentiveness to duty on the part v:ndors which fall to meet function 52 when actually called upon to oflicensed personnel; commitments related to NRC activities. work; 4. Changes in reactor parameters that <
- 3. An accidental criticallt or cause unanticipated reductions in i XI. Referrals to the Department of 4. A licensed operator at ge controls margins of safety; i
y,,,g,, : of a nuclear reactor, or a senior operator 5. A significant failure to meet the Alleged or suspected criminal directing licensed activities, involved in requirements of to CFR 50.59, including
- violations of the Atomic Energy Act procedural errors which rescit in, or a failure such that a required license I
(and of other relevant Federal laws) are expcerbate the consequences and who, as of, en 6. Aalert amendment failure to conwas not sought; duct 1
l
- referred to the Department of Justice or higher level emergency licensee l
(DOJ) for invest gation, Referral to the a result of subsequent testing, recol es adequate oversight of vendors resulting
- DOJ does not preclude the NRC from a confirmed positive test result for drugs in the use of products or services that '
or alcohol, I j-taking other enforcement action under are of defective or indeterminate quality this policy. However, enforcement B. Severity Level H-Violations significance -
- actions wlli be coordinated with the involving for example: and 7. A that have safetfn the control'of breakdown f
- DOJin accordance with the .1 A sustom daigned to prevent or licensed activities involvi ;
- Memorandum of Understanding mitigase serious safety events not being able to perform its intended safety of violations that are' or,ifrelate 7 (a num between the NRC and the DOJ,53 FR isolated, that are recurring violations) 50317 (December 14,1986), function; that collectively represent a potentially
- 2. A licensed operatorinvolved in the significant lack of attention or
! XII. Public Disclosure of Enforcement g.ee, sale, or possession of illegal drugs Actions carelmanas toward Mcensed or the consumption of alcoholic <
r*sPonsibilities; or 1 4 Enforcement actions and limnsees beverages, within the protected area; or a. A licensed opeutor's confirmed )
I responses,in accordance with to CFR 3. Alicensed operator at the control of a nuclear reactor, or a senior operator Positive test for drugs or alcohol that j j 2.790, are publicly available for
- Inspection. In addition, press relaaaan directing licensed activities, involved in does not result in a Severity LevelI or i H violation.
tre generally issued for orders and civil procedural errors and who, as a result 9. Equipment failures caused by pena'tles and are issued at the same of.subsequot testing, rocsives a confirmed positive test result.for drugs inadequate or improper maintenance time Le order or reposed imposition that substantially complicates recovery cf the civil penal is issued. In or alcohol.
i C. Severity LevelIII-Violations from a plant transient.
- addition, press re ases are usually D. Severity LevelIW-Violations issued when a proposed civil penalty is involving for example
I withdrawn or substantially mitigated by 1. A signiacant failure to comply with involving for example:
the Action Statement for a Technical 1. A less significant failure to comply some amount. Press releases are not with the Action Statement for a i normally issued for Notices of Violation Specificatien Limiting Condition for 1 that are not accompanied by orders or Operation where the appropriate action Technical Specification Limiting was not taken within the required time, Condition for Operation where the i proposed civil penalties. appropriate action was not taken within such as:
4 XIll. Reopening Closed Enforcement (a) In a pressurir.ed water reactor, in the required time, such as:
- Actions the applicable modes, having one high- (a)In a pressurized water reactor, a If significant new information is pressure safety injection pump 5% deficiency in the required volume of received or obtained by NRC which Inoperable for a period in excess of that the condensate storage tank; or indicates that an enforcement sanction allowed by the action statement; or . (b)In a boiling water reactor, one was incorrectly applied, consideration (b.)In a boiling water risector, one subsystem of the two independent MSIV
' may be given, dependent on the primary containment isolation valve leakage control subsystems inoperable; circumstances, to reopening a closed in0 Parable for a period in excess of that 2. A failure to meet the requirements snforcement action to increau or allowed by the action statement. of to CFR 50.59 that'does not result in decrease the severity o! a Sant.tlon or to 2. A system designed to prevent or a Severity Level I, II, or DI violation;
- 3. A failure to meet regulatory
- correct the record. Roopenir.g Jecisions mitigate a serious safety event
. will be made on a case-by-caw basis, are (a) Not being able to perform its requirements that have more than minor
! cxpected to occur rarely, anc. require the intended function under certain safety or environmental significana; or conditions (e.g., safety system not 4. A failure to make a required specific approval of the appropcste Operable unless offsite power is Licensee Event Report.
Deputy Executive Director.
- available; materials or components not j Supplement I-Reactor Operations environmentally quellfled); or Supplement II-Part 50 Facility (b) Being degraded to the extent that Construction
. This supplement provides examples 4 of violations in each of the four severity a detailed evaluation would be required This supplement provides examples
, Izvels as guidance in determining the to determine its operability (e.g., of violationsin each of the four severity appropriate severity level for violations component parameters outside the approved limits such as pump flow levels appropriate as guidance severity level in determinin$ations for vio in the area of reactor operations.
A. Severity Level 1-Violations rates,heatexchan ertransfer in the area of Part 50 facility involving for example: characteristics, se ety valve lift construction
- 1. A Safety Limit, as defined in to setpoints, or valve stroke times); A. Severity Levell-Violations CFR 50.36 and the Technical menesntal control systems. u well as physicet involving % @h6 structures meh@or systems that are Specifications 2 A system 88beingexceeded; de ned to prevent or 878Q , , _
mit gate a serious sa ty event not being safety function. and 8 not directed toward a noe. "The term " completed" u used in this 3
of redundancy. A lou of one subsystem does not supplement muns completion'of construction i
H The term " system" u used in these defeat the tatsnded ufety function as long na the including review and acceptance by the supplements, includes administrative and other subsystem is operable. construction QA orgentution.
4 i
NUREG-1600 20 I
Feder:1 Register / Vol. 60, No.126 / Fridiy, June 30, 1995 / Notic:s 34399 would not have satisfied their intended able to p.erform its intended safety considered to be significant while the safety related purpose. function when actually called upon to information is outside the protected area D. Severity LevelIl-Violations work; or and accessible to those not authorized involving for example: (c) An accidental criticality occurred; access to the protected area:
- 1. A breakdown in the Quality 2. The theft, loss, or diversion of a 6. A significant failure to respond to 1
Assurance (QA) program as exemplified formula quantity 84 of special nuclear an event either in sufficient time to by deficiencies in construction QA material (SNM); or provide protection to vital equipment or related to more than one work activity 3., Actual unauthorized production of strategic SNM, or with an adequate
(:.g., structural, piping, electrical, a formula quantity of SNM. response force; foundations). These deficiencies B. Severity Level 11-Violations 7. A failure to perform an appropriate n:rmally involve the licensee's failure involving for example: evaluation or background investigation to conduct adequate audits or to take 1. The entry of an unauthorized so that information relevant to the prompt corrective action on the basis of individuali5 who represents a threat access determination was not obtained such audits and normally involve into a vital area m from outside the or considered and as a result a person, multiple examples of deficient protected area; who would likely not have been granted construction or construction of 2.The theft. loss or diversion of SNM access by the licensee,if the required unknown quality due to inadequate of moderate strategic significance 67 in investigation or evaluation had been program irnplementation; or which the security system did not performed, was granted access; or
- 2. A structure or system that is function as required; or 8. A breakdown in the security completed in such a manner that it 3. Actual unauthorized production of program involving a number of could have an adverse effect on the SNM. violations that are related (or, if isolated.
safety of operations. C. Severity Level!!!-Violdtions that are recurring violations) that C. Severity LevelIII-Violations involving for example: collectively reflect a potentially involving for example: 1. A fallure or inability to control significarit lack of attention or
- 1. A deficiency in a licensee QA access through established systems or carelessness toward licensed program for construction related to a procedures, such that an unauthorized responsibilities.
single work activity (e.g., structural, fr.dividual (i.e., not authorized D. Severity LevelIV-Violations piping, electrical or foundations). This unescorted access to protected area) involving for example:
significant deficiency normally involves could easily gain undetected access 88
- 1. A failure or inability to control ths licensee's failure to conduct into a vital area from outside the access such that an unauthorized cdequate audits or to take orompt protected area; individual (i.e., authorized to protected c:rrective action on the basis of such 2. A failure to conduct any search at area but not to vital area) could easily cudits, and normally involves multiple the access control point or conducting gain undetected access into a vital area examples of deficient construction or an inadequate search that resulted in the from inside the protected area or into a construction of unknown quality due to introduction to the protected area of controlled access area; 4
inadequate program implementation; firearms, explosives, or incendiary 2. A failure to respond to a suspected
- 2. A failure to confirm the design devices and reasonable facsimiles event in either a timely manner or with safety requirenients of a structure or thereof that could significantly assist an adequate response force; system as a result of inadequate radiological sabotage or theft of sitategic 3. A failure to implement to CFR prooperational test program SNM; Parts 25 and 95 with respect to the implementation; or 3. A failure, degradation, or other information addressed under Section
- 3. A failure to make a required to CFR deficienc'y of the protected area 142 of the Act. and the NRC approved 50.55(e) report. Intrusion detection or alarm assessment security plan relevant to those parts:
D. Severity LevelIV-Violations systems such that an unauthorized 4. A failure to make, maintain,or involving failure to moet regulatory individual who represents a threat provide log entries in accordance with requirements including one or more could predictably circumvent the 10 CFR 73.71 (c) and (d), where the Quality Assurance Criterion not system or defeat 'a specific zone with a omitted information (i) is not otherwise amounting to Severity Le vol .1, !!, or Ill high degree of confidence without available in easily retrievable records, virlations that have more than minor insider knowled88, or other significant and (11) significantly contributes to the safety or environmental significance, degradation of overall system capability; ability of either the NRC or the licensee
- 4. A si nificant failure of the to identif a programmatic breakdown;.
Supplement III-Safeguards safeguarks systems designed or used to 5. A faifure to conduct a proper search This supplement provides examples preve st or detect the theft, loss, or at tha access control point; of violations in each of the four severity diversion of strategic SNM; 6. A failure to properly secure or 1:vels as guidance in determindg the 5..A failure to protect or control protect classified or safeguards appropriate severity level for violations classified or safeguards information information inside the protected area in the area of safeguards, which could assist an individual in an A. Severity LevelI-Violations a see to cra 73.2 for the definitton of-formula act of radiological sabotage or theft of i involving for example: quanuiy." strategic SNM where the information
- 1. An act of radiological sabotage in u The term unauthortudindividual es and was not removed from the protected in this supplement means someone who was not which the security system did not function as required and, as a result of '"'Yo'i$*d noi i, ' Id iNnYe#'riniYrAa'n7erent N."'to' area-
- 7. A failure control access such that tho failure, there was a significant event, a ia rh. phron viint area as used in this an opportunity exists that could allow such as: supplement includes vital areas and material access unauthorized and undetected access (c) A Safety Limit, as defined in to 8'*- into the protected area but which was on t s CFR 50.36 and the Technical ,'[S"gy7Q$*,d*n
, , ,,, e, neither easily or likely to be exploitable:
,a in deesanini 8. A failure to conduct an adeguate Sp(ecifications, was exceeded; b) A system designed to prevent or esined. factors as suc$ whether ecceu predictabuity. can besearch identifiabuity, eaanyat the exit from a material access mitigate a serious safety event was not and een of passage should be considered. area; 21 NUREG-1600
_ . ~ _ _ __ _ _ _ _ - _ . . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
i.
i 4
- 34400 Federal Register / Vcl. 60, No.126 / Friday, June 30, 1995 / Notices l 9. A theft orloss of SNM oflow ' skin of the whole body, or to the feet, applicable limits in to CFR Part 20 1 strategic significance that was not ankles, hands or forearms,or to any Sections 20.1001-20.2401 whether or
- detected within the time period other organ or tissue
- -
not an exposure or release occurs; i specified in the security plan, other 4. An annual exposure of a member of 9. Disposal of licensed material not relevant document, or regulation; or the public in excess of 0.5 rem total covered in Severity Levels I orII:
- 10. Other violations that han more effective dose equivalent: 10. A release for unrestricted use of
- than minor safeguards signlAcance. 5. A release of radioactive material to contaminated or radioactive material or su matricted ares at concentrations in equipment that poses a realistic i Supplanent IV.-Health Physics (to excess of.10 times the limits for potential for exposure of the public to UR Put 20) members of the public as described in levels or doses exceeding the annual j This supplement provides examples to GR 20.1302(b)(2XI)(except when dose limits for members of the public.
- cf violations in each of the four senrity operation up to 0.5 rem a year has been or that reflects a programmatic (rather
, levels as guidance in determining the appmved by the Commission under than an isolated) weakness in the
- j. appropriate severity level for violations Section 20.1301(c)); radiation control program; j in the area of health physics,10 GR 6. Disposal oflicensed materialin .11.r% duct of licensee activities by a -_
Part 20." quantitles or concentrations in excess of technically unquallfled person; '
A. Severity IAvelI = Violations five times the limits of 10 GR 20.2003; 12. A signir. cant failure to control j involving for nample: or licensed material; or
- 1. A radiation exposure during any 7. A failure to make an immediate 13. A breakdown in the radiation year of a workerin excess of 25 roms notlacation as required by 10 GR safety program involving a number of
- total effective dose equivalent,75 rems 20.2202 (a)(1) or (a)(2), violations that are related (or, ifisolated, !
a to the lens of the eye, or 250 rods to the C. Severity LowllII-Violations that are recurring) that collectively 9 i
skin of the whole body, or to the foot, involving for example: represent a potentially signincant lack '
ankin, hands or foisanns, or to any 1. A radiation exposure durhg any of attention or carelessnas toward i
other organ or tinue; year of a worker in excess of 5 rems total licensed responsibilities. t.
- 2. A radiation exposure over the effective dose equivalent, is rems to the D. Sevaity 14velIV-Violations i gestation period of the embryo / fetus of lens of the eye, or 50 rems to the skin involving for example:
l a declared pregnant woman in excess of of the whole body or to the feet, ankles, 1. Exposures in excess of the litnits of j i 2.5 roms totaleffective dose utvalent; hands or forearms, or to any other organ to GR 20.1201,20.1207, or 20.1206 not
' or tissue; constituting Severity Level I, II, or HI
- 3. A radiation exposure du any violations; I
year of a minorin excess of 2.5 rems 2. A radiation exposum over the total effective dose equivalent,7.5 rems gatation period of the embryo / fetus of 2. A release of radioactive material to i to the lens of the eye, or 25 roms to the a declared p ant woman in - of an unrestricted area at concentrations in i 0.5 rem total e ve does equivalent excess of the limits for members of the skin of the whole body, or to the feet, public as referenced in 10 CFR j enkles, hands or forearms, or to any (eXCePt when doses are in accordance
- 20.1302(b)(2)(1) (except when operation other organ or tissue; with the p)rovisions ofSection up to 0.5 som a year has been approved 5 4. An annual exposure of a member of 20.1208(d );
- 3. A radiation exposurd during any by the Commission under Section
$ th3 public in excess of 1.0 rom total I affecdve dow utvalent, year of a minor in excess of 0.5 rem total 20.1301(c));
- 5. A release radioactive materialto effective dose equivalent; 1.5 rems to 3. A radiation dose rate in an
" cn unrestricted ares at concentrations in the lens of the eye, or 5 roms to the skin unrestricted or controlled area in excess
' of the whole body, or to the feet, ankles, of 0.002 rem in any 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> (3 millirem /
excess of 50 times the limits for l
hands or forearms, or to any other organ hour) or 50 millirems in a year; or tissue; 4. Failure to maintain and implement
- i. members 10 CFR 20.1302 of)(2)(1);
thebublic or as described 4. A waker inexposum above radiation pro 8 rams to keep radiation *
! 6. Di'sposal oflicensed materialin exposures as low as is reasonably
! quantities or concentrations in excess of yects latwy limits when such exposure
" a pro 6rammatic (rather than anacalevable; i to times the limits of10 CFR 20.2003. 5. Doses to a member of the publicin iso' lated) weekness in the radiation B. Severity LevelII-Violations control program; excess of any EPA generally a plicable i
involving for expos example,'ure during any 5. An annual exposure of a member of environmental radiation stan ards, such g
- 1. A radiation the public in excess of 0.1 rem total as 40 CFR Part 190; :
f k ri (
I effective dose ~ valen ,3 rems effective dose equivalent (except when 6. A failure to make the 30-day g;
' Peration up to 0.5 rem a year has been notification required by to CFR ne heI fth 8PProved by the Commission under skin of 20.2201(a)(1)(ii) or 20.2203(j; written enkles, hands or Iforearm' or o hs,Section whole1 t 7, A failure to make a time y -
i or to 20.1301(c)).
any '
t 3
other organ or tissue;
- 8. A release of radioactive ir.aterial to report as required by 10 CFR 20.2201(b),
an unrestricted area at concentrations in 20.2204, or 20.2206; or k
yit
- 2. A radiation exposure over the gestation riod of the embryo / fetus of excess of two times the effluent 8. Any other matter that has more than a minor safety, health, or fQ concentration limits mferenced in to t
, a d' P on (Ma gt wo an in x of CFR 20.1302(b)(2)(i)(except when environmental significance, j SuPPl ement V-Transportation Qy Pera P '
l 3. A radiation exposure d ring any ppm y tl e issb'n u j year of a minor in excess of1 rem total Section 20.1301(c)).*
This supplement provides examples .
of violations in each of the four severity 3g
- cffective dose equivalent; 3.0 roms to 7. A failure to meke a 24-hour '
the lens of the eye, or to rems to the notification required by 10 CFR levels as guidance in determinin the l M;
Personnel overuposures and associated ae cabn WTN MN N N d dW violettone incurred during a life-eeving or other required by 10 CFR 20.2201(a)(1)(i); ' Rf i
t emerse r**pona effort wiu be trut.d on a cue. 8. A substantial potential fcr '?
l by.casegans. exposures or releases in excess of the 4 '
! NUREG-1600 22 <
- we * - , _ . w.c .. _ ,
j
.+ , _ _ _ _
1 l
Federal Register / Vol. 60, No.126 / Fridiy, June 30, 1995 / Noticss 34401 in the area of NRC transportation collectively reflect a potentially C. Severity 1.evel III-Violations requirements M. significant lack of attention or 'nvolving.for example:
A. Severity Level 1-Violations carelessness toward licensed 1. A failure to control access to involving for example: responsibilities. licensed materials for radiation
- 1. Failure to meet transportation D. Severity LevelIV-Violations purposes as specified by NRC l requirements that resulted in loss of involving for examnle:
control of radioactive material with a 1. A breach of pa'ckage integrity rehulrements:. Possession or use of una breach in package integrity such that the without external radiation levels equlpment or materials in the conduct material caused a radiation exposure to exceeding the NRC limit or without of licensee activities which degrades a member of the public and there was contaction levels exceeding five safety; clear potential for the pub!!c to receive times b NRC limits; 3. Use of radioactive material on m:re than .1 rem to the whole body: 2. Surface contamination in excess of humans where such use is not
- 2. Surface contamination in excess of but not more than five times t' . NRC authorized:
- 4. Conduct of licensed activities by a 50 times the NRC limit; or limit:
- 3. A failure to register as an technically unqualified person:
- 3. Extemal radiation levels in excess 5. Radiation levels, contamination cf to times the NRC limit, authorized user of an NRC-Certilled levels, or releases that exceed the limits B. Soverity LevelIl-Violations Transport package; involving for example: 4. A nont.ompliance with shipping specified in the license; labeling, placarding.
- 6. Substantbl failure to implement
- 1. Failure to meet transportation rnquirements that resulted in loss of papers, packaging or loamarking, ding not amountingthe to management program as quality a Severity Level I,II, or Ill violation: required by Section 35.32 that does not ~
control of radioactive mater al with a result in a misadministration; failure to breach in package integrity such that 5. A failure to demonstrate that there was a clear potential for the packages for special form radioactive report a misadministration; or material meets applicable regulatory Programmatic weakness in the m:mber of the public to receive more than .1 rem to the whole body- requirements: implementation of the quality
- 6. A failure to demonstrate that management program that results in a
- 2. Surface contamination in excess of 10, but not more than 50 times the NRC packages meet DOT Specifications for misadministration.
7A Type A packages; or . 7. A breakdown in the control of limit: '
licensed activities involving a number
- 3. Extemal radiation levels In excess 7.Other viols.tions that have more than minor safety or environmental of violations that are related (re,if cf five, but not more than to times the significance. isolated, that are recurring violetions)
NRC limit; or that collectively represent a pdentially
- 4. A failure to make required initia] SuPPl ement VI-Fuel Cycle and notifications associated with Severity significant lack of attention 'sr Materials Operations carelessness toward licensed LevelI or II violations. responsibilities; C. Severity Levelill-Violations This supplement provides examples of violations in each of the four severity 8. A failure, during radiographic involving for example: operations, to have present or to use
- - 1. Surface contamination in excess of levels as guidance in determining the five but not more than 10 times the NRC appropriate severity level for violations radiographic equipment, radiation in the area of fuel cycle and materials survey instruments, and/or personnel limit
- monitoring devices as requircd by 10
- 2. External radiation th excess of one operations.
- but not more than five times the NRC A. Severity LevelI-Violations CFR Part 34:
involving for example: 9. A failure to submit a . NRC Form limit: le Radfation levels, contamination 241 in accordance with fne
- 3. Any noncompliance with labeling, levels. or releases that exceed to times requirements in Section: 150.20 of to placarding, shipping paper, packaging, loading, or other requirements that the limits specified in the license: CFR Part 150:
- 2. A system designed to prevent or l't. A failure to recelo e required NRC could reasonably result in the following:
(a) A significant failure toidentif mitigate a serious safety event not being approval prior to the implementation of
- type, quantity, or form of material: y the operable when actuallyarequired change in licensed to activities that has (b) A failure of the carrier or recipiant perform its design function: radiological or programmatic
- 3. A nuclear criticality accident: or significance, such as, a change in
- to exercise adequate controls
- or (c) A substantial potential for either 4. A failure to follow the procedures ownership; lack of an RSO or of the quality management program, replacement of an RSO with an personnel exposure or contamination i
above regulatory limits or improper required by Section 35.32, that results in unqualified individual; a change in the transfer of material; a death or serious injury (e.g., location where licensed activities are
- 4. A failure to'make required initial substantial organ impairment) to a being conducted, or where licensed notification associated with Severity patient. material is being stored where the new levelill violations;or B. Severity Levelll-Violations facilities do not meet safety guidelines:
- 5. A breakdown in the licensee's Involving for example: or a change in the quantity or type of program for the transportation of 1. Radiation levels, contamination radioactive material being, processed or licens-> material involving a numberi f levels, or releases that exceed five times used that has radiological significance; violato that are related (or,if isolated, the limits specified in the license; or that are recurring violations) that 2. A system designed to prevent or 11. A significant failure to meet -
mitigate a serious safety event being decommissioning requirements asome transportation requiremente are appited inoperable; or including a failure to notify the NRC as to more than one licensee involved in the um 3. A substantial programmatic failure required by regulation or license
" * ' ' in the implementation of the quality condition, substantial failure to meet Io'Iatl n of such eI)Tre'r"In$$ eNe' ment action will be direct asainst the responsible managemet CFR 35.32 pmgram that results mquired in a by 10 decommissioning standards, failure to conduct and/or complete Ikonne which.under the circumstances of the case. may be one or more of the licenna involved misadministration. decommissioning activities in U NUREG-1600
i i
! 34402 Federal Register / Vol. 60, No.126 / Friday, June 30, 1995 / Noticos j accordance with regulation or license or the common defense and security EAP's staff is aware that an individual's i $ondition, or failure to meet required ("signi6 cant information identJfled by a condition may adversely' affect safety schulules without adequate licensee") and is deliberately withheld related activities: or justification. from the Commission: 9. The failure of licenses management 4
D. Severity LevelIV-Violations 4. Action by senior corporate to take effective action in correcting a j inv:1ving for example: managementin violation of to CFR 50.7 hostile work environment.
1' 1. A failure to maintain patients or similar regulations against an C. Severi'y tavel BI-Violations _
hospitalized who have cobalt-60, employee: Involving for example:
- , ccsium 137, or iridium 192 implants or 5. A knowing and intentional failure 1,lacossplete orlnaccurate
! to conduct required leskage or to provide the notice required by to information that is provided to the NRC j contamination tests, or to use properly CFR Part 21:or (a) because ofinade i cellbrated equipment: 6. A failure to substantially part of Haa-omequate tals but.not actions on the i 2.Other violations that have more implement the required Atness-for duty amounting to a Severity 14vell or H j thtn minor safety or environmental program.n violation, or (b) if the information, had significance; or B. Severhy 14 vel 11-Violations it been complete and accurate at the i 3. Failure to follow the quality involving for example: time provided,likely would have -
2 man:gement program, including 1. Inaccurate or incomplete resulted in a reconsideration of a
- procedures, whether or not a information that is provided to the NRC regulatory position or substantial further j misadministration occurs, provided the (a) by a licensee official because of inquiry such as an additional inspection i f
- llures are isolated, do not demonstrate careless disregard for the completeness or a formal request forinformation: ?
i a programmatic weakness in the or acx:uracy of the inforrnation, or (b) if 2. Incomplete or inaccurets i
- implimentation of the QM program, and the information, had it been complete information that the NRC requires be 1 hava limited consequences if a and accurate at the time provided, likely kept by a licensee that is (a) incomplete misadministration is involved: failure to would have resulted in regulatory action or inaccurate because ofinadequea 3 i conduct the required program review; or such as a show rause order or a different actions on the part of licenses officials ;
i fillure to take corrective actions as regulatory position: but not amounting to a Severity level I i j required by Section 35.32: or 2. Incomplete orinaccurate or H violation, or (b) If the information.
- 4. A failure to keep the records information that the NRC requires be had it been complete and accurate when required by Sections 35.32 or 35.33. kept by a licensee which is (a) reviewed by the NRC, likely would have S emenm isceHaneous incomplete or inaccurate because of resulted in a reconsideration of a
, ' '" careless disregard for the accuracy of the regulatory po'sition or substantial further information on the part of a licensee inquiry such as an additional inspection This supplement provides examples official, or (b) if the information, had it or a formal request for information; i
of violations in each of the four severity been complete and accurate when 3.A failure to provide "signl6 cant
!svels as guidance in' determining the reviewed by the NRC, likely would have information identified by a licensec" to appropriate severity level for violations resulted in retulatory action such as a the Commission and not amounting to i involving miscellaneous matters. show cause o'rder or a different a SeveritylevelI orII violation:
- A. Severity level 1-Violations regulatory position
- 4. An action by first-line supervision i involving for example: 3. "Significant information identified in violation of to CFR 50.7 or similar 1 Inaccurate orincomplete by a licensee" and not provided to the regulations against an employee:
4 Informationa that is provided to the Commission because of careless 5. An inadequate review or fatiure to 1 NRC (a) deliberately with the knowledge disregard on the part of a licensee review such that,if an appropriate j of a licensee official that the information oft;cial: review had been made as required, a to is incomplete or inaccurate, or (b) if the 4. An action by plant management CFR Part 21 report would have been j information, had it been complete and above first line supervision in violation made:
eccurste at the time provided,likely of to CFR 50.7 or similar regulations 6. A failure to complete a suitable i would have resulted in regulatory action against an employee; inquiry ori the basis of to CFR Part 26,
! such as an immediate order r9 quired by 5. A failure to provide the notice keep records concerning the denial of
, the public health and safety. required by 10 CFR Part 21: access, or respond to inquiries 4
- 2. Incomplete or inaccurate 6. A failure to remove an individual. concerning denials of access so that, as information that the NRC requires be from unescorted access who has been a result of the failure, a person i ktpt by a licensee that is (a) Incomplete involved in the sale, use, or possession Previously denied access for fitness-for-or intccurate because of falsification by ofillegal drugs within the protected area duty reasons was improperly granted
, or with the knowledge of a licensee or take action for on duty misuse of access:-
l offictsl, or (b) if the information, had it alcohol, prescription drugs, or over-the. 7 A failure to take the required action j been complete and accurate when courer drugs; for a person confirmed to have been e
reviswed by the NRC, likely would have 7. A failu*e to take reasonable action tested positive for lilegal drug use or
! resulted in regulatory action such as an when observed behavior within the take action for onsite alcohol use: not
/ ' mediate order required by public protected ama or credible information amounting to a Severity level 11
$ e Ith and safety considerations: concoming activities within the violation:
- 3. information that the licensee has protected ama indicates possible 8. A failure to assure, as required, that
, id:ntified as having significant unfitness for duty based on drug or contractors or vendors have an effective i implications for public health and safety alcohol use; fitness-for-duty program:
- 8. A deliberate failure of the licensee's 9. A breakdown in the fitness-for-duty
, 8'In applying the esemples in this supplement Employee Assistance Program (EAP) to Program involving a number of 1 regardins inaccurate or incomplete information and violations of the basic elements of the
- recorfe, reference should also be made to the notify licensee's management when guldince in Section IX, ainaccurate and Incomplete fitness-for-duty Pm8 ram that-Information." and to the dennition or-ticen oe >> The example for violations for niness.for duty collectively reflect a significant lack of ornetzt cont ined in section iv.c. relate to viotauons of to CFR Part 2s. attention or carelessness towards l.
NUREG-1600 24 i
'~
Feder:1 Register / Vol. 60, No.126 / Friday, June 30, 1995 / Notices 34403 I
in the area of emergency preparedness. standard involving assessment or meeting the objectives of to CFR 20.10; ,
or it should be noted that citations are not notification.
normally made for violations involvin8 C. Severity LevelIII-Violations tJ. Threats of discrimination or r:strictive agreements which are emergency preparedness, occurring involving for example:
during emergency exercises. However, 1,In an alert, licensee failure to violations under NRC regulations such where exercises reveal (i) training, promptly (1) correctly classify the event, as to CFR 50.7(0 D. Severity LevelIV-Violations procedural, or repetitive failures for (2) make required notifications to which corrective actions have not been responsible Federal, State, and local .
involving for example:
- 1. Incomplete or inaccurate taken, (11) an overall concern regarding agencies, or (3) respond to the event j information of more than minor the licensee's ability to implement its (e.g., assess actual or potential offsite significance that is provided to the NRC plan in a manner that adequately consequences, activate emergency but not amounting to a Severity LevelI, protects public health and safety, or (iii) response facilities, and augment shift II, or III violation; poor self critiques of the licensee's staff);
- 2. Information that the NRC requires exercises, enforcement action may be 2. A licensee failure to meet or be kept by a licensee and taud. appropriate. Implement more than one emergency incomplete or inaccurate and of more A. Severity levelI-Violations planning standard involving assessment than minor significance but not involving for example: or notification: or cm:unting to a Severity Level I,11, or 111 In a general emergency,IIcensee 3. A breakdown in the control of virlation; failure to promptly (1) correctly classify licensed activities involving a number the event (2) make required of violations that are related (or,if
- 3. An inadequate review or failure to notifications to responsible Federal isolated, that are recurring violations) review under 10 CFR Part 21 or other procederal violations associated with 10 State, and local agencies, or (3) respond that collectively represent a potentially CFR Part 21 with more than minor to the event (e.8., assess actual or s18 nificant lack of attention or safety significance; potential offsite consequences, activate carelessness toward licensed
- 4. Violations of the requirements of emergency response facilities, and responsiblifties. ;
Part 26 of more than minor significance; augment shift staff). D. Severity LevelIV-Violations
- 5. A failure to report acts of licensed B. Severity LevelII-Violations involving for example:
operators or supervisors pursuant to 10 involving for example: A licensee failure to meet or i
CFR 20.73; or 1. In a site emergency, licensee failure implement any emergency planning
- 6. Discrimination cases which,in to promptly (1) correctly classify the standard or requirement not directly th:mselves, do not warrant a Severity event, (2) make required notifications to related to assessment and notification L, vel III categorization. responsible Federal, State, and local Dated at Rockville, Ma'Y land, this 23rd day agencies, or (3) respond to the event f June 1995.
Supplement VIII-Emergency (e.g., assess actual or potential offsite For the Nuclear Regulatory Commission.
Preparedness consequences,activateemergency !t John C. Hoyle, This supplement provides examples response facilities, and augment shl Secretaryof the Commission.
of violations in each of the four severity staf0; or
- 2. A licensee failure to meet or it'R Doc. 95-15952 Ftled 6-.29-95: 8A5 am) livels as guidance in determining the appropriate severity level for violations implement one emergency planning sumo coes nem-e i
25 NUREG-1600
i l l
l 1. R TN M E i R ponu 335 U.S. NUCLE AH REGULATORY COMMi$$ TON E"2E BIBLIOGRAPHIC DATA SHEET is.J aa,strations on the rev.<sai N U R E G - 16 0 0
- 2. TITLE AND SUBTITLE
- 3. DATE REPORT PUBLISHED General Statement of Policy and Procedure for NRC Enforcement Actions uo,, , ,, ,nn (Enforcement Policy) , July l 1995
- 6. AUTHOR (S) 6. TYPE OF REPORT Regulatory Office of Enforcement i
- 8. P FOR NG G ANlZ ATtoN - NAM E AND ADDRESS tar Nnc, proview Okann. Orrece or noenon. U.S Nurkar neousetory conunoenian, and nwlong narras;n contracnor, prownst Office of Enforcement U.S. Nuclear Regulatory Commission Washicgton, D.C. 20555-0001
- 9. SPONSORING ORG ANItATION - NAME AND ADDR ESS (19 hMC. tver '3*me as abo **'*;is ontracror, c provide Nnc Division. Orske or nerkn. VL Nucou narutatory commisuon.
and me/IMe aNrras)
Same as 8 above.
- 10. SUPPLEMENTARY NOTES
- 11. ABSTR ACT (200 worws or mus This document includes the U.S. Nuclear Regulatory Commission's (NRC's or Commission's) revised General Statement of Policy and Procedure for Enforcement Actions (Enforcement Policy) as it was published in the Federal Register on June 30,1995 (60 FR 34381). This document also includes the notice announcing the removal of the Enforcement Policy from the Code of Federal Regulations (60 FR 34380; June 30,1995). The Enforcement Policy is a general statement of policy explaining the NRC's policies and procedures in initiating enforcement actions, and of the presiding officers and the Commission in reviewing these actions. This policy statement is applicable to enforcement in matters involving the radiological health and safety of the public, including employees' health and safety, the common defense and security, and the environment. This statement of general policy and procedure is published as NUREG-1600 to provide widespread dissemination of the Commission's Enforcement Policy. However, this is a policy statement and not a regulation. The Commission may deviate from this statement of policy and procedure as appropriate under the circumstances of a particular case.
- 12. K E Y WORDS/DE SCR:PiOR S ft,4e words orphreers that een audst rewarches M Joesting roe report. A 13. AVAtLABIUTY $i ATEMEN1 Unlimited NRC enforcement guidance is. secuna y ctasw.c41.oh NRC enforcement policy t ra,, ,,,,,
NRC enforcement program Unclassified NRC enforcement responsibilities 'ra a-'
Unclassified
- 16. NUMBER OF PAGES
- 16. PR ICE NKC Postu 335 (2 896
-+
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