ML20150D844

Forwards Response to 880203 Request for Info Re NRC Civil Penalty Authority Per S.1014, Federal Civil Penalties Inflation Adjustment Action of 1987

ML20150D844
Person / Time
Issue date:	03/04/1988
From:	Zech L NRC COMMISSION (OCM)
To:	Levin C SENATE, GOVERNMENTAL AFFAIRS
Shared Package
ML20150D848	List: ML20150D844
References
NUDOCS 8803250169
Download: ML20150D844 (19)

Text

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hD UNITED STATES

.g gt ,03, NUCLEAR REGULATORY COMMISSION y .c g WASHINGTON, D. C. 20555 E

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• J March 4, 1988 CHAIRMAN The Honorable Carl Levin, Chairman Subcommittee on Oversight of Government Management Committee on Governmental Affairs United States Senate Washington, DC 20510-6250

Dear Mr. Chairman:

This is in reference to your letter of February 3, 1988, in which you requested responses to questions concerning the Commission's civil penalty authority. Your ques-tions were related to S.1014, "Federal Civil Penalties Inflation Adjustment Action of 1987." Our responses to your questions are enclosed.

In our view, while there may be some benefit to periodic increases in amounts of civil penalties to reflect in-flation, it is not clear that an annual increase would be an efficient way to improve the deterrent value of NRC civil penalties. This is discussed further in our response to question 3. If you have any questions on this matter, we will be pleased to arrange for a briefing by our staff.

Sincerely,

} h us . s.

Lando W. Z h, .

Enclosure:

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As Stated I

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S-Q

O OUESTION 1: Does your agency have a current list of civil monetary penalties within its jurisdiction? If easily obtained, please provide this list and indicate for each penalty:

a. type of violation for which the penalty is imposed;

b. dollar amount or range of the penalty; and

c. year in which the penalty was first established or last increased.

ANSWER:

The Comission received its civil penalty authority in 1969 (Section 234 of the Atomic Energy Act of 1954, as amended, Public Law 91-161) (42 USC 2282). This authority was amended in 1980 (Public Law 96-295) to increase the amount of civil penalties up to $100,000 per violation per day. Previously, the maximum civil penalty was $5,000 per violation per day with a cap of $25,000 for all violations within a 30 day period.

The enclosed Appendix C to Part 2, Title 10 of the Code of Federal Regulations, entitled "Policy and Procedure for Enforcement Actions: Policy Statement," describes the NRC Enforcement Policy and sets the conditions under which civil monetary penalties may be imposed. Specifically, the Policy Statement addresses notices of 1

violation, the different types of orders that may be issued, how to determine the severity level of each violation, and civil penalties, including the amounts of penalties and the conditions under which a civil penalty may be mitigated or escalated. ,

Table 1A of the Enforcement Policy lists the base civil penalty amounts for different classes of violations, and Table IB specifies the percentage of the base amount to be used depending on the severity level of the violation.

Ol'ESTION 2: Does your agency currently maintain records that track the number and amcunts of penalties imposed? If so, please provide information on the actual number of penalties imposed and amounts collected for the last fiscal year for which the information is available.

ANSWER:

The NRC does maintain records of its civil monetary penalties. In FY 1987, 89 penalties were paid totaling $4,118,212.

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e QUESTION 3: ?hould the types of penalties imposed by your agency be adjusted for inflation? If so, how often should the adjustment be made? Please include in your answer consideration of such f",'~.rs as deterrence and cost of implementation.

ANSWER:

The limit on the amount of civil penalties should be revisited periodically.

However, yearly increases to reflect the inflationary increase in cost of living may create small increases in penalty amounts that may be difficult to implement and have little enforcement impact. For example, the $100,000 civil penalty amount provided for in section 234 of the Atomic Energy Act, if adjusted for inflation at a rate of 4 for three years, would result in a penalty of $112,486.40. The penaltv, rounded off to the nearest $10 as proposed by section 4(b) of S 1024, would amount to $112,490. That amount would be further adjusted under the Comission's civil penalty procedures to reflect various ' actors such as the type of licensee and severity of the vi 'ation.

Imposing a civil p(nalty of $112,490, although explainable, would not  !

substantially improve enforcement impact. Moreover, the Commission would need i 1

to revise its enforcement policy each year to reflect inflation, issue l l

guidance, and provide training for its emploveos to usure consistent application and minimize errc- in penalty amounts.

J QUESTION 3: (continued) -?-

While the order of magnitude of the penalty amount is important, the associated publicity and the significance of the issuance cf a civil penalty (i.e., more than a Notice of Violation) contribute significantly to the deterrent value.

Thus, increasing civil penalties to keep up with ir'lation each year may not necessarily be required to assure that the remedial value of the penalty is maintained.

If penalties are to be adjusted for inflation, it is suggested that the amounts be reviewed every five years rather than every year to provide for stability in the civil penaity process. In addition, the penalty amounts should be rounded off to the nearest 10% increnent of the original penalty to minimire calculation error. In the example noted above of a $100,000 penalty adjusted for inflation to $112,486.40, this would result in an assessed penalty of $110,000.

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NUCLEAR REGULATORY COMWISSION 10 CFR Part 2 Policy and Procedure for Enforcement Act:ana: Policy Statement Aospect: Nuclear Regulatory '

Commission.

ACTsoor: Revised pohey statement.

' suesesAsty:De NRC is publishing minor  ;

revtsions to its Enforcement Policy to further explain enforcement actions involving individuals, to desenbe the l

cnterie to be used for reopening closed  !

enforcement actions, to provide for the j e mercise of discretion to refrain from i issuing a Notice of Violation or e proposed civil penally under certain hmited circumstancs,. and to male minor deletione and language changes i The policy statement is intended to mform licensees, vendors, and the pubhc of the bases for taking venous enforcement actions. The pokey is co6'ied as Appandia C to '3 CFR Part 2.

04tas: Dis revised statement of pohey is effectne September 28,1987 while comments on the changes are being received. Jubmit comments on or before November 27,1967

. 36216 Fedeial Register / Vol. 52. No.187 / Monday. September 28. 1987 / Rules and Regulations ADomsssts: Send esmments to: include some of the recommendations of operators are not competent to safely Secretary, U.S. Nuclear Regulatory the committee and other changes.

CommiWon. Washington DC 20555. perform their duties Such an approach Accordingly, the Commission has places primary resoonsibiht) for A1TN: Du seting and Service Branch. approved the following revisions to the operator errors where it belongs-with Hand deliver comments to: Room 1121. Enforcement Policy which explain the facility licentae which is reseensibte 1717 H Street. NW., Washington DC enforcement actions involving betw een 7.30 a m. to 415 p m. for operator training and for develc;ing Individvals add a section regarding the adequate procedures to gosern faciht)

Copies of comments may be examined criteria to be used for reopening closed operations.

at the NRC Public Document Room.1717 enforcement actions. provide for the Despite this philosophy, the NRC does H Street. NW., Washington, DC. exercise of discretion to refrain from issue licenses to operators and has rom rusrturn INronu AttoN CONTAm issuing a Notice of Violation or a many regulations that recognize that James Lieberman. Director. Office of pr posed civil penalty under certam .

timely actions by NRC.hcensed Enforcement. U.S. Nuclear Regulatory hmited conditions, and make language indmduals are an important part of ,

Commission. Wa shington. DC 20555 deletions and changes in other sections. safety. Specifically, the regulations st.te (301-492-6214) Resisions to the Enforcement Policy th a t.

SUMIMENT ARY INromM AT104-

• Cenerally, only licensed operators Revisions to the policy now being are permitted to manipulate the controls

Background:

made are described in the following paragraphs. Only the sections to which that directly affect reactivity (10 CFR The enteria used by the Commission changes were made are discussed here. so'3493).

to conduct its enforcement activities The numbering of the sections tracks Ahe

• Licensed operstors must be present

" " " l9 * *'  ! 11 t d n th (3 section numbers in the policy. ep[h',fon"of the facilit tohR 2 2) s c it ere 7, subsequently modified on lanuary 3. /. Introduction ondPurpose 50 54(k)).

1975 (40 FR 82") and on December 3. Profiting from Violation * ** * * # *

19?9 (44 FR 77135). In late 1979. the .

than controls, the operation of whicn Commission directed the staff to prepare The Commission is deleting the rnay indirectly affect the power level or a comprehensive statement of following sentence in the second reactively of a reactor, may be enforcement pohey.This staff effort was paragraph under Section I of the manipulated only Mth the knowledge given added urgency by the enactment Enforcement Policy. "It is the and consent of an operator heensed in of Pub. L 96-255 (signed June 30,1980). Commission's intent that sanctions accordance with Part 55 (10 CFR that. among other things amended should be designed to ensure that a 50.54[j));

sectior' 214 of the Atomic Energy Act to I censee does not deliberately profit

• Licensed senior operators must be raise the rnaximum cisil penalty the from violations of NRC requirements." present at the facility during specified NRC can impose from $5.000 to $100.000 The Commission beheves that the conditions. and available or on call at per violation per day and ehminated the wording is ambiguous and that. in fact. other times during operation (10 CR provision hmiting the total eml few violations are the result of a 50 54lm)): and penalties for any 304ay penod y calculated judgment to profit from

• An NRC bcensed individual must

$25.000. On September 4.1980, the noncomphance. Other wordmg in the obsers e all apphcable rules. regulations Commission approvad a proposed policy clearly states that sanctions and and orders of the Commission, whether general statement of pohey on seventy levels may be increased for er not stated in the hcense (10 CFR enforcement. Comments were selicited dehberate violations. 55 3t(d)),

on the pobev and a series of pubbe Because of the importance the meetings w as held. On March 9.1982. v. Enforcement Actions Co".missic,n places on high standards of the Comrr.insion pubbshed a final Notice of Violation for Certain Severity performance by f acihty staff. the version of the pohey (47 8 9987). After LevelIV and V Violations guidance on when enforcement action the pohey had been in effect for about Section V.A, Notice of Violation, against an individual will be considered two years, the Commissicn determined previously discussed circumstances has been empanded in renumbered that certain minor revisions should be under which the NRC will not generally Section V.E.

made Dese revisions were published in issue a Notice of Violation for Severity the Federal Register (49 R 8583) and Allowing Mitigaten of Civil Penalties LevelIV or V violations. Because this for Seventy Levell Violations became effective on March ak 1964. The could be regarded as a type of enteria were turther revised to describe discretionary enforcement. the The Commission beheves that how the NFC Enforceme t Policy discussion has been moved to the new mitigation of a civil penalty for a applies to vendors of prosiucts or Section V.T., Exercise of Discretion. Seventy 14 vel I violation should be services on November 20.1985 (50 R asailable on the same basis as for 47716). In conjunction with approving Enforcement Actions Against Sesenty Level!! and !!! violations s:nce the March 1984 revision to the Individuals the practical justifications for allowing Enforcement Pohey, the Commission The NRC has taken actions against mitigation of these violations is the decided to estabbsh i committee of individual hcensed operators in certain same. i e.. to encourage self- ,

outside evoerts to review the instances where misconduct occurred. identification and reporting extensise Enforcertc ? Policy and pr: vide the Generally, the staff policy has been that corrective actions. and good Commission with recommendations on the NRC should defer to the licensee m performance by a beensee The second any changes it believed advisable. The the supervision of operators but should paragraph under V.B of the committee ms established on August take action directly against licensed Enforcement Pohey is modified as

31.1984 and issued its report on operators when their actions result in follow s-

{ hovember 22.1985. The Commission significant violations of NRC subsequently decided that the "Cml pen.Ines are imposed absen, requirements involving incompetence or rnaie.nce cirewmaiances for Seiero, inel t F'.nforcement Policy should be revised to willfulness or where it appears end il uci.aoes are considered for Sesero>

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o Federal Register / W1. n No.1817 / Mondly. September 2a.1987 / Rules and Regulations 3217 t . M ill . o:ates and may he impased for in racet the nbjectives set for'h in the pr rfirraance so %;nificant that the NRC

5. se a LealIV uolat:or.s that are sim:lar c-farcernent policy: specifically, will r:ot allow re; tart unhlit is sure that

.*e preucus uolaticini for whah the e9couraging prompt correction of n ajor probler95 have been satisfactonly i . s.e ed not ide effectne correune es sting violatinns and adve'se

• • tr soh ed conditions. detening future violanons The recson for the second condinen is Foopening Closed Er.forcement Actions and adserse conditions, and to provide an incentive for heensee The agency's enforcement program enc uraging improved performance by iilentificahor, of violations II the NRC l d .es r.vt address the criteria for }he licensee and, by example.that of the (;nds the problem. and believes that the  !

rtopening clcsed er.forcement actions. industry; and at the same time. not licensee a corrective action prngram is

• T'.ere bas e been rare instances where it discouraging aggressive and not working adequately, cml penalty comprehensive implementation of S enforcernent action may be appropnate.

e. force a i n to co ec an structured program to identify and The reason for the third condinon is irappropriatejy appj ici action. A new conect problems. that if violations are identified in view of this. the Commission has associated w:th work perfonned after bf c tb Act ons i a ed o Section decided that discretion may be exercised. provided there is pnor staff the event or shutdown.this may also indicate that the incentives for y'The Commission believes that c n8u 18ti n to t'fr8 8 fr m 88uiD8 8 conducting an adequate program are not tr opening a previous,y ,,osed Notice of Violation and a proposed civil sufficient and the deterrent effects of penalty for violations that meet all of civil penalty enforcement may be er.forcement actan may be appropri.te the following entena which are listed in "'*""r uader certain circumste:es. If h S cti V s.gnificant new infor. nation is received by the NRC which indicates that an * "$a)$[R 1 s taken si ifikant ""."'

' d I"#"h l' enforcemen; action based upon a major imm mwe signifs'a'n'8"e'fj'"I *' l' euforcement sanct on was inconectly safety event contnbuting to an extended c t am apphed. that action could be reopened shutdown of an operating reactor or a ugh h raumk fu nhaqg  ;

to conect the record. Reopening should materiallicensee (or a work stoppage at imm e penahy e acunn acuon  ;

occur only (1)if remedial action, e . in a construction site), or the licensee is may be the ume fu Smny W I tl:e form of an order. is necessary to and 11 siolations that meet the other forced into an extended shutdown or three enteria, with violations at this a'iate the continued harm of a violation work stoppage related to generally poor ,

to the public health and safety, the Iml, H may be @ dant to conny a  ;

common defense and secunty, or the [erformance over a long censee has developed and laperiod. (b) the'"""I** '"*""""8 3 I enurenment or 12)if new information aggressively implementing during the 'I 8"#'cance and coniqueen M nch shows that a violation was less serious shutdown a comprehensive program for ' '0I' N"'

IFan onginally believed or that it did not problem identification and correction: Supplement Vl/

c: cur. Enforcement action would (

and (c)NRC concurrence is needed by norms"y not be reopened where the rior to restart: N nfmnce to neuen 210 of N only change to the pnor action would be thewil

2. Non licensee fful violatbns are identified Energy Reorganization Act, which to increase the severity level of a by the licensee (as opposed to the NRC) prohibits disenmination agt. inst, uolation or to impose or increase a civil as the result ofits comprehensive employen fu mgaging in certain penalty. Reopening an enforcement program. or the violations are identified protected actmues, has been replaced a: tion is expected to occur only rarely as a result of an employee allegation to with a reference to 10 CF1t 50 7 and and would require specific approval of the licensee. lf the NRC identifies the similar NRC regulations prohibiung the Deputy Executive Director for violations, the NRC should determine discriminations against employees. W Regional Operations. whethee enforcement action la requirements of I 50.7 apply to Part 50 I'censees, but similar requirements {

E'ercise of Dincretion necessary to achieve remedial action:

3. violations are based upon appear in other parts of FRC regulations l As discussed in Section I above, the activi;ies of the licenses prior to the governing other types oflicensed  !

d.scussion of circumstances under events leading to the shutdown; and activity. Harassment and intimidation of which the NRC will not generally issue a 4.ne non willful violations would quality assurance workers may Notice of Violation for Severity LevelIV normally not be categorized as higher constitute violations of the or V violations has bee. moved to new than Severity 1.4 vel til violatione under independence enterion for quality Section V.C Exercise of Discretion. the NRC's Enforcement Policy, aseurance prog?ams, such ae is requi ed Additionally, discussion of other Notwithstanding the above. a civil under to CF1t Part 50. Appendix B. The circumstances under which a Notice of penalty rnay be proposed in a case replacement of the reference in V;olation or proposed civil penalty where multiple Severity Leveill! Cupplement V!l to Section 210 with a r6ght not be issued by the NRC is violattens are discovered.nis acticn reference to NRC regulations is added. Although strict application of the would be taken when judgment appropriate because NRC regulations, escalating and mitigating factore set warrants it on the circumalances of the not section 210. form the basis for forth in the enforcement policy would individual case, violations and enforcement actions suggest that issuance of a civil penalty he reason for the first condition la to related to wrongful discrimination or in a particular case would be limit the circumstances under which haras sment.

a,apropriate. the benefits to be gained such discretion would be exercised to f*om issuing a civil penalty are doubtful cases in which the incentives for Ust of Subjects in 10 Cl'R Part 2 for vio!ations identified by a licersee problem idertification and correction Administrative practice and danng a forced shutdown where a are the greatest and the deterrent effects procedure. Antitrust Syproduct 1.censee la diligently and aggressively of civil penalty enforce nent action are ma tenal. Cla s sified informa tion, addressing the causes of the violations, likely to be fewest-when the licensee la Environmental protection. Nuclear in particular. it la questionable whether in an extended shutdown caused l'y e rnaterials Nuclear power plants and such an action would provide incentives major event or period of poor reactors. Penalty. Se x discrimination.

. . . . . , . . ... a. .. . .. . . . ..

36218 Federal Register / Vol. 52. No.187 / Monday. September 28, 1987 / Rules and Regulations Source material. Special nuclear the common defense and security, a9d or heense and for ViolaldCn of an NRC matenal. Waste treatment and disposal. the environment. ~

regulation),Section 234 authorizes NRC For the reasons set out in the I. Introduction and Purpce* to impose civil penalbes not to exceed preamble and under the authority of the $100.000 per violation per day for the ne purpose of the NRC enforcement uciation of certain specified bcensing Atomic Er ergy Act ol1954, as amended, program is to promote and protect the pronsions of the Act. tules orders, and the Energy Reorganisation Act of1974 radiological health and safety of the as amended, and S U.S.C.153. the NRC license terms implementing these pubhc. meluding ernployees' health and provisi2ns. and for notations for w hich is adopting the following statement of safety. the common defen6e and policy as Appendix C to lo CG Part 2. licenses can be revoked. In addition to secunty, and the environment bv the enumerated provisions in section PART 2--RULES OF PRACTICE FOR unna c anu 23t oc@ns M ad m a&nu 6e DOMESTIC UCENSING PROCEEDINGS segulanens and license conditions; imposinon of cini penaltin for

. Obteming prompt correction of violations of regulations implemenung 1.The authonty citatien for Part 2 ts violations and adverse quality those provisions. Section 132 authorites revised to read as follows'. c nditions which may affect safety: NRC to seek injunctive or other Authority: secs tet.te1. cs M M m.

• Detemns future violations and equitable relief for violation of occurrence:of conditons adverse to re8ulatory requirements.

a e amended (42 U.S C 22ct.1231L sec.191. aht and

[s[g N$s,',f3*' [,l' Encouraging'trnptovement of noce and mdot a pdmance, ad Reo a tat on A t a t or ses NRC to arr. ended (42 U.S C. 564tl. 5 U S C 552- impose civil penalties for knowing and by example, that of industry. including Section 1101 also luued under seca n 62. the prompt identification and reporting conscious failures to provide certain ta, e1.103.104, tos, n Stat om en sn s35- ** D f****""'h'NRC' of pe,tential safety problems.

em 937. 9n u amended 142 US C 204. Chapter 18 of the Atomic Energy Act 2092. 20s2. 2111. 21n 21x 2135). sec.101 Consistent with the purpose of this pmgram, pumpt and wgomus prondes for varying levels of enminel Pub. L 91-190. 83 Stat 851 as amended (42 enforcement action will be taken when penal ies (i.e., monetary fines and U S C 4332k nc. set. as S!st 124s (42 UAc g Saf tJ. Sections tsc 2.1012104. 21011721 dealing with heensees or vendors wh g, g alsoissued under secs tot 1e1104.1e5.183, do not schieve the necessary meticulous the Act and regulations or orders issued as, sa Sist 938 m. 936,954 955. u atiention to detail and the high standard under sections 65.161(b). telli). or amended (42 U S C. 2132. 2133. 21x 21n of compliance which the NRC expects. 161(c)of the Act.Section 223 provides 2233. 2239). Seenon 1105 also inved under Each enforcernent action is dependent that enminal penalties may be imposed Pub. L 9%415. 9e Stat. 20M lt2 UAC 2291 on the circurnstances of the case and on certain individuals employed by Secuor.: 1200-1206 61so issued undee toca.

186. 2x 64 Stat 955. 63 Siat 444 as ameMed requires the exercise of dist*tuon after I'es construchng or supplying basic (42 U S C 2236. 2282): sec. 206. as Stat.1246 cons deration of these policies and components of any utilization facihty if 92 U S C 5644). Sections 2 eco-tece also procedes. In, no case, howem-, wul the individual knowingly and willfully issued under see tot Pt.b 1,91-190. 63 Sta t beensees who cannot schieve and violete: NRC requirements such thet a 653 es amended 142 U.S C. 4332) Sect:oca maintain adequate levels of protection buic compeent coug be significantly 2 ?ooe. 2 719 ab issued under 5 U S C 554 be permitted to conduct licensed impaired. Section 235 providee thet Sections 21x 17ao. Er7e also issued undee 5 a ctivities, enminal penaNH may b,e imposed on UAC 557. Section 179o also issued under persons who interfere with inspectors sec.103, ea Stat s36. as emended (t2 U Ssc fl. Statutory Authority and Procedural Section 236 provides that enrr.inal 2133) and 8 US C 551 Seenons 2 aac and Framework ,

penalties may be imposed on persons isA also issued under 5 U S C &n Sc< tion 2 m)e also taeved under3 US C 513 at.d sec. A. S!ctutory Authonry who attempt to or cause sabotage at a

29. Pub L 65-254. M 6iat. 579 as amended nucleat f acihty or to nuclear fuel.

De NRC's enforcement jurisdictionis (42 U.S C 2030k $4bpart K also issued under. drawn frorn the Atomic Energy Act of Alleged or suspected criminal violations sec. t se. ee Stat. 855 (42 US C 2n9) sec.1R 1954. a's amended, and the Enemy -

of the stomic Energy Act are referred to Pub. L 91-425. 96. Stat. 2230 (42 US C 101541- Reorganisstion Act [ ERA) of 1974. as the Department oflustice for Appendia A alsoinued under uc.6. Pub L app priate action.

amended.

91-5a0. 64 Stat 14?3 (42 US C 21351-Appendia B also issued under sec. to. Puh L Saction151 of the Atomic Eriergy Act B. Procedure /PromewotA 99 24o. 90 Stat 1642 [42 US C 302fb er seg ). authontes NRC to conduct inspections and Investigations and to lasue orders as Subpart B of 10 CFR Part 2 of NRC's

2. Appendix C to Part 21: revised to may be necessary or desirable to regulations sets forth the procedures the read as follows: promote the common defense and NRC uses in exercising its enforcement authonty.10 CR 2.201 sets forth the Appendiz C--General St'at'ement of Nin i(e$ nger to life o E** * " 8""*"

Po4tcy and Procedure for NRC r p rty. g , **'

Enforcement Actons Section 186 authori.ze: NRC to resoke licenses under certain circumstances e procedure to be used in assessing ,

g civil penaltiea la sei forth in to CD The foll) wing statement of general f' 8g ' *,' 2M Wmgultuon pmdn 6at h pokey and procedure explains the t na at w I h we apptcpriate NRC Office Director enforcement pobey and procedures of md refusd'gd a g* lh on u. Initiates the civil the U.S. Nuclear Regulatory Commission issuing a noticeviolation ofenalty

",' *(E gd* "ope ate a ac lity in andprocess by and its staff in initiating enforcement actions, and of presiding officers. the accordance with the terms of the permit P"P*"d i*PC' *

• E'"

• D The licensee is prou"ded an opportunity Atomic Safety and lacenstrig Appeal to contest in wnting the saposed Boards, and the Commission in 'A'""'""d"* "U b* d"M imposition of a civil penatty. After reviewing these actions.This statement is applicable to enforcement in matters

• • @'j$"j"_' ",",",'g,, g g, es aluebon of the bcensee's esponse.

, ,mic,, ,a g, u,4 m . sac.i,c,nus rec @, , the Director may mitigate. rero or involving the pubhc health and safety, wn ,< y impose the clut penrity. An oppo.tanity

Federal Registce / hl. 52. No.187 / Monday. Septambee 20.1E / Rules and Regulations 36119 it prow!cd for a hearinc if a eml to tFe r$bbe associated with Seserity of the cond: tion or event which it failed imity is irnposei les ell uolations in Reactor Operations to report. Howes er, the sese:ity les el of The procedure for issuing an order to is not directly comparab'e to that an untimely report. in contrast to no oow cause why a heense should not be associated with Seserity Lesel I report. may be reduced dependin2 on r od.fied. suspended, or revok ed or why violatiens in Reactor Coc.seuction. the circumstances surroundir g the s sh other acuan should not be taken is While exam'ples are prouded in rna t t e r.

sat forth in 10 CFR 2 202. The Supplem.erto I thrcugh Vlli for r"cchanism for modifying a license by determining the appropriate seventy IV. Cnforcement Confercoces e der is set forth in 10 CFR :.204 These lese: for siolations in each of the eight whenever the NRC has learned of the

. sections of Part 2 provide an opportunity actmty areas, the examples are neither existence of a potential violation for f ir a h::rm; to the :ffected licensee, exhaustive ner contre!!ir g. These w hich a cisi! penalty or other escalated lloweser, the NRC is authorized to exarnples do not create new enforcement action may be warranted.

r ake orders immediately effective if the requirements. Each is designed to or recurring nonconformance on the part p.bbc health, safety or interest so iHustrate the significance which the of a vendor, the NRC will normally hold r qmres or. in the case of an order to NRC places on a particular type of an enforcement conference with the show cause. if the alleged violation is siolation of NRC requirements. Each of licensee or vendor prior to taking willfyl. the examples in the suppleraents is enforcement action.The NRC may etso

. predicated an a vialation of a regulatory elect to hold an enforcement conference I:1. Severity of \.iolations requirement, for other siolations. e.g.. Seventy Level Re;t.latory requirements 8 hase in each ccse the seventy of a IV siolation which,if repeated, could urying degrees of safet), safe;eards. or siolaticn will be charactenzed at the lead to escalated enforcement action.

emront ental significance.Therefore, lael best suited to the significance of The purpose of the enforcement tc relatae importance cf each sio!at2on the particular violation. 'n some cases, conference is to (1) discuss the rmst be identified as the first step in the siola: ions may be evaluated in the violations or nonconformance, their enforcement process. sggregate and s sing'e severitylevel significance and ca.ses, and the Consequently. violations are assigned for a group of violaticns. licensee's or vendor's corrective actions, cateponred in terms of five levels of The seventy level of a viola *ich may (2) determine whether there are any sn erity to show their relatis e be increased if the circumstances aggravating or rnitigatir.g circumstances, imwtance within each of the follawing surrounding the matter involve careless eight activity areas disregard of requirements, deception or and (3) obtain other information which will help determine the appropriate i Reactor Operations. otherindications of willfulness.The enforcement action.

u racility ceristr.ction, term"willfulnes ' as used here in adddon. during the enforcement 1.1. Sa fes sa rd s. embraces a spectrum of violations conference, the licensee or vendor will IV. Health Physics: ranging from deliberate intent to violate L Transportation, or falsify to and including careless be Iiven an oEEortunity to exEl ain to the VI. Fuel Cycle and htetenals Operations; disregard for requirements. Willfulne as NRC what corrective actions (if any)

\ :r. htiscellaneous miters. and does not include acts which do not rise were taken or will be taken following

\ 31. Ernersency Preparedness-to the level of care!ess disregard. i.e., discovery of the potential violation or 1 Licensed activities not directly triadsettent clerical errors in a doeurnent nonconf rmance. Licensees or vendors  ;

covered by one of the abose listed submitted to the NRC. In determining wiu be tom vhen a meeting is an '

a rea s. e g . exp' ort license a ctivities, will the specific severity level of a violation enf reement confennce.Edercement b placed in the activity area most involving wl;! fulness, consideration will CC"I "C's wm not nomaHy be open suitable in light of the particular be given to such factc es as the position to the pubb.c.

Colation invoh ed. Within each activity of the person involvec in the violation When needed to protect the public area. Severity Levell has been asogned (e g, first-line super isor or senior health and safety or cornmon defense to violations that are the most manager), the sicuficance of any and security. escalated enforcement l significant and Sesenty Level V underlying vioMon. the intent of the action, such as the issuance of an l uolations are the least significant, violator (i e., negligence not amounting immediate!y effective order modifying. l Seventy LevelI and Il sio!ations are of to careless disregard, careless disregard, suspending. or revoking a license, will s cry significant regulatory concern. In or debberateness), and the economic be taken prior to the enforcement generel. violations that are included in advantage. if any, gained as a result of conference. In such ca ses, an these severity categories involve actual the violation. The relative weight given enforcement conference may be held or high potentialiinpact on the public, to each of these factors in arriving at the after the escalated enforcement action is Severity Level III violations are caused appropriate severity level will be tak en.

fcr significant concern. Severity 14 vel IV dependent on the cirevmstances of the V. Enforcement Actions siolations are less serious but are of uolation.

niore than minor concern:1.e ifleft ne NRC expects licensees to previde This section desenbes the uncorrected, they could lead to a more full, cortplete. timely, and accurate enforcement sanctions available to NRC serious concem. Seventy Level V iMormation and reports. Accordingly, and specifies the conditions under siolations are of minor safety or unine otherwise categorized in the which each may be used. The basic environmental concern. Supplements, the seventy level of a sanctions are notices of violation, civil

, Campansons of significance between violation involung the failure to make a penalties, and orders of various types.

activity areas are inappropriate. l'or required report to the NRC will be based Adottionally, related administrative exampt . the immed.acy of any hazard upon the significance of and the rnechanisms such as bulletins and circums'ances surroundias the natter confirmatory actior. !+tters. notices of

, that aboald have been reported. A noncor.formance and noues of licenu will not normally be cited for a deviation are used to sup;tecent the e..Is$.sa.iIrYu NNN.fi swa. c ereue ww.em iemui er*n te or*r.

fallure to report a condition or event enforcement program. !n selecteg the unl:ss tht licensee was actua!!y aware enforcement sanctions to be apphsd.

~

36220 Federal Register / Vol. 52. No.187 / Monday. September 28, 1987 / Rules and Regulations NRC will consider enforcement actions B. Cni/ Penelty. amounts of such penalties tske into taken by other Federalc State A civil enalty is a monetary penalty account a heensul"aWy to par b regula tory bodies having concurs ent that may e imposed for violanen of (a) determining the amounts of civil junsiction, such as in transportauca certain specified beensing provisions of penalties for hcensees for whom the matters. With very limited exceptions, the Atomic Energy Act or tables do not reflect the abihty to pay.

whenever a violation of NRC supplementary NRC rvle or orders. (b) NRC will censider as necessary an requirements is ide9tified, enforcement any requirement for which a heense may increase or decrease on a case by case action is taken.The nature and extent of be revoked. or (c) reportrng basis.

the enforcement action is intended to requirementa under Section 206 of the NRC attaches great importance to I reflect the aenousness of the viola: ion Energy Reorganisation Act. Civil ccmprehensise beensee programs for involved. For the va st majonty of penalties are designed to emphasise the detection, correction, and reporting of violauens. action by an NRC regional need for lastmg remedial action and to problems that may constitute, or lead to.

office is appropnate in the form of a deter future violations. violation of regulatory requirements.

Notice of Violation requinns a formal Cidl penalties are imposed absent This is emphasised by giung credit for response from the recipient desenbmg mitigatmg circumstances for Seventy effectiu heensee audit programs w hen its corrective actions. in situataons in. [4vell and fl violations. are considered beensees find, correct. and report volving nonconformance on the part of for Severity 12vei ll! violations, and problems expeditiously and effectnely.

vendor. a Notice of Nonconformance may be imposed for Seventy Level IV To encourage licensee self identification w ill be issued. The relatively small violations that are similar 8 to previous and correction of violations and to avoid nuinber of cases involvmg elevated m,lations for which the licensee did not pote;.tial concesiment of problems of enforcement action receives substantial take effective corrective actimi. safety significance, application of the attention by the pubbe, and may have In applying this galdance for S4 verity adjustment factort set forth below may significant impact on the bcensee's lavellV Wations.NRC normally result in no cini penalty being assessd operation. These elevated enforcement considers civil penalties only for similar for violations which are identified, actions include civil penalties: orders Seventy LevelIV violations that occur reported (if required), and effectively modifying. suspendmg or revoking after the date of the last inspection or corrected by the licensee.

licenses; or orders to cease and desist within two years, whichever period is On the other hand. ineffective licensee from designated scuvities. greater. programs for problem identification or Civil penalties will normally be correction are unacceptable. In cases A. Notice of Violation assessed for knowmg and conscious involving willfulness flagrant NRC-A notice of violation is a wntten violations of the reporting requirements identified violations, repeated poor notice setting forth one or more of section 206 of the Energy performance in an area of concern. or uolations of a legally bmdmg Reoganization Act, and for a9y willful serious breakdown in management requirement. The notice normally v'olanen of any Commission controls. NRC intends to apply its full requires the recipient to provide a requirement including those at any enforcement authonty where such wntten statement desenbing (1) seventy level. action is war' anted. including issuing conective steps which have been taken NRC imposes different levels of appropnate orders and assessing civil and the results achieved. (2) corrective penalties for difien.nt severity level penalties for continuing violations on a steps which will be taken to prevent violations and different classes of per day basis. up to the statutory limit of recurrence: and (3) the date when full liceasees. Tables 1 A and 1B show the $100.000 per violation, pei day. In this comphance will be achieved. hRC may base civil penalties for various reactor, regard, while manage nent involvement.

require responses to notices of violation fuel cycle, and materials programs. "Ihe direct or indirect. in a violation may to be under oath. Normally. responses structure of these tables generally takes lead to en increase in the civil penalty, under oath will be required only in into account the gravity of the violation the lack of such involvement may not be connection with civil pena!!ies and es a pnmary consideration and the used ta mitigate a eml pensity.

orders, abihty to pay as a secondary Allowance of mitigation could NRC uses the notice of violation as conside ra tion. Gene ralty, opera tions encourage lack of management the standad method for formalizmg the involving greater nuc!es, aistcrial involsement ir. Lcensed actmties and a existenes of a vioistion. A notice of inventones and greater potential decrease in protection of the pubhc violation is normally the only consequences to the public and beensee health and safety.

enforcement action taken, except in empayees receive higher civil penalties. NRC review each proposed cin!

cases where the enteria for civil Regardmg the secondary factor of penalty case on its own mmis and penalties and orders. as set forth in abibty of vanous classes oflicensees to adjusts the base cavil penalty vps Sections V.B and V.C. respectively, are pay the civil penetties,it is not the upwstd or downward appropriately.

met. In such cases, the notice of NRC's intention that the cecaemic

, .I ab!cs 1 A and 1B identify the ba se cml violation w"' be issued in .,,njunction impact of a civil penalty be auch that 11 nenalty values for different seventy with the elevated actions. puts a licensee out of business torders. [evels, activity arean and classes of IJcensees are not ordmarily cited for rather than civil penalties, are used licensees. After considenng all relevant violations resulting from matters not when the intent la to terminate licensed circumstances. adjustments to these within their control, such as equipment activities) or adversely affects :

. , values may be made for the factors failures that were not avoidable by t ' '

described below:

"'l'dn' "I'b de t anageme t contr af of civil penalties is best served when the 1. Prompt identification and Reporting rres ures or Generally, however. licensees e;e held fleduction of up to 50% of the base responsible for the acts of their ' Tu = h '* P4 cini penalty may be given when a employeer Accordingly, this policy should no * % strued to excuse j,"',,','yg"d ac,,,

"y,j' *[,

gw!*'N"aQ'.;.',%',9 licensee identifies the vio!ation and promptly reports the violation to the

. .o,,,c,n . .w iw e . . .

personnel ec .. no4.nos NRC. In weighing this factor,

l

, Federal Regist:r , Vol 52. No.167 / Monday. Septemtwr 28. I'387 / Rules and Regulations 3ul l

conuderation wiu be gn en to amons reor performene in Ine general area of (:)lf a heensee is unaware of a c Ecr things, the length of tirne the concern. condition resulting m a continuirs ,

uo: anon eusted prior to d:scosery. the in weiching this factor. consideration violation, but clearly should have been I opportunit) as ailable to disceser the will be p en to, among other things, the aware of the ccndition or had an l uoLinen. the ease of discosery and the effectneness of previous correctne opportunity to cornet the condition but ric ptness and ccmpleteness cf any action for similar problerns. overall failed to do so. a separate violation and reqwed report. No consideration will be performance such as Systematic attendant cml penalty may be pen to this factorif the beensee dees Assessment of Li:ensee Performance considered for each day that the not t.ke immediate action to conect the (SALP) es aluations for power reactors. licensee clearly should have been aware prob em upon discovery. and prior enforce rnent history including of the condition or had an opportunity to Severity LevelIV and V violations in the

Correctne Action to Present conect the condition. but failed to do so area of concem. For example, failure I Recunence implement previous conective action for (3) Alternatively. whetner or not a prior similar prriblems may result in an licensee is aware or should hase been F: ;gni6ng that conectise action is aware of a nolation that contmues for alwas s required to meet regalatory merease in the :mi penalty.

more than one day, the civil penalty requirements the promptness and 4. Prior Notice of Similar Fvents imposed for one siolation may be estent to which the licensee takes The base civil penalty may be increased to reflect the added conective action, meludmg actions to nereased as much as 50% for cases sigruficance resulting from the duration present recunence. may be considered in modifung the civil penalty to be where the licensee had pnor knowledge of the violation.

of a problem as a result of a licensee The Tables and the mitigating factors assessed. Unusually prompt and audit.or spec fic NRC or mdustry determine the cisil penaltics which may estensn e correctn e action may result .in notification. and had failed to take be assessed for each violation.

Nuch Is of7he se I e sh n in e chn pM unun However, the focus on the fundamental Table 1. On the other hand. the civil 5. Multiple Cccurrences underlying causes of a problem for penalty may be increased as much as The base :ivil penalty may be ch enface acm anun m W 50% of the base value ifinitiation of increased a much as 50% where conectne action is not prompt or if the multiple exsmples of a particular h "' * *# ""

correctne action is only minimally violation an identified dunng the unamidaW conuquncu d h accept.ible. In weighing this factor, inspection period. problem may be based on the amount consideration will be gn en to. among The above factors are additive. shownin the table for a problem of that other thmgs. the tituhness of the Seurity Level, as adjusted. !f an However. m no instance will a civil conective action. degree of licensee penalty frr any one violation exceed nalwauon of :h multiple violations initiaine. and comprehensiveness of the $100.000 per day. shows that rr. ore than one fundamental corrective action-such as whether the The duration of a violation may also probletn is involved. each of which. if action is focused narrowly to the be consijered in assessing a civil viewed independently, could lead to specific violation or broadly to the penalty. A greater civil penalty may be civil penalty action by itself. then general area of concern. imposed if a violation contmues for separate civil penalues may be assessed 1 Past Performance more t)an a day.For example:(1)If a for each such fundamental problem. In licensee is aware of the existence of a addition. the failure to .nake a required Redaction by as much as 100% of the condit.on which results in an ongoing report of an event requirtng such base enil penalty shown in Table 1 may violation and fails to initiate conective reporting is considered a separate be gn en for prior good performance in actiora each day the condition existed problem and will normally be assessed the general area of concern. On the l may be considered as a separate a separate civil penalty. if the licensee is  !

other hand. the base civil penalty may iolation and as such, subject to a aware of the matter that should have l be increased as much as 100% for prior aparate edditional civil penalty. been reported.

TABLE 1 A.-BASE CNit. PENAt. TIES Piant Transpor*.aton operations. I const, g,sater Type A l pr and Safeguarcs tr A quetirgor a Power Reactors $100.000 $100.000 $100.ono 5.000 b Test Aanctors - __- 10,C00 10.000 10.000 1 000

c. Ruearch Raactors & Cntical Fachties -- - - 5.000 5.000 5.000 1.000 d Fuel Fabncetors and Industnal Proces6crs a . _ . . . , 25.000 100.000* 25.000 5.000 e Mills and Uranum Conveessor Facitrties . . 10.000 . _. 5 000 2.000

f. Industnal Users of Malenals_. - - _. 10,000 5.000 2.000 g Wa ta CAsposal beensees .

10.000 5.000 2.000

h. Academic or Medcalinstrtuhons' - __. .- -

5.000 2.500 1.000 L Othee Materol beensees - __. 1.000 2.500 1.000

' inctuces rradated luel hign level wesia, unstratated besas anatorgl, and any Omer quantites requinng Tree B pecitaping

• inctuoes now speahe acwry wesie f.sA). iow iew wasie. Tma A pectages, and enc = Died quanutes and artieses s large fWu engaged ri maNfaceanng or d stntubon of tryproduct sowce, or speceel nucasar matemal.

i .

3G222 Federal Register / Vol. 52. No.187 / Monday. September 28. 1937 / Rules and Regulations n

' f n<s aNv t refers to Category 1 Lceasees (as o*6ned m 10'CFR 73 2 (bb)) Leansed fuel tabncSors not authorced to possess Categyy 1 matenal have a base penalty amount of $50.000

• InCivoes mdvstr.al reo oyapPers, AVC5 ear pha'maSes and other inovstrial users

• This appe.es to nonproSt estitwt.ons not otne<w e categorueo under sect ons ~a" throvga "g"in trws tab:..

TABLE 19.-BASE CIVIL PENALTIES (b) When a licensee refuses to correct However. it should be roted that under a violation, some circumstances, r g-, where there is (c) When a licensee does not inpond

$*,# y common control over some facet of to a notice of violation where a response facility operations similar violations amount w as required, may be charged even though the second Severy level (percent of 8 "**"t (d) When a licensee refuses to pay a violation occurred at a different facilq fee required by to CFR part 170, or or under e different beense. For NO3 (e) For any other reason for which example, a physical secunty sio'inon at revocation is authorized under Section Unit 2 el a dual unit plant that repeats

, l 100 186 of tne Atomic Energy Act (e g. any sn es: lier violation at Unit 1 might be I

n 60 condition which would warrant refusal corsidered similar.

ut _j 50 of a license on an original application).

IV-  ; 15 (4) Cease and Desist Orders are Y TABLE 2.-EXAMPLES OF PqooAES.

_. ; $ typically used to stop an unauthented setivity that has continued after SiON OF ESCALATED ENFORCEMENT notification by NRC that such activity is ACTIONS FOR SIMILAR VIOLATIONS C Orders unauthonted.  ; tN THE SAME ACTIVITY AREA UNDER Orders are made effective THE SAME LICENSE An order is a wntten NRC directive to immediately, without prior opportunity modify, suspend, nr revoke a hcense; to for hearing, whenever it is determined cease and desist from a given practice nymo,, u ,,maa, y,otateas er activi:y: or to take such other action that the public health. interest, or safety from tu cato of tM inst so requires, or when the order is , espect on or ethin ine e may be proper (see 10 CFR 2.202 and 2 204). Orders may be issued as set forth responding to a violation involvin4 g,Nt v n D'ucus two yea,

1. "" *d

• 7 "d below. Orders may also be issued in lieu willfulness. Otherwise, a prior of, or in addition to. civil paalties, as opportunity for a hearing on the order is afforded. For cases in which the NRC l 1st I 2nd l 3rd epprWate.

believes a basis could reasonably exist i' p , .) ~ p.e r)) (c)

(1) License Modification Orders are for not taking the action as proposed, issued when some change in heensee n c) c + ')...d c + ' + ')

the bcensee will ordinarily be afforded in c). t equipment. procedures, or management ' ' c + *)

sontrols is necessary. en opportunity to show cause why the order should not be issued in the 'C m penarry (2) Suspension Orders may be used: proposed manner.

• Sv*o*nsen of affected ooeratens unta the (J) To remove a threat to the public OMo Dimcw a setsfied mat mee o rusos health and safety common defense and D. Escolation of Enforcement Sonctions ac'e assurance tMt tN beenue can opere'e secunty, or the environtnent: m comphance etn the soohcabie recee.

NRC considers violations of Severity monts or modificaton of tne beenu as ep-(b) To stop facility construction w hen proonste Levela 1. IL or til to be serious. lf serious (i) further work could preclude or violations occur. P.'RC will where e stow cauw w modificaten or twocaten significantly hinder the identification or correction of an improperly constructed necessary. issue orders in conjunction with civil penalties to achieve

' T M M

• ap"pr b te.

safety.related system or component, or immediate corrective actions and to tii) the licensee's qvality assurance deter further recurrence of serious E Enforcement Actions lavolvins program implementation is not adequate violations. NRC carefully considers the /ndwiduals to provide confidence that construction circumstances of each case in ulecting Enforcement actions involving activities are being properly carried out; and applying the sanction (s) appropriate individuals. Including licensed (c) When the licenses has not to the case in accordance with the operators, are significant personnel responded adequately to other criteri.a described in Sections V.B and actions, which will be closely controlled enforcement action: V.C. above. and judicioudy apphed An enforcement (d) When the licensee interferes with F.mamples of enforcement actions that action . vill normally be taken only when the conduct of an inspection or could be taken for similar Severity Level there is little doubt that the individual investigstion; or 1.11 or 111 violations are set forth in fully'mderstood, or should have (e) For any reason not mentioned Table 2.ne actual progression to be understood, his or her responsibility:

above for whi h license revocation la used in a particular case will depend on knew. or should have known, the legally authorized. the circumstances. However, required actions: and knowingly, er with Suspensions may apply to all or part erforcement sanctions will riormally careless disregard (i e., with more than of the licensed activity. Ordinarily, a escalate for recurring almi ar violations. mere negligence), failed to take required licensed activity la not suspended (nor is Normally the progression of actions which have actual or potential a suspension prolonged) for failure to enforcement actions for similar safety significance. Most transgres sions comply with requirements where such violations will be ba sed on violations ofindividuals at the level of Severity failure is not willful and adequate under a single license. When more than Level!!! IV or V violations will be corrective action has been taken. one facihty is covered by a single handled by citing only the facihty (3) Revocation Orders may be used: license, the normal progression will be licensee.

(a) When a licensee is unable or based on similar violations at an More serious violations. including unwilling to comply with NRC individual facihty and not on similar those involving the integrity of an requiremenh. violations under the same license. Individual (e 3 lying to the NRC),

Federal Register / Vol. 52. No.107 / Monday. September 28. 1987 / Rules and Regulanons 36223 concerning matters within the scope of opportunity fbr an Enforcement violation that rneets all of the following ihe indmdual's responsibilities. will be Conference with the individual will critena: i i

considered for enforcement action usually be provided. a. It was identified by the licensee.

against the indaidual Action against Examples of sanctions that may be I the indmdual, however. will not L b, li fits in Sesenty inelIV or V.  !

appropriale egainst NRC.hcensed c. li was reported.if required.

tJen if the improper action by the operators are:

indmdual was caused by management d. It was or mil be corrected.

• Issuance of a letter of reprimand to includ.ng meaeures to preveni failures The follcwing examples of ba placed in the operator's beense file, recurrence, witnm reasonable time:

s.tuations illustrate this concept:

• Issuance of a Notice of Violation. and

• Inadsettent individual mistakes and resulting from inadequate t-sinmg or

• Suspension for a specified period. e. it was not a violation that could guidance provided by the inihty teasonably be espected to have been modification. or revocation of the p.evented by the beensee's corrective bcensee license. I

• Inadvertently rnissing an action for a previous .iolation. l The sanctions are listed in escalating 2. The NRC may also tefrain from ins:gnificant procedural requirement order of significance.' The particular when the action is routine, fairly Isaving a Notice of Violation or a sanction to be used should be proposed civil penalty for violations that uncompheated. and there is no unusual determined on a case.by-case basis. i circumstance indicating that the meet all of the following criteria:

in the case of an unlicensed procedures should be referred to and a. (i) NRC has taken significant individual, an Order modifying the f-llowed slep.by. step. factlity license to requin the removal of enforcement action based upon a major i

• Compliance with an express safety event contnbut ng to an extended l direchon of management. such as the the individual from all nuclear related shutdown of an eperatirig reactor or a activities for a specihed period of time .

Shift Supenisor or Plant Manager. or indef nitely may be appropriate. materiallicensee(oro work stoppage at l resulted m a violation unless the a construction site). or the licensee is individual did not express his or her F. Reopening ClosedDforcement forced into en extended shutdown or concern or objection to the direction. Act,on, work stoppage related to generally poor t

• IndNdual error directly resulting .

if signiDeant new information la performance out a long period: (ii) the l from fo!!owing the technical advice of recerved by the NRC which indicates licensee has developed and is '

an expert unless the advice was clearly that an enforcement sanction was aggnuively irnplementing dcring the unreasonable and the bcensed incorrectly applied, that action could be shutdown a comprehensive program for individual should have recognized it as reopened to correct the record.This problem identification and correction:

such. and (til) NRC conarrence is needed by should occur only (1)if remedial action,

• Violations resulting from e g.. in the form of an Order. is the licensee priodo restart. i inadequate procedures urness the b. Non. willful violations are identified necessary to abate the continued harm indmdual used a faulty procedute of a violaticn to the public health and by the 1icensee (as opposed to 6e NRC) knowing it was faulty and had not safety, the common defense and ' " ' p ens e attempted to get the procedure progrs o la ,, entified corrected.

security, or the environment, or (2)if new information shows that a violation as a result of an employee allegation to Examples of situations which could was less serious than originally beheved D UC'""' ff NRC id'""fi" lh*

rnuit m enforcement scuons agamat vt lation the NRC should determine indmduals include, but are not brnited cr that it did not occur. Enforcement actions wwld not normally be reopened whether enforceme:.t action is to, violations which invohe: " , "'

• Recognisms a violation of where the only change to the pnor """U"'"

action would be to increase the severity * * '" " "P "

procedural requirements and willfully level of a violation or to impose or acumn of 6e beenua pnot to th not taking corrective action. events leading to the shutdown. a nd

• Wi!! fully performing unauthorized tneresse a eml penalty. Reopening an enforcernent action le expected to occur d.The non. willful violations would bypassing of required teactor ufety "

systems. only rarely and would require specific Y" "'M"d ""

approval of the Deputy E.xecuuve than Seventy Level!11 violanons under

• Willfully defeating alarms wMch have safety significance. Director for Reponal Operations. de NRC's Enforcement Poucy.

Notwithstanding the above, a civil

• Unauthorned abandoning of reactor C. Lercise o/ Discretion penalty may be proposed in a casa controls.

1. Because the NRC wanta to where multiple Severity Level 111

• Inattention to duty such as sleeping encourage and support licensee violations are discovered.Th;s action or beins intoxicated while on duty. would be taken when judgment

• Willfully taking actions that violate Initiative for self. identification and correction of problems. NRC will not warrants it on the circumstances of the TS Limiting Conditions los Operation-

• Fatsifytag recorda required foe NRC generally tasue a c.atice of vielation for a individual case.

regulations or by the facihty bcensee.

g_ p,,,,,g , g,,,,,,,,,,y, ,,,;,,,

• Wiufully failing to tale "immediata actions of emergency procedarts.

,,4 % % "d'l, N ', $ g M *)'O in addition to the formal enforcement erien. u ndu rac en nor..u une mechanisms of notices of violation, civs!

• Willfully withholding safety e ont pen.kr esaa en 6a< rwa. Ho-.s,w. penalties, and orders. NRC also uses significant information tother than s administrstrve mechanisms. such aa making such information known to "c"** D4 th ^** Ea"y">

d"O,'f,f,*",ll ," *[P'$', ,

Ac4AIAI saw irJormation notice s. gerwrm bulletins, appropriate supervisory or technical personnel. der.n.d in s.cu.a tie .f ixe AEA sn.cLd. letters, nouces of deviauon. notices of Any proposed enforcement action 6adaAsis . . neer r erseninsuocA nad ear nonconformance and confirmatory "Pr "ama w *a'a's Na

• action letters to supplement its asainst individuals must be done with *,*s""

'g,

• "3, ','",*[';a",,

the concurnnce of the Deputy Execuuve $. ,,e.u[o.,**j@l*

.r . ,,, ,n e.,nr a ,po, a

, enforcement program. NRC expects Director for Regional Operations. The licenses and vendors to adhere to any usem is commma obligat ons and commitmenta resultmg

36221 Federal Register / Vol. 58, No. 287 / Monday, Septembee 88, 1989 / Rules and Regulations from these processes and will not Yll. Responsibilities (5) Refrainmg from taking hesitate to issue apprepnate orders to The Deputy Executive Director for enforcement action for manns mutirg hcensees to make sure that such Pegional Operations (DEDRO). as the the entens of Section V F 2.

commitrrents are met. pnneipal enforcement officer of the (6) Any action the Office Director NRC, has been delegated the authenty Sheves wanants Commissien Ce en I tter's er rt n not c t ons to inue no4ces of wolahons, cinj W ument or to groups of heensees identifytng (7) Any proposed enforce. .ent action penalties, and orders.' Regional specific problems and recommendmg Administrators may also issue notices of on which the Comm:ssion asks to t e specific actions. consulted.

(21 Notices of Deviation are written golation for Severity LevelIV and V notices desenbing a licensee's failure to violations and may sign notices of Vili. Vendor Enforcement satisfy a commitment where the violation for Seventy Level til violations with no proposed civil penalty and The Commission's enforcement pol.cy commitment involved has not been proposed civil penalty actions with the is also apph, cable to non.hcensees made a legally bindmg requirement. A (vendors). \ enders cf products or notice of desiauon requests a heensee to concurrence of the DEDRO.In provide a wntien explanation or recognition that the regulation of nuclear services provided for use in nuclear activities in many cases does not lend activities are subiect to certain statement desenbing corrective st,rps requirements designed to ensure that the i*self to a mechanistic treatment, the taken (or planned), the results achieved. products or senices supphed that could and the date when corrective action will DEDRO or the Regional Administrator must exercise judgment and discretion affect safety are of high quahty.Through be comaleted. procurement contracts with reactor (3) Confirmatory Action Letters are in determining the severity levels of the violations and the appropriate ; 1.censees, sendors are required to have letters confi ming a heensee's or a quahty assurance pregrams that meet vendor's agreement to take certain enforcement sanctions including the decisien 's impose a civil penalty and applicable requirements includmg to actions to remove significant concerns CFR Part 50. Appendix B. and 10 CFR about health and safety. safeguards, or the amount of such penalty, after the environment. considenng the generalpnneiples of this Part 71. Subpart H. Vendors of reactor statement of pohey and the technical and materials licensees and Part 71 (4) Notices of Nonconformance are 1.censees are subject to the requirements wntten notices describmg non licensees- significance of the violations and the surrounding circumstances, of to CFR Part 21 regardmg reporting of f ailures to meet commitmeats which defects in basic components.

have not been made legally binding De Commission will be provided scquirements by NRC. An example is a written rmtification of all enforcemer.t The NRC conducts inspectfons of com nitment made in a procurement actions involving civil penalties or reactor licensees to determme whether contract with a heensee as required by orders. ne Commission will be they are ensunng that vendors are la CFR Part 50. Appendix B. Noti:es of consulted pner to taking action in the meetmg their centractual obhgat.ons Nonconformances request non licensees following situations (unless the urgency with regard to quahty cf Trodacts or to provide wntten explanauons or of the situation dictates immediate senices that could hase an adverse s'atements desenbing correcuve steps action): effect on safety. As part of the effort of

(;aken or planned), the results achieved, (1) An action affecting a licensee's ensunna that licensees fulfill their the dates when corrective act ons will operation that requires balancmg the obhgations in this regard, the NRC le completed, and measures taken to pubhc health and safety or common inspects reactor vendors to determine if preclude recurrence, defense and secunty implications of not they are meeting their obhgations. Dese operating with the potential radiological inspections include exammation of the I Referro/s to Department offush.ce or other hazards associated with quahty assurance programs and their 1 Alleged or suspected criminal contmued operation: implementation by the vendors through (

uolations of the Atomic Energy Act (2) Proposals to impose civil penalties namination of product quahty.The i (and of other relevant Federallaws) cze in amounts greater than 3 times the NRC may also inspect vaders, referred to the Department oflustice for Seventy 14vell values shcwn in Table including suppliers of Part 71 and investigation. Referral to the 1A: materials licensees, to determine Department of justice does not preclude (3) Any proposed enforcement action whether they are complying with Part the NRC from taking other enforcement that involves a Seventy Levell 21. When inspections determme that action under this General Staterr.ent of violation; violations of NRC requirements nase Policy. However, such actions will be (4) Any enforcement action that occurred. or that s endors base failed to coordinated with the Department of involves a finding of a material false fulfill contractual commitments that justice to the extent practicable, s tatement; could adversely affect the quahty of a ufety significant pr duct or sen-ice.

VI. Public Disclosure of Enforce ment enforcement action will be taken.

Actions ' D. Dnow. OmenWeement oos le se Depey Em.un onetor for a. ,on.i opmuon. Notices of Violation and civil penalties in accordance with to CFR 2.190, all m iM lonn e eb ence or .e onced ne Dnom will be used, as appropriate, for licensee enforcement actions and beensees' *1Q*,','$,",',",',"s'y,[']

failure to ensure that their vendors base responses are publicly available for specei Prwee kan else been detes.ied ..thomy programs that meet apphcable inspection. In addition, pres: relesse: io

• ordm. be siis opnied that norin i u. or requirement: including Part 21. Notices are generally issued for civil penalties mm ..moruy by hast. wssand osa.m b. of Violation will be issued for vendors which violate Part 21. Civil penalties and orders. In the case of orders and civil penalties related to violations at $,,,d g[,"Q'MM'pj, 44

,,,,non and m e.ovreei 64.n. will only be imposed against individual Seventy laels !. !!. or !!!. press releases t.een a.:es ied tw ..twomy to ise,eement.

ede., -hm hu directors or respons.ble officers of a are issued at the time of the order or the Lcen m noim comm*on res.i.ie. by s endor organiution who knowmgly and proposed imposition of the civil penalty. consciously fail to provide the notice Presa releases are not normeilly issued [,Pg* ",',g'Z',',",,,,Ql,',[,Y,[

, ,%,u,, , , a, 44 ,na ,,,m , s, s c required by to CFR 2121(b)(1). Notices for Notice: of Violation. asse.1 omen our me nni enmi y.m ) of Nonconformance will be used for

s Federal Register ' Vol. 52. No.187 / Monday. Septzmber 28. 1987 / Rules and Regulations 36225 senders which fail to rneet 4 Changes in reactor parameters have an adserse effect on the safet> cf ccmmittments related to NRC activities which cause unanticipated reductions in operations.

Supplement I-Ses erity Categories margins of safety: C Seserity fil-Violations insching

5. Release of radioactivdy offsite for esample:

Recrter 0;erchons greater than the Technical 1. A deficiency in a licensee qual.t>

A. Ses enty l -Violations ir% olung SP'C'I3C81'ons brriit, assurance program for construction

j. 6 Failure to meet the requirements of related to a single work actaity (e g.

1 S7fe Limit. as defir.ed in 10 CMt to CFR 50 59 such that a required license structural, piping. electrical or c 36 and the Techmcal Specifications, amendment was not sought; or foundations). Such rignificant def:ciency ded 7. Licensee failure to conduct normally insohes the licensee's fa !ure s stem idesigned to pres ent or adequale oversight of vendors resulting to conduct adequate audits or to take mmte a serious safety event not being in the use of products or services which prompt corrective action on the basis of ath perform its intended safety are of defective or indetermina'e quality such audits, and normally invoh es func , ' when actually called upca to and w hich have safety significance. multiple examples of deficient work D Seventy IV.-Violations mvohing consituction or construction of unknow n 1 An accidental enticality; or for example: quality due to inadequate program 4 Re: ease of raJ1oactivity offsite 1. A less significant violation of a implementation, greater than ten (10) times the Technical Technical Specification Llmiting 2. Failure to confirm the design safety Spec:fications limit e Condition for Operation where the requirements of a structure or system as B Ses erity ll-Violations invohing apptcpriate Action Statement was not a result ofinadequate preoperational for esample: satisfied within the time allotted by the test program implementation; or

1. A s> stem designed to prevent or Action Statement. such as: 3 Failure to make a required 10 CFR mit:ste senous safe:y events not being a. In a pressunted water reactor a 5% 50 55(e) report.

abic to perform its intended safety deficiency in the required volume of the D. Seventy IV.-Violations ins olving f anttion; or condensate storage tank: or failure to meet regulatory requirements

2. Release of radioactnity offsite b. in a boiling water reactor, one greater than five (5) times the Technical subsystem of the two independent hf'S!V Assurance including one or more Quality Critenon not amounting to Spec.I4 cations limit. leakage control subsystems inoperable. Ses enty Level 1.11. or til violatior:s that C. Seventy !!!-Violations involving 2. Failure to meet the requirements of have more than minor safety or for esample: 10 CFR 50.59 that does not result in a environmental significance.

1. A significant violation of a Severity level l. !!. or !!! violation:

E. Seventy V.-Violations that hase Technical Specification L:mitmg 3. Failure to meet regulatoO minor safety or environmental Condition for Operation where the requirement that have more than m.mor significance.

apprepnate Action Statement was not safety or environmental significance: or satisfied within the time allotted by the 4. Failure to make a required Licensee Supplement Ill-Saven,ty Categories Action Statement. such as: Event Report- Scfegucids

a. In a pressurized water reactor,in E. Seventy Level V.-Violations that the applicable modes, having one high- have minor safety or environmental A. Seventy I.-Violations involving pressure safety injection pump s'gmf:cance. or exa p _

moperable for a period in excess of that i,n ct I radiological sabotage or Supplemen;11-Ses erity Categories actual theft. loss, or da ersion of a b.$r a boil rg er c . ne Part So rcedity Construction formula quantity of strategic special primary contamment isolation vahe ""

A. Seventy !.-Violations involving a moperable for a peried in excess of that structure or system that is completed ' 2 Act a ent of an n thorized allowed by the action statement. m such a manner that it would not have individualinto a vital area or matenal

2. A system designed to prevent or satisfied it* intended safety related access ares from outside the protected mitigate a serious safety event not being purpose. area (i e, penetrat;on of both barriers) able to perform its intended funciion B. Seventy !!.-Viola tions ins olving Gat was not detected at the time of under certain conditions (e 3. sainty for example: '"*O' system not operable unless offsite 1. A breakdown in the quality * " p power is available; materials or  ; g',En a tu t mpted assurance program an exemplified by components not environmentally deficiencies in construct;on QA related theft or daersion of SSNM or an act of qualified); to more than one work activity (e g, radiolo8ical sabotage,

3. Dereliction of duty on the part of structural. piping. electrical. U 3 " '"'III # '0I*IIO"'I"*0ki"8 personnelinvolved in licensed activities; foundatiens). Such deficiencies nonnally I0' '* 'mPI ';

4 involve the licensee's failure to conduct 1. Actual theft. loss os diversion of i

% iem u ned .n then . p,iewme. inct.,see adequate audits or to take prompt special nuclear matnial(SR adme,sererne end menes nei coniroi e,sieme. e corrective action on the basis of such modnate atrategic sigmincanceg l

=eii n phys.ui sy *** audits and normally involve multiple 2. Failure to control access such that

' ~tnierded ufety funct oe* swa the tos.1 all three elements of access control examples of deficient construction or Na#[e'aNor'eY p*i.NI$Is'e*N,',',, 4 construction of unknown quality due to (barnet. monitoring, and response) at peen.re tccs upatniay. rhe miei.on moei rna inadequate program implementatiort or the protected area or vita area are in comp!.ie inisi.d i oai or both HPCI and ADS t A structure or system that is inadequatt or two of three elements are ewhysie+e A lon J oae e,beteiem does noi r Completed in such a manner that il Could inadequate in both the protected and de e.i ne inienced ureiy v nci.oa u les u ike omer .bereiem is operetae vital area:

e the Teckn.ui specir.ui.on i. .i n ned .. ih.s . compiei.er mua compiev.on of coaeiruc..on soppiewai tiie.no A a ELs end C sl does noi epply inchding mm and acceplance by ihe See to CT1R rs 21bbt to the insientaneowe release iim.t coneirwei.ea QA ersoniseison See la CD T321m)

36226 Federal Register / Vol. 82. No.18P / Monday. September 28.198P / Rules and Regulations 3 Failure to implement approved 4. Failure tobperly secure or protect receive greater than 100 millirem in a compensate y measures when the classified or other sensitive safeguards one hour period or 500 millirem in any central and secondary alarm stations information which would not sevan consecutis a days, are inoperable; significintly Assist an individualin en 3. Failure to make a 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />

4. Failure to establish or maintain act of radiological sabotage or theft of notification as required by to CFR safeguards systems desi5ned or used to special nuclest material: or 20.403(b) or an immediate notincation prevent or detect the unauthorized 5.Other violations such as failure to required by 10 CR 20 402(a):

removal of a formula quantity of S.%1 follow an approved security plan. that from areas of authorized use or storage; e ore than minor safeguards Su an a fo an

5. Failure to use established E. Severity V.-Violations that have 20 whether or not such exposure or transportation secunty systems minor safeguards significance, release occurs (e . entry into high designed or used to prevent the theft. * ' " " ' " " " " " #

Supplement IV-Severity Categories vessels orin the vicinity of ex; .cd loss. or daersion of a formula quantity of SNM or acts of radiological sabotage. Rechh Physics 10 CM Port to '8 radiographic sources. without Laurg C. Se venty !!!.-Viola tions invohing A. Severity I.-Violations involving performed er edequate survey.

fer example: for example: operation of a radiation facility with a

1. Failure to control access such that 1. Single exposure of a worker in nonfunctioning intsrlock sy stem),

two of the three elements of access excess of 25 rems of radiation to the 5. Release of radioactn e material to control at the vital area er protected whole body.150 rems to the skin of the an unrestncted area in exass of the area barrier are inadequate; whole body, or 375 rems to theleet. limits of 10 CR 20.106:

2. Failure to control access to a enkles. hands, or forearms: *

6. Improper disposal of licensed transpen s ehicle or the SNM being 2. Annual whole body exposure of a matenal not cos ered in Severity I. eve! I transpcried that dces not constitute a member of the public in excess of 2.5 e, gg*.

Ses erity I or !! violation: rems of radiation;

3. Failure to establish or maintain 3. Release of radioactive matenal to 7. hposure of a worker in restricted safeguards systems designed or used to an unrestricted area in excess of ten areas in excess of the limits of10 Cm present or detect the unauthorized times the limits of to CFR 20.106; 20.103; removalof SNM of moderate strategic 4. Disposal of licensed materialin 6. Release !or unrestricted use of significance from areas of authonted quantities or concentrations in excess of contaminated or radioactis e material or use or storage; ten times the limits of to CFR 20.303; or equipment which poses a res!!stic

4. Failure to implement approved 5. bposure of a worker in restricted potential for significant exposure to compensatory measures when the areas of ten times the limits of to CFR members of the public.or which reflects central (or secondary) alarm station is 20.103. a programniatic (rather than isolated) inoperable: B. Severity !! -Violations involving weakness in the radiation control

5. Failure to conduct a proper search for example: program; at the access control point that results in 1. Single exposure of a worker in

9. Cumulative worker exposure abos e introduction to the site of firearms. excess of 5 reme of radiation to the whole body 30 reme to the skin of the regulatory limits when such cumulative explosives. incendiary devices, or other g, items which could be used for industrial whole sabotage; or ankles. body):or b _ w ~ 75 rema to the feet'

• arms. than an isolated weakness in radiation

2. Annual whole boos axposure of a P * ""0";

6. Failure to properly secure or protect classified or other sensitive safeguards member of the public in excess of o.5 10. Conduct of licensee activities by a information which would significantly rems of radiation: technically unqualified persort or assist an individualin an act of 3. Release of radioactive material to 11. Significant failure to control radiological sabotage or theft of special en unrestricted area in excess of five licensed material.

nuclear material. times the limits of to CR 20.106: D. Severity IV.-Viola tions involving D. Seventy IV.-Violations involving 4. Failun to make an immediate for example:

for example: notification as required by to CR 1. bposuns in exce e of the limit: of

1. Failure to establish or maintsin 20.403(a)(1) and to CFR 20.403(a) 2): 10 CFR 20.101 not constituting Seventy safeguards systems designed or used to 5. Disposal of licensed materia in prevent or detect the unauthorized quanuun or concentraum in excus of level 1.11 or 111 violations *-

five tirr.es the limits of 10 CFR 20 303: or 2. A r9diation levelin an unrestricted removal of SNM of low strategic significance 88 from areas of authorized es bposure of a worker in restricted area such that en individual could use or storage,'

areas in excess of five times the limits of receive greater than 2 millirem in a one.

2. Failure to implement to CFR Parts IKm 20.103. hour period or 100 millitem in any seven C. Severit consecutive days; 25 and 95 and informstion addressed ur. der section 142 of the Act, and the for examfe

1. S 8 e:

sum@y  !!!.-Violations involving o a wod"in

3. Failure to make a 30 day notification required by to CFR 20 405, NRC approved security plan relevant to those parts, excess of 3 rems of radiation to the a Failure to make a followup written the report as required by to CFR 20 402(bl.

3. Failure to control access to a vital [,*r'1[5 m o e fee area or matenal access area from inside 20 40s, and 20 409: of the protected area or failure to control ankles. hands or forearms-

2. A radiation levelin an unrestricted 5. Any other matter that has more access to the protected stea in that one ther. minor ufety or environmental area such that en individual could of the three elements of accers ccattolia significance.

Inadequate: ,, F Sever ty V.-Violations that has e

.w.u.u miew,,a a,ug . w. u. .n.n .,a minor safety or environmental

" su to cn rs e b. w.a . i,y <n. bee

• eignificarice.

Federal Register / Vol. 52. No.187 / Monday. September 28. 1987 / Rules and Reculations 36007

=

Supplement V-Severity Categories F. SeveriW V.-Violations that have 1. A Material False Statement Transporrotion " ininor safety or enuronmental (MFS)" m which the statement made significance. was deliberately false.

A. Seventy 1-Violations of NRC Supplement VI-Severity Categon. es 2. Falsification of records which NRC transportation requirements involving requires be kept of significant for example: ruel Cycle and Afoteno/s Operetions information in which the records were

1. Annual whole body radiation debberately falsified by or with the exposure of a member of the public in A. Seventy 1 -Violations involvmg knowledge of management.

excess of 0.5 rems of radiation: or for example:

3. A knowing and mtentional failure 2 Breach of package integrity 1. Ra dia tion levels, contamination to provide the notice required by part :t.

resulting m surface contamination or levels, or releases that exceed ten times or extemst rs stion levels in excess of ten the limits specified in the license:

4. Action by senior corporate times the t.. ' limits. 2. A system designed to prevent or B. Seventy 11--Violations of NRC ;nanagement in violation of to CFR 50 7 mitigate a serious safety event not beins or sim;lar regulations against an transportation requirements involvmg operable when actually required to for example employee.

perform its design function; or B. Seventy !!.-Viola tions involving

1. Breach f package integrity resultmg m surface contammation or 3. A nuclear criticality accident. for example:

external radiation levels in excess of B. Seventy ll-Violations involving 1. A MFS or a reporting failure.

"'"* for example: involving information which had it been "9

2. Surfa::e contamination or external 1. Radiation levels contamination available to the NRC and accurate at the radiation levels in excess of five times levels, or releases that exceed five times time the information :hould have been NRC lirnits that did riot result frorn a the limits specified in the license; or submitted, would have r u m breach of package integnty; or 2. A system designed to prevent or i Y

3. Failure to make required initial , , yin s k g further mit!gete a senous safety event being notification associated with Seventy inoperable. I^I .

L4 vel I or Il viola tior s. C. Seventy Ill.-Violations involVng 2 h in which the false statement C.Seventf Ill--Violations of NRC for example: was made with careless disregard:

transportation requirements involvin8 3. Deliberate falsification of records for example. 1. Failure to control access to licensed materials for radiation purposes as which NRC requires be kept involvmg Nf inf i -

2 utface e n ar i atto o e ternalspec ed by MC nquinmenu; 4 ef;"on by p ant m nagement above radia tion levels in excece of, but less 2. Possession or use of unauthorized nrst.line supervision in violation of to than a factor of five above NRC equiprnent or materials in the conduct of CFR 50.7 or almilar regulations against requiremer.ts, that did noi r.sult from a licensee activities which degrades an employee; or breach of package integriry: Yi

5. A failure to crovide the notice

3. Any noncompliance with labelling. "I'.'Use of radioactive material on 3

required by Part 21.

placardmt, shipping paper, packagirig. humana when such use la not C. Severity !!!-Violations involving loading. or other requirements that could authorized; for example:

rea sonably resialt in the following- 4. Conduct licensed activities by a 1. A MFS not arrounting to a Seventy

e. Improper identification of the type, technically unqualified person: lx, el I or !! viola tion.

quantity, or fonn o' ratena!; 5. Radia tion levels, contamina tion 2. Deliberate falsification. of

b. Failure of the carrier or recipient to levels, or releases that exceed the limits exercise adequate controls: or falsification by or with the knowledge of specified in the incense: cr management. of records which sne NRC

c. Substantial potential for personnel

6. Medical therapeutic requires ta kept that did not involta exposure or contara! nation. or improper misedministrations. significant information.

transfer of material:of

4. Failure to maka required initial D. Severity IV.-Viola tiona involving 3. Action by first line superv;sion in notification associated with Severity forexample: violation of to CFR 50.7 or similar

1. Fauure to mabub patienu regslations against an employee; or d qure o n a en d aa v a g u,h?2'$ "M ""l"I=" 28"Cfe'J" "" ""*

, a do , i s breach of package integrity oc surface p

2. Other violations that have more than minor safety or environmental

"'s!" % M C A:

"'***P'-

contamination or external radiation levels in excess of NRC requirements; or alsnficance: or "

2. Other violations that have more 3. Fa0ure to report :nedical diagnostic

,,, {"gggaju";"j' , ,l,

.4 a ,.w, . m. , ,a.i,, ,m, x u. Se than minor safety or environmental misadministrations. . is me na=rin a d.iermee me ep.c 6.

significance. E. Severity V.-Violationa that have *,wu rwnt d e nsaa u,dnaa mawa.Hsia

,. minor safety or environmental sui ou n t.w.nuun d mwes. coa.4mna

- ,u w ,, .w.cm o m. , .t m.

aIgnificaace.

i "men mu ene hc new is,wnd na me unesome wuponeian wwtre = m .,,t.4 pm mning

- newvi r = ea etw% man vig.ua e rtI.%s,ani

, unu.cun et ecevoy we u . eMeow tie cra rury end e Supplement VU- Sevedty Cetegodes m. inty,u u, m,w,,4 4 m. i wne .t m.

umw tt en runs t ws.a a wwt.iwa er .w.h a a w n ne an.rs entw w . .c mm w Afiscellaneous Afotstre ud.in e.r.s.4tt e, nes.n ur.w nce amwe**.au's

.e4.ms.4 i. u r'ku edibmioae*t ee.o.4 esia.: $. e.epoa.$i. we, e .wa. nei

.ai,= me cere. iuc.e et o un .e, w e = A. Severity L-Vlots tions involving Tw nta,. m e,,,ie,na

,,,,,,,,.m.. , . n..ne, o etmeuteo w,c en bem ia mer. d me me mewnd. Ior amaanple: e.,*4ne u n arw= ieacm W m vi+4e 6.=

36228 Fcderal R:gister / Vol. 52. No.187 / Monday. SLptember 28. 1987 / Rules end Regulstions

1. Inadequate reuew of Isilure to For the %c' ear Reget.ior) Commission reuew under Part 21 cr other procedur.1 sa mwel l. chilk.

violations associated with Part 21 with secretory of er, comansswa more than minor safety significance. (nt poc gr.u214 Filed 4 25-47.a 45 aml 2 A fa'se statement caused by an ,u o cong ,,u, inadvertent clencal or similar error ~

involving information which. had it been ~

available to NRC and accurate at the time the information should have been submitted, would probably not have .

resulted in regulatory action or NRC seeking additionalinformation. or E. Severity V.-Violations of minor precedural requirements of Part 21.

Supplement VIII-Severity Categories Emergency Pnpondness A. Seventy 1 -Violations involving for example.

In a general emereency. licensee failure to promptly (1) correctly classify the event. (2) make required notifications to responsible Federal.  ;

State, and local agencies, or (3) respond to the event (e g., assess actual or potential offsite consequences, activate emergency tesponse facilities. and augment shift staff).

B. Seventy !!.-Viola tions involving for example:

1.In a site area emergency. licensee failure to promptly (1) correctly cla ssify the event. (2) make required notifications to responsible Federal.

Sta te. and loc al agencie s. or (3) respord to the event (e s., assess actual or potential offsite censequences. activate emergency respor.se facilities. and augment shift staff); or

2. Ucensee failure to meet or implement more than one emergency planning standard involving assessment or notification.

C. Seventy til.-Violations involving fc,, example:

's. In an alert. licensee failure to promptly (1) correctly classify the esent.

(2) ma'ae required notifications to responsible Federal. State, and local l sgencies. or (3) respond to the event I (e.g., assess a etual or potential offsite consequences, activate emergency response facilsties. and augment shift etaff): or

2. Ucensee failure to meet or implement emergency planning standard involving assessment or notification.

D. Severity IV.-Violations involving ,

for example:

Ucensee failure to meet or implement any emergency planning standard or i requirement not directly related to '

assessment and notification.

E. Seventy V.-Violations that have minor safety or environmental significance.

Deted at Washington DC.the 23d day of September 1967.

I